Encyclopaedia

of the SOCIAL SCIENCES Encyclopaedia of tie SOCIAL SCIENCES

EDITOR .N -CHIEF EDWIN R. ASELIGMAN

ASSOCIA) EDITOR ALVIN JoHNSON

VOLUME SIX

7.1XPATRIATION -GOSPLAN

F THE Mi MIL,LANCOMPANY

. MCMX?? NEW YORK COPYRIGHT, 1931, BY THE MACM ¡.LAN COMPANY All rights reserved -no part of this book may b reproduced in any form without permission in writing from publisher except by reviewers who wish to quote I.cf passages in connection with a review I 'iten for inclusion in magazine: ;)r newspapers Published December, :!'1

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EDITOR -IN -CHIEF EDWIN R. A. SELIGMAN Professor Emeritus of Political Economy in Residence, Columbia University; LL.B., Ph.D. and LL.D.; Hon. D., University of Paris and Heidelberg University; Correspond- ing Member of the Institut de France, of the Accademia dei Lincei, of the Russian Academy, of the Norwegian Academy, of the Cuban Academy and of the Accademia delle Scienze Morali e Politiche; Laureat of the Belgian Academy; Foreign Correspondent of the Royal Economic Society; Ex- President of the American Economic Association, of the National Tax Association and of the American Association of University Professors

ASSOCIATE EDITOR ALVIN JOHNSON, PH. D. Director of the New School for Social Research

ASSISTANT EDITORS

ROBERT BRIFFAULT KOPPEL S. PINSON LEWIS COREY N. REICH IDA S. CRAVEN WILLIAM SEAGLE ELSIE GLÜCK JOSEPH J. SENTURIA SOLOMON KUZNETS HERBERT SOLOW MAX LERNER BERNHARD J. STERN EDWIN MIMS, JR. HELI.N SULLIVAN FLORENCE MISHNUN ELIZABETH TODD ADVISORY EDITORS

American

Anthropology Philosophy A. L. KROEBER JOHN DEWEY Political Science Economics CHARLES A. BEARD EDWIN F. GAY FRANK J. GOODNOW JACOB H. HOLLANDER E. G. NOURSE Psychology FLOYD H. ALLPORT Education Social Work PAUL MONROE PORTER R. LEE History Sociology SIDNEY B. FAY WILLIAM F. OGBURN A. M. SCHLESINGER W. I. THOMAS Statistics Law IRVING FISHER ROSCOE POUND WALTER F. WILLCOX

Foreign

England Germany ERNEST BARKER CARL BRINKMANN J. M. KEYNES H. SCHUMACHER SIR JOSIAH STAMP Italy R. H. TAWNEY LUIGI EINAUDI AUGUSTO GRAZIANI France CHARLES RIST Switzerland F. SIMIAND W. E. RAPPARD CONSTITUENT SOCIETIES AND JOINT COMMITTEE

AMERICAN ANTHROPOLOGICAL ASSOCIATION ROBERT H. LOWIE AND CLARK WISSLER

AMERICAN ASSOCIATIONOFSOCIAL WORKERS PHILIP KLEIN AND STUART A. QUEEN

AMERICAN ECONOMIC ASSOCIATION CLIVE DAY AND FRANK A. FITTER

AMERICAN HISTORICAL ASSOCIATION CARL BECKER AND CLARENCE H. HARING

AMERICAN POLITICAL SCIENCE ASSOCIATION WILLIAMB.MUNRO AND JOHN H. LOGAN

AMERICAN PSYCHOLOGICAL ASSOCIATION GEORGINAS.GATES AND MARK A. MAY

AMERICAN SOCIOLOGICAL SOCIETY KIMBALL YOUNG AND R. M. MACIVER

AMERICAN STATISTICAL ASSOCIATION MARY VAN KLEECK AND R. H. COATS

ASSOCIATIONOFAMERICAN LAW SCHOOLS EDWINW.PATTERSON AND EDWIND.DICKINSON

NATIONAL EDUCATION ASSOCIATION E. L. THORNDIKE AND J. A.C.CHANDLER BOARD OF DIRECTORS

Academic

FRANZ BOAS CARLTON J. H. HAYESWILLIAM F. OGBURN WALTER WHEELER COOKJACOB H. HOLLANDEREDWIN R. A. SELIGMAN JOHN DEWEY ALVIN JOHNSON MARY VAN KLEECK JOHN A. FAIRLIE WESLEY C. MITCHELLMARGARET FLOY WASHBURN JOHN K. NORTON

Lay

JAMES COUZENS ROBERT E. SIMON PAUL M. WARBURG JOHN J.RASKOB SILAS H. STRAWN OWEN D. YOUNG CONTRIBUTORS TO VOLUME VI

Adams, Thomas Bell, Bernard Iddings Harvard University Columbia University Allison, John M. S. Benedict, Bertram Yale University Washington, D. C. Alsberg, Carl L. Benedict, Ruth Food Research Institute, Stanford Columbia University University Benner, Claude L. Amzalak, Moses Bensabat Wilmington, Delaware Instituto Superiór de Sciencias Eco - Bergsträsser, Ludwig nornicas e Financeiras de Universi- University of Frankfort dade Tecnia, Lisbon Bernácer, Gérman Andrews, C. F. Escuela de Comercio, Alicante, Spain Santiniketan, Bengal Bernaldo de Quirós, C. Angell, James W. Madrid Columbia University Bibl, Viktor Asakawa, K. University of Vienna Yale University Black, J. B. Ashby, A. W. University of Aberdeen University College of Wales Bloch, Marc Aspelin, Gunnar University of Strasbourg University of Lund Boehm, Max Hildebert Augé -Laribé, Michel Institut für Grenz- und Ausland- Paris studien, Berlin Borchard, Edwin M. Baldwin, Summerfield Yale University Seton Hill College, Greensburg, Borries, Kurt Pennsylvania University of Tübingen Barnes, Harry E. Bourgeois, Émile New York City University of Paris Baron, Salo Bourtzeff, Vladimir Columbia University Paris Basham, W. A. Brailsford, H. N. London London Bauer, Clemens Bräuer, Karl University of Munich University of Breslau Becker, Carl Braun, Robert Cornell University Budapest Beckerath, Erwin von Brebner, J. Bartlet University of Cologne Columbia University Beckmann, F. Briefs, G. University of Bonn Technische Hochschule, Berlin Beer, Max Briffault, Robert Institut für Sozialforschung of the Encyclopaedia of the Social Sciences University of Frankfort Brinkmann, Carl Belasco, Philip S. University of Heidelberg Institute of Political Studies, Brinton, Crane Leicester Harvard University

ix Encyclopaedia of the Social Sciences Brown, Philip Marshall Crook, Wilfrid Harris Williamstown, Massachusetts Northampton, Massachusetts Buell, Raymond Leslie Cross, Arthur Lyon Foreign Policy Association, New University of Michigan York City Curti, Merle E. Burns, E. M. Smith College Columbia University Busse, Martin Dahl, Frantz Göttingen University of Copenhagen Dalla Volta, Riccardo Carlyle, A. J. Regio Istituto Superiore di Scienze University of Oxford Economiche e Commerciale, Carpenter, William Seal Florence Princeton University Davie, Maurice R. Carra de Vaux, B. Yale University Paris Dawson, Robert MacGregor Carter, Keith University of Saskatchewan New York City Dawson, W. H. Catlin, George E. G. Oxford, England Cornell University Del Vecchio, Gustavo Caverly, H. L. University of Bologna University of Michigan Dickinson, Edwin D. Cheyney, E. P. University of Michigan University of Pennsylvania Dobb, Maurice Chubinsky, M. University of Cambridge University of Subotica, Jugoslavia Douglas, Dorothy W. Cohen, Morris R. Smith College College of the City of New York Dunn, Robert W. Colcord, Joanna C. New York City Russell Sage Foundation, New York Duprat, G. L. City University of Geneva Cole, G. D. H. Dürr, Emil University of Oxford University of Basel Collinet, Paul University of Paris Edminster, Lynn Ramsay Commager, Henry Steele United States Department of New York University Agriculture Commons, John R. Einaudi, Luigi University of Wisconsin University of Turin Comstock, Alzada Eisler, Robert Mount Holyoke College Paris Cook, Thomas I. Elbogen, Ismar Columbia University Hochschule für die Wissenschaft des Coralnik, A. Judentums, Berlin New York City Elliott, W. Y. Corbin, Arthur L. Harvard University Yale University Emin, Ahmet Corey, Lewis Istanbul Encyclopaedia of the Social Sciences Ernie Coulton, G. G. London University of Cambridge Coupland, R. Fanno, Marco University of Oxford University of Padua Cox, Garfield V. Farnell, Lewis Richard University of Chicago British Academy Contributors to Volume Six xi Fai, Bernard Halphen, Louis University of Clermont -Ferrand École des Hautes Études, Paris Figueiredo, Fidelino de Hamilton, Earl J. University of Lisbon Duke University Fish, Carl Russell Hamilton, Walton H. University of Wisconsin Yale University Fisher, Lillian Estelle Hammond, John Lawrence Oklahoma College for Women Hemel Hempsted, England Florence, P. Sargant Hampe, Karl University of Birmingham University of Heidelberg Flournoy, Richard W., Jr. Hankins, Frank H. United States Department of State Smith College Foley, Henry E. Harris, Abram L. Boston Howard University Ford, Guy Stanton Hart, Joseph K. University of Minnesota Vanderbilt University Ford, W. W. Haydon, A. Eustace Johns Hopkins University University of Chicago Forster, G. W. Hazeltine, H. D. North Carolina State College University of Cambridge Franke, O. Hedden, W. P. University of Berlin The Port of New York Authority Fraser, Lindley M. Hedemann, J. Wilhelm University of Oxford University of Jena Friedrich, Carl Joachim Helander, Sven Harvard University Hochschule für Wirtschafts- und Sozialwissenschaften, Gebhart, John C. Nuremberg New York City Herring, E. Pendleton Ginzburg, Benjamin Harvard University New York City Heyde, Ludwig Givens, Meredith University of Kiel Social Science Research Council Heymann, Ernst Goldenweiser, Alexander University of Berlin University of Oregon Hibbard, B. H. González Calderón, Juan A. University of Wisconsin University of Buenos Aires Hicks, Granville Gourvitch, Alexander Rensselaer Polytechnic Institute New York City Hippel, Ernst von Gregory, T. E. University of Königsberg London School of Economics and Hirst, Francis W. Political Science London Groba, Kurt Hocart, A. M. Breslau London Grünhut, Max Hohman, Elmo P. University of Bonn Northwestern University Gurvitch, Georges Holcombe, Arthur N. Paris Harvard University Holmes, C. L. Haber, Franz United States Department of Munich Agriculture Hacker, Louis Holst, Henriette Roland Encyclopaedia of the Social Sciences Bloemendaal, Netherlands Halfter, Fritz Holtzmann, Walther Berlin University of Halle X11 Encyclopaediaof the Social Sciences Hook, Sidney Kulischer, Joseph New York University University of Leningrad Hotelling, Harold Künssberg, Eberhard von Columbia University University of Heidelberg Hubert, René Küntzel, Georg University of Lille University of Frankfort Huebner, S. S. Kuskova, E. University of Pennsylvania Prague Hulme, Edward M. Stanford University Lanctot, Gustave Hultgren, Thor Public Archives of Canada, Ottawa United States Department of Landis, J. M. Agriculture Harvard University Langer, Gottfried Ingberg, S. H. University of Leipsic United States Bureau of Stan- Langer, William L. dards Harvard University Innis, Harold A. Lannoy, Charles De University of Toronto University of Ghent La Pradelle, A. de Geouffre de Jászi, Oscar University of Paris Oberlin College Larson, Laurence M. Jenks, Leland H. University of Illinois Wellesley College Laski, Harold J. Jéze, Gaston London School of Economics and University of Paris Political Science Josephson, Matthew Lasswell, Harold D. Gaylordsville, Connecticut University of Chicago Latourette, K. S. Kallen, Horace M. Yale University New School for Social Research Lehmann, W. C. Kawakami, Kiyoshi K. Syracuse University Washington, D. C. Lestschinsky, Jakob Keezer, Dexter Merriam Berlin Baltimore Levin, Max Kellogg, Paul U. Encyclopaedia of the Social New York City Sciences Kennedy, W. P. M. Lévy- Ullmann, Henri University of Toronto University of Paris Kitchin, Joseph Livingston, Arthur London Columbia University Klineberg, Otto Lloyd, William Allison Columbia University United States Department of Knight, W. S. M. Agriculture London Lorwin, Lewis L. Koffka, K. The Brookings Institution, Washing- Smith College ton, D. C. Kohn, Hans Lotz, W. Jerusalem University of Munich Korff, Hermann A. Louis, Paul University of Leipsic Paris Kossinsky, V. A. Lutz, Harley L. University of Latvia Princeton University Krisztics, Alexander Lybyer, Albert H. University of Pécs University of Illinois Contributors to Volume Six McBride, Russell S. Nadler, Marcus Washington, D. C. New York University MacLeod, W. C. Nevins, Allan University of Pennsylvania Columbia University Macmahon, Arthur W. Newsholme, Arthur Columbia University Birmingham, England McMurray, Orrin K. Nicolini, Fausto University of California Naples Maguire, John MacArthur Niebuhr, H. Richard Harvard University Yale University Manes, Alfred Notz, William F. University of Berlin Georgetown University Marett, R. R. Nystrom, Paul H. University of Oxford Columbia University Margoliouth, David S. University of Oxford Ogg, Frederic A. Marion, Marcel University of Wisconsin Collège de France Orchard, John E. Markham, R. H. Columbia University Sofia Ots y Capdequi, José Marshall, George University of Valencia New York City Otto, M. C. Marsili Libelli, Mario University of Wisconsin University of Florence Martin, Alfred von Palyi, M. University of Munich Berlin Mason, Edward S. Park, Edwin Avery Harvard University New York City Massignon, Louis Paxson, Frederic L. Collège de France University of Wisconsin Mathiez, Albert Peffer, Nathaniel University of Paris New York City Matl, Josef Pereyra, Carlos University of Graz Madrid Mayer, Gustav Person, H. S. University of Berlin Taylor Society, New York City Mead, Margaret Pfister, Ch. American Museum of University of Strasbourg Natural History, Piganiol, André New York City University of Paris Moley, Raymond Pinson, Koppel S. Columbia University Encyclopaedia of the Social Mondolfo, Rodolfo Sciences University of Bologna Plucknett, Theodore F. T. Mornet, Daniel London School of Economics and University of Paris Political Science Morris, Richard B. Pollak, Inez College of the City of Encyclopaedia of the Social Sciences New York Potter, Pitman B. Mosca, Gaetano University of Wisconsin University of Rome Price, L. L. Mühlmann, W. E. Brighton, England Berlin Murphy, Gardner Radin, Max Columbia University University of California xiv Encyclopaedia of the Social Sciences Reed, Harold L. Schücking, Walther Cornell University Uni iersity of Kiel Reed, Louis S. Schwinge, Erich Committee on the Costs of Medical University of Bonn Care, Washington, D. C. Scroggs, William O. Rees, J. F. Council on Foreign Relations University College of South Wales Seagle, William and Monmouthshire Encyclopaedia of the Social Sciences Reigbert, Robert Seedorf, Wilhelm Nuremberg University of Göttingen Reisner, Edward H. Seligman, Edwin R. A. Columbia University Columbia University Richardson, J. H. Sellin, Thorsten University of Leeds University of Pennsylvania and Bu- Richberg, Donald R. reau of Social Hygiene, New York Chicago City Roback, A. A. Sherman, Wells Alvord Cambridge, Massachusetts United States Department of Roberts, Stephen H. Agriculture University of Sydney Silva, Pietro Robinson, Howard Regio Istituto Superiore di Miami University, Oxford, Magistero, Rome Ohio Simiand, François Robson, William A. Conservatoire National des Arts et London School of Economics and Métiers Political Science Simpson, Kemper Röpke, Wilhelm New York City University of Marburg Skelton, O. D. Rosenbaum, Eduard Department of External Affairs, Ot- Hamburg tawa, Canada Royo Villanova, Antonio Smith, Robert S. University of Valladolid Duke University Roubakine, N. Solmi, Arrigo Institut International de Psychologie University of Pavia Bibliologique, Lausanne Sommer, Louise Ruggiero, Guido de University of Geneva Regio Istituto Superiore di Magistero, Southard, Frank A., Jr. Rome Cornell University Stephens, G. A. Salomon, Gottfried United States Federal Trade University of Frankfort Commission Salvatorelli, Luigi Stern, Alfred University of Naples Eidgenössische Technische Hoch - Sapir, Edward schule, Zurich Yale University Stern, Bernhard J. Sapper, Karl Encyclopaedia of the Social University of Würzburg Sciences Sauer, Carl Stern, Boris University of California United States Department of Labor Schevill, Ferdinand Stewart, Charles L. University of Chicago University of Illinois Schiller, A. Arthur Stewart, Robert Columbia University University of Nevada Scholz, Richard Stocking, Collis University of Leipsic New York University Contributors to Volume Six xv Stocking, George Ward Venn, J. A. University of Texas University of Cambridge Stone, Ursula Batchelder Virtue, George O. University of Chicago University of Nebraska Strachey, Ray Volker, Karl London University of Vienna Strieder, Jakob University of Munich Wall, Alexander Sullivan, Helen Lansdowne, Pennsylvania Encyclopaedia of the Social Walsh, C. M. Sciences Bellport, Long Island Swanton, John R. Wardle, H. Newell Smithsonian Institution, Washington, University Museum, Philadelphia D. C. Ware, Caroline F. New York City Taylor, Carl C. Ware, Norman J. North Carolina State College Wesleyan University Teilhac, Ernest Warne, Colston E. University of Poitiers Amherst College Thayer, James Bradley Weber, Wilhelm Harvard University University of Halle Thrasher, Frederic M. Weill, Georges New York University University of Caen Totomianz, V. Wiese, Helmut Russian Cooperative Agricultural Hamburg Institute, Prague Wiest, Edward Traub, Hans University of Kentucky Deutsches Institut für Zeitungskunde, Williams, Frankwood E. Berlin New York City Truesdell, Leon E. Willis, H. Parker United States Bureau of the Columbia University Census Wilson, Francis G. Tugwell, R. G. University of Washington Columbia University Wolman, Leo Columbia University Underhill, Frank H. Wozniak, M. University of Toronto Academy of Sciences, Kiev Wright, B. F., Jr. Vallaux, Camille Harvard University Paris Vámbéry, Rusztem Yntema, Hessel E. Budapest Johns Hopkins University Vance, Rupert B. University of North Carolina Zon, Raphael Vasiliev, A. A. United States Department of University of Wisconsin Agriculture Vecchio, Gustavo del Zulueta, F. de University of Bologna University of Oxford CONTENTS

Contributors to Volume VI Articles EXPATRIATION Richard W. Flournoy, Jr. EXPENDITURES, PUBLIC Alzada Comstock EXPERT George E. G. Catlin EXPERT TESTIMONY John MacArthur Maguire EXPLOITATION Lewis L. Lorwin EXPORT ASSOCIATIONS William F. Notz EXPORT CREDITS Eduard Rosenbaum EXPORT DUTIES Lynn Ramsay Edminster EXPOSITIONS, INDUSTRIAL See EXPOSITIONS, INTERNATIONAL; FAIRS EXPOSITIONS, INTERNATIONAL Guy Stanton Ford EX POST FACTO LAWS See RETROACTIVE LEGISLATION EXPOSURE See INFANTICIDE EXPRESS COMPANIES Bertram Benedict EXTENSION WORK See EXTENSION WORK, AGRICUL- TURAL; UNIVERSITY EXTEN- SION EXTENSION WORK, AGRICULTURAL William Allison Lloyd EXTERRITORIALITY -GENERAL Philip Marshall Brown CHINA Arthur N. Holcombe EXTORTION Raymond Mo leyandKeith Carter EXTRADITION Edwin D. Dickinson EYTH, MAX Wilhelm Seedorf EZPELETA, PEDRO AINGO DE Earl J. Hamilton FABBRONI, GIOVANNI Mario Marsili Libelli FABER FAMILY Hans Traub FABIANISM G. D. H. Cole FACTION Harold D. Lasswell FACTORY LAWS See LABOR LEGISLATION FACTORY SYSTEM John Lawrence Hammond FAHLBECK, PONTUS ERLAND Gunner Aspelin FAIDHERBE, LOUIS LEON CÊSAR Charles De Lannoy FAIR RETURN John R. Commons FAIR VALUE See VALUATION FAIRS Joseph Kulischer FALLMERAYER, JACOB PHILIP A. A. Vasiliev FAMILY -PRIMITIVE Margaret Mead SOCIAL ASPECTS Carl Brinkmann FAMILY ALLOWANCES J. H. Richardson FAMILY BUDGETS Dorothy W. Douglas FAMILY DESERTION AND NON -SUPPORT Joanna C. Colcord xvii xviii Encyclopaedia of the Social Sciences FAMILY ENDOWMENT See FAMILY ALLOWANCES FAMILY LAW William Seagle FAMINE Frank A. Southard, Jr. FANATICISM M. C. Otto FAR EASTERN PROBLEM Nathaniel Peffer FÄRÁBI, MUHAMMAD IBN MUHAMMAD IBN TARKHAN ABU -NASR AL David S. Margoliouth FARM G. W. Forster FARM BLOC, UNITED STATES E. Pendleton Herring FARM BUREAU FEDERATION, AMERICAN B. H. Hibbard FARM COSTS See FARM MANAGEMENT; FAMILY BUDGETS FARM LOAN SYSTEM, FEDERAL Claude L. Benner FARM MANAGEMENT C. L. Holmes FARM RELIEF Charles L. Stewart FARM TENANCY -GENERAL AND HISTORICAL A. W. Ashby UNITED STATES Leon E. Truesdell FARMER LABOR PARTY, UNITED STATES See PARTIES,POLITICAL; AGRA- RIAN MOVEMENTS FARMERS' ALLIANCE Edward Wiest FARMERS' ORGANIZATIONS Carl C. Taylor FARMERS' UNION Edward Wiest FARR, WILLIAM Arthur Newsholme FASCISM Erwin von Beckerath FASHION Edward Sapir FASTING A. M. Hocart FATALISM A. Eustace Haydon FATIGUE P. Sargant Florence FAUCHER, JULIUS Wilhelm Röpke FAUCHILLE, PAUL A. de Geouffre de La Pradelle FAVRE, ANTOINE A. Arthur Schiller FAWCETT, HENRY E. M. Burns FAWCETT, DAME MILLICENT GARRETT Ray Strachey FEBRONIUS, JUSTINUS See HONTHEIM, JOHANN NIKO- LAUS VON FECHNER, GUSTAV THEODOR Gardner Murphy FEDERAL RESERVE SYSTEM H. Parker Willis FEDERAL TRADE COMMISSION Dexter Merriam Keezer FEDERALISM Max Hildebert Boehm FEDERALIST PARTY, UNITED STATES See PARTIES, POLITICAL FEDERATION Arthur W. Macmahon FEE SPLITTING Louis S. Reed FEIJÓO Y MONTENEGRO, BENITO JERÔNIMO José Ots y Capdequi FELLENBERG, PHILLIP EMANUEL VON Robert Reigbert FELLOW SERVANT DOCTRINE See EMPLOYERS' LIABILITY FELS, JOSEPH Dorothy W. Douglas FÉNELON, FRANÇOIS DE SALIGNAC DE LA MOTHE René Hubert FENIANS See IRISH PROBLEM FÉNYES, ELEK (ALEXIS) CSOKAJI Alexander Krisztics FERDINAND V and ISABELLA José Ots y Capdequi FERGUSON, ADAM W. C. Lehmann FERNALD, WALTER ELMORE Frankwood E. Williams FERNÁNDEZ NAVARRETE, PEDRO Earl J. Hamilton FERNOW, BERNHARD EDUARD Max Levin Contents xix FERRARA, FRANCESCO Gustavo Del Vecchio FERRARI, GIUSEPPE Rodolfo Mondolfo FERRARIS, CARLO FRANCESCO Marco Fanno FERREIRA, SILVESTRE PINHEIRO See PINHEIRO FERREIRA, SILVES- TRE FERREIRA BORGES, JOSÉ Moses Bensabat Amzalak FERRI, ENRICO C. Bernaldo de Quirós FERRINI, CONTARDO Paul Collinet FERRY, JULES FRANÇOIS CAMILLE William L. Langer FERTILITY RITES Robert Briffault FERTILIZER INDUSTRY George Ward Stocking FESTIVALS Robert Briffault FETISHISM R. R. Marett FEUDALISM EUROPEAN Marc Bloch SARACEN AND OTTOMAN Albert H. Lybyer CHINESE O. Franke JAPANESE K. Asakawa FEUDS Harold D. Lasswell FEUERBACH, LUDWIG ANDREAS Sidney Hook FEUERBACH, PAUL JOHANN ANSELM VON Max Grünhut FICHTE, JOHANN GOTTLIEB Georges Gurvitch FICKER, CASPAR JULIUS VON Eberhard von Künssberg FICTIONS Morris R. Cohen FIDELITY INSURANCE See BONDING FIELD, DAVID DUDLEY Pitman B. Potter FIELD, MARSHALL Lewis Corey FIELDING, WILLIAM STEVENS Robert MacGregor Dawson FIGGIS, JOHN NEVILLE Crane Brinton FILANGIERI, GAETANO Rodolfo Mondolfo FILIBUSTER, LEGISLATIVE See LEGISLATIVE ASSEMBLIES FILIBUSTERING William O. Scroggs FILMER, SIR ROBERT Thomas I. Cook FILOSOFOVA, ANNA PAVLOVNA E. Kuskova FINANCE, PUBLIC See PUBLIC FINANCE FINANCIAL ADMINISTRATION Gaston , j'èze FINANCIAL ORGANIZATION Marcus Nadler FINANCIAL STATEMENTS Alexander Wall FINES William Seagle FINK, ALBERT H. L. Caverly FINLAY, GEORGE A. A. Vasiliev FINLEY, ROBERT Abram L. Harris FINOT, JEAN Frank H. Hankins FIORE, PASQUALE Edwin M. Borchard FIRE INSURANCE - AMERICAN S. S. Huebner EUROPEAN Alfred Manes FIRE PROTECTION S. H. Ingberg FISCAL SCIENCE Edwin R. A. Seligman FISHERIES Elmo P. Hohman FISK, JAMES, JR. Thor Hultgren FISKE, JOHN Carl Russell Fish FISON, LORIMER Bernhard J. Stern FITTING, HEINRICH HERMANN A. Arthur Schiller FITZHERBERT, JOHN Ernle FITZHUGH, GEORGE B. F. Wright, Jr. xx Encyclopaedia of the Social Sciences FIVE -YEAR PLAN, RUSSIAN See GOSPLAN FLACH, JACQUES Ch. Pfister FLACIUS, MATTHIAS See MAGDEBURG CENTURIATORS FLAX, HEMP AND JUTE John E. Orchard FLEETWOOD, WILLIAM C. M. Walsh FLEMING, SIR SANDFORD Frank H. Underhill FLEURY, ANDRÉ HERCULE DE Emile Bourgeois FLINT, ROBERT Crane Brinton FLOOD, HENRY W. P. M. Kennedy FLOODS AND FLOOD CONTROL Robert Stewart FLÓREZ ESTRADA, ALVARO Germán Bernácer FLORIDABLANCA, CONDE DE Germán Bernácer FOLK HIGH SCHOOLS Joseph K. Hart FOLKLORE Ruth Benedict FOLKWAYS Maurice R. Davie FONTANELLA, JUAN PEDRO Antonio Royo Villanova FONTENELLE, BERNARD LE BOVIER DE Daniel Mornet FOOD AND DRUG REGULATION Carl L. Alsberg FOOD GRAINS See GRAINS FOOD INDUSTRIES INTRODUCTION Inez Pollak BAKING INDUSTRY Europe Ursula Batchelder Stone United States G. A. Stephens BEVERAGE INDUSTRY Robert W. Dunn CONFECTIONERY INDUSTRY Robert W. Dunn FOOD DISTRIBUTION Grocery Trade Paul H. Nystrom Perishable Products, United States W. P. Hedden Food Distribution in Western Europe Inez Pollak Food Distribution in Russia Alexander Gourvitch FOOD SUPPLY Louis M. Hacker FORBONNAIS, FRANÇOIS VÉRON DUVERGER DE Louise Sommer FORCE, POLITICAL W. Y. Elliott FORCED LABOR Raymond Leslie Buell FORCED LOANS W. Lotz FORD, HENRY JONES Francis G. Wilson FORECASTING, BUSINESS Garfield V. Cox FOREIGN CORPORATIONS Henry E. Foley FOREIGN EXCHANGE James W. Angell FOREIGN INVESTMENT M. Palyi FOREIGN LANGUAGE PRESS Caroline F. Ware FOREIGN POLICY See INTERNATIONAL RELATIONS FOREIGN TRADE See INTERNATIONAL TRADE FOREL, AUGUSTE HENRI Robert Briffault FORESTS Raphael Zon FORSTER, WILLIAM EDWARD Edward H. Reisner FORTESCUE, SIR JOHN Theodore F. T. Plucknett FORTUNATOV, ALEKSEY FIODOROVICH V. A. Kossinsky FORTUNES, PRIVATE ANTIQUITY Clemens Bauer MEDIAEVAL AND EARLY MODERN PERIOD Jakob Strieder MODERN PERIOD Lewis Corey FOSCOLO, UGO Guido de Ruggiero FOSTER, WILLIAM ALEXANDER y. Bartlet Brebner Contents XXl FOUCHÉ, JOSEPH Crane Brinton FOUILLÉE, ALFRED JULES ÉMILE G. L. Duprat FOUNDATIONS See ENDOWMENTS AND FOUNDA- TIONS FOUR DOCTORS F. de Zulueta FOURIER AND FOURIERISM Edward S. Mason FOURNIÈRE, EUGÈNE Paul Louis FOVILLE, ALFRED DE François Simiand FOWLER, WILLIAM WARDE Lewis Richard Farnell FOX, CHARLES JAMES John Lawrence Hammond FOX, GEORGE Philip S. Belasco FOYNITSKY, IVAN YAKOVLEVICH M. Chubinsky FRANCE, ANATOLE Matthew Josephson FRANCHISE See SUFFRAGE FRANCHISES See PUBLIC UTILITIES; CORPORA- TION FRANCIA, JOSÉ GASPAR RODRIGUEZ José Ots y Capdequi FRANCIS JOSEPH I Oscar Jdszi FRANCIS XAVIER K. S. Latourette FRANCISCAN MOVEMENT Helen Sullivan FRANCK, SEBASTIAN Karl Völker FRANCKE, AUGUST HERMANN Koppel S. Pinson FRANCKE, ERNST Ludwig Heyde FRANK, JOHANN PETER W. W. Ford FRANK, LUDWIG Gustav Mayer FRANKEL, LEÓ Robert Braun FRANKEL, ZECHARIAS Salo Baron FRANKING Frederic A. Ogg FRANKLIN, BENJAMIN Carl Becker FRANKO, IVAN M. Wozniak FRANTZ, KONSTANTIN Kurt Borries FRATERNAL INSURANCE See FRATERNAL ORDERS; INSUR- ANCE FRATERNAL ORDERS Frank H. Hankins FRATERNIZING Harold D. Lasswell FRAUD Max Radin FRAUDS, STATUTE OF Arthur L. Corbin FREDERICK I Walther Holtzmann FREDERICK II Karl Hampe FREDERICK II Ferdinand Schevill FREDERICK WILLIAM Georg Küntzel FREDERICK WILLIAM I Georg Küntzel FREE LOVE Robert Briffault FREE PORTS AND FREE ZONES Sven Helander FREE SILVER Harold L. Reed FREE TRADE J. F. Rees FREEDOM See LIBERTY FREEDOM OF ASSEMBLY See ASSEMBLY, RIGHT OF FREEDOM OF ASSOCIATION Harold J. Laski FREEDOM OF CONTRACT Walton H. Hamilton FREEDOM OF SPEECH AND OF THE PRESS J. M. Landis FREEDOM OF THE SEAS Pitman B. Potter FREEHOLD Richard B. Morris FREEMAN, EDWARD AUGUSTUS Howard Robinson FREEMASONS See MASONRY xxii Encyclopaedia of the Social Sciences FREETHINKERS Robert Eisler FRENCH REVOLUTION Albert Mathiez FRENEAU, PHILIP MORIN Allan Nevins FREQUENCY DISTRIBUTION Harold Hotelling FRÉRET, NICOLAS André Piganiol FRÉRON, ELIE CATHERINE Bernard Fay FREYCINET, CHARLES DE Georges Weill FREYTAG, GUSTAV Koppel S. Pinson FRICK, HENRY CLAY Colston E. Warne FRIED, ALFRED HERMANN Walther Schücking FRIEDBERG, EMIL ALBERT Gottfried Langer FRIEDJUNG, HEINRICH Viktor Bibl FRIEDLÄNDER, LUDWIG Wilhelm Weber FRIEDLÄNDER, MAX A. Coralnik FRIENDLY SOCIETIES W. H. Dawson FRÖBEL, FRIEDRICH Fritz Halfter FROISSART, JEAN G. G. Coulton FRONTENAC, COMTE DE PALLUAU ET DE Gustave Lanctot FRONTIER -AMERICAN HISTORY Frederic L. Paxson GEOGRAPHICAL AND SOCIAL ASPECTS Rupert B. Vance FROUDE, JAMES ANTHONY E. P. Cheyney FRUIN, ROBERT JACOBUS Albert Hyma FRUIT AND VEGETABLE INDUSTRY Wells Alvord Sherman FRY, ELIZABETH GURNEY Harry E. Barnes FUCHS, ERNST .7. Wilhelm Hedemann FUEROS SeeCUSTOMARY LAW; CIVIL LAW FUETER, EDUARD Emil Dürr FUGGER FAMILY Jakob Strieder FUKUZAWA, YUKICHI Kiyoshi K. Kawakami FULL FAITH AND CREDIT CLAUSE Hessel E. Yntema FULLER, (SARAH) MARGARET Granville Hicks FUNCTIONAL REPRESENTATION William A. Robson FUNCTIONALISM Horace M. Kallen FUNDAMENTALISM H. Richard Niebuhr FUNERALS John C. Gebhart FUNK, FRANZ XAVER VON G. Briefs FUOCO, FRANCESCO Riccardo Dalla Volta FUR TRADE AND INDUSTRY Harold A. Innis FURNITURE- GENERAL AND HISTORICAL Edwin Avery Park FURNITURE INDUSTRY George Marshall FUSTEL DE COULANGES, NUMA -DENYS Marc Bloch GABELLE SeeSALT GAGERN, HEINRICH VON Ludwig Bergstrasser GAIUS H. D. Hazeltine GAJ, LJUDEVIT Josef Matl GALES, JOSEPH, JR. Allan Nevins GALIANI, FERDINANDO Fausto Nicolini GALILEO GALILEI Benjamin Ginzburg GALL, FRANZ JOSEPH A. A. Roback GALLATIN, ALBERT Henry Steele Commager GALLICANISM Georges Weill GALLIENI, JOSEPH -SIMON Stephen H. Roberts GALLUPPI, PASQUALE Rodolfo Mondolfo GALT, SIR ALEXANDER TILLOCH O. D. Skelton GALTON, SIR FRANCIS A. A. Roback Contents xxiü GÁLVÉZ, JOSE DE Lillian Estelle Fisher GAMA BARROS, HENRIQUE DE Fidelino de Figueiredo GAMBETTA, LEON John M. S. Allison GAMBLING -GENERAL AND HISTORICAL Collis Stocking LEGAL ASPECTS William Seagle GAME LAWS Summerfield Baldwin GAMES See PLAY GANGS Frederic M. Thrasher GANIVET, ANGEL José Ots y Capdequi GANS, EDUARD Martin Busse GANTT, HENRY LAURENCE H. S. Person GAPON, GEORGIY APOLLONOVICH Vladimir Bourtzeff GARCÍA MORENO, GABRIEL Carlos Pereyra GARDEN CITIES Thomas Adams GARDINER, SAMUEL RAWSON Arthur Lyon Cross GARIBALDI, GIUSEPPE Pietro Silva GARMENT INDUSTRIES Leo Wolman GARNEAU, FRANÇOIS XAVIER Gustave Lanctot GARNIER, GERMAIN Ernest Teilhac GARNIER, JOSEPH CLEMENT Ernest Teilhac GARRETSON, AUSTIN BRUCE Donald R. Richberg GARRISON, WILLIAM LLOYD E. Pendleton Herring GARY, ELBERT HENRY Meredith Givens GAS INDUSTRY Russell S. McBride GASCA, PEDRO DE LA Carlos Pereyra GASOLINE TAX George O. Virtue GASPARIN, COMTE DE Michel Augé -Laribé GATSCHET, ALBERT SAMUEL John R. Swanton GAUDENZI, AUGUSTO Arrigo Solmi GAUDIG, HUGO Helmut Wiese GAUDIN, MARTIN MICHEL CHARLES Marcel Marion GEBHART, NICOLAS EMILE Edward M. Hulme GEIGER, ABRAHAM Ismar Elbogen GEIJER, ERIK GUSTAF Laurence M. Larson GEISTESWISSENSCHAFTEN Carl Brinkmann GELASIUS I A. J. Carlyle GENERAL PROPERTY TAX Harley L. Lutz GENERAL STRIKE Wilfred Harris Crook GENEVA CONVENTION See RED CROSS GENIUS Otto Klineberg GENOVESI, ANTONIO Guido de Ruggiero GENS See SOCIAL ORGANIZATION GENTILI, ALBERICO W. S. M. Knight GENTLEMAN, THEORY OF THE Arthur Livingston GENTZ, FRIEDRICH VON Kurt Groba GEOGRAPHY Carl Sauer CULTURAL HUMAN Camille Vallaux ECONOMIC Karl Sapper GEORGE III R. Coupland GEORGE, HENRY R. G. Tugwell GERBER, KARL FRIEDRICH WILHELMVON Ernst von Hippel GERHOH OF REICHERSBERG A.J. Carlyle GERLACH, ERNST LUDWIG VON Alfred von Martin GERLACH, OTTO ADOLPH JOSEPH Karl Bräuer xxiv Encyclopaedia of the SocialSciences GERLAND, GEORG W. E. Miihlmann GERMAN CIVIL CODE y. Wilhelm Hedemann GERONTOCRACY W. C. MacLeod GERRYMANDER William Seal Carpenter GERSHUNI, GRIGORY ANDREYEVICH Alexander Gourvitch GERSON, JOHN Richard Scholz GERTZENSTEIN, MIKHAIL YAKOVLEVICH See HERTZENSTEIN, MIKHAIL YA- KOVLEVICH GERVINUS, GEORG GOTTFRIED Alfred Stern GESELL, SILVIO Franz Haber GESHOV, IVAN EVSTRATIEV R. H. Markham GESNER, JOHANN MATTHIAS Robert Reigbert GESTALT K. Koffka GHAZZALi, ABÜ- HAMID MUHAMMAD IBNMU- HAMMAD AL -TUST AL- SHÄFI`i AL- B. Carra de Vaux GHETTO Jakob Lestschinsky GIANNI, FRANCESCO MARIA Luigi Einaudi GIANNONE, PIETRO Guido de Ruggiero GIANNOTTI, DONATO Guido de Ruggiero GIBBINS, HENRY DE BELTGENS y. F. Rees GIBBON, EDWARD y. B. Black GIBSON, JOHN BANNISTER Orrin K. McMurray GIDDINGS, FRANKLIN HENRY Bernhard y. Stern GIERKE, OTTO VON Carl Joachim Friedrich GIESELER, JOHANN KARL LUDWIG Karl Volker GIESSWEIN, SANDOR Rusztem Vdmbéry GIFFEN, SIR ROBERT W. A. Basham GIFT TAX See INHERITANCE TAXATION GIFTS -PRIMITIVE H. Newell Wardle LAW OF GIFTS James Bradley Thayer GILBART, JAMES WILLIAM T. E. Gregory GILBERT, THOMAS John Lawrence Hammond GILBRETH, FRANK BUNKER H. S. Person GILMAN, DANIEL COIT Bernard Iddings Bell GINER DE LOS RÍOS, FRANCISCO C. Bernaldo de Quirós GINN, EDWIN Merle E. Curti GINSBERG, ASHER Hans Kohn GIOBERTI, VINCENZO Guido de Ruggiero GIOIA, MELCHIORRE Rodolfo Mondolfo GIOLITTI, GIOVANNI Luigi Salvatorelli GIRARD, JEAN -BAPTISTE N. Roubakine GIRARD, PAUL FREDERIC Paul Collinet GIRARDIN, ÉMILE DE Georges Weill GIRDLESTONE, EDWARD y. A. Venn GIRL SCOUTS See BOYS' AND GIRLS' CLUBS GIRY, ARTHUR Louis Halphen GIUSTI, GIUSEPPE Gaetano Mosca GLADSTONE, WILLIAM EWART Francis W. Hirst GLANVILL, RANULF DE Theodore F. T. Plucknett GLASER, JULIUS Erich Schwinge GLASIER, JOHN BRUCE Max Beer GLASS AND POTTERY INDUSTRIES Boris Stern GLASSON, ERNEST DESIRE Henri Lévy- Ullmann GLEASON, ARTHUR HUNTINGTON Paul U. Kellogg GLOSSATORS H. D. Hazeltine Contents xxv GNEIST, RUDOLPH VON Ernst von Hippel GOBINEAU, (JOSEPH) ARTHUR DE Gottfried Salomon GOBLET D'ALVIELLA, EUGÈNE FÉLICIEN ALBERT A. Eustace Haydon GODEFROY, DENIS and JACQUES F. de Zulueta GODIN, JEAN BAPTISTE ANDRÉ V. Totomianz GODKIN, EDWIN LAWRENCE Allan Nevins GODWIN, MARY WOLLSTONECRAFT See WOLLSTONECRAFT, MARY GODWIN, WILLIAM H. N. Brailsford GOETHE, JOHANN WOLFGANG Hermann A. Korff GÖK ALP, ZIYA Ahmet Emin GOKHALE, GOPAL KRISHNA C. F. Andrews GOLD Joseph Kitchin GOLD EXCHANGE STANDARD See MONEY; FOREIGN EXCHANGE GOLD STANDARD See MONEY GOLDENWEISER, ALEXANDER SOLOMONOVICH Alexander Goldenweiser GOLDIE, SIR GEORGE DASHWOOD TAUBMAN Leland H. Jenks GOLDSCHMIDT, LEVIN Ernst Heymann GOLDZIHER, IGNAZ Louis Massignon GOLTZ, THEODOR VON DER F. Beckmann GOMEL, CHARLES Marcel Marion GOMME, SIR GEORGE LAURENCE R. R. Marett GOMPERS, SAMUEL Norman J. Ware GONNER, SIR EDWARD CARTER KERSEY L. L. Price GONZÁLEZ DE CELLORIGO, MARTÍN Robert S. Smith GOOD OFFICES See MEDIATION GOOD ROADS MOVEMENT See ROADS GOODWILL Kemper Simpson GOOS, CARL Frantz Dahl GORDON, AARON DAVID Hans Kohn GORING, CHARLES BUCKMAN Thorsten Sellin GOROSTIAGA, JOSÉ BENJAMÍN Juan A. González Calderón GÖRRES, JOSEPH VON Koppel S. Pinson GORTER, HERMANN Henriette Roland Holst GOSCHEN, FIRST VISCOUNT Lindley M. Fraser GOSPLAN Maurice Dobb Encyclopaedia of the SOCIAL SCIENCES

Encyclopaedia of the Social Sciences

EXPATRIATION. As used in this article theare entitled to and shall receive from this Gov- term means the loss by an individual of citizen- ernment the same protection of persons and ship, or nationality, of a state. While expatria-property which is accorded to native born citi- tion usually connotes permanent departure from zens." The attitude of the United States doubt- the country of which an individual has been aless influenced Parliament in the passage of the national, and naturalization in another country,act of May 12, 1870, which provided that British these elements may not always be present. nationality should be lost through voluntary The Oratio pro Balbo indicates that the rightnaturalization in a foreign state. of a person to change his nationality without ob- On February 22, 1868, while the Warren and taining the express permission of the state wasCostello controversy was still unsettled, George recognized, at least in theory, in Rome in theBancroft, then minister to Germany, signed a time of Cicero. The right does not seem to havenaturalization treaty between the United States been recognized generally in the Middle Ages.and the North German Confederation according Under the feudal system it was possible, how-to which naturalization, coupled with a residence ever, for the subject of a prince to cast off his al-of at least five years in the naturalizing state, was legiance upon performing certain ceremoniesheld to determine the prior allegiance. It was and departing from the kingdom or principality.further provided that the naturalized citizen The common law of England concerning na-should remain liable to punishment in the coun- tionality denied the right of a person to expatri-try of origin for offenses committed before his ate himself without obtaining the express per-emigration and that if he should take up a per- mission of the sovereign. In the early history ofmanent residence in his country of origin he the United States this strict rule of the commonshould be held to have renounced his naturaliza- law was applied by the courts in a number oftion. A residence of two years in the country of cases, notwithstanding the fact that a large partorigin raised a presumption of permanence. This of the citizenship of the United States was madeexcellent treaty was the model for treaties subse- up of persons who had been naturalized and hadquently concluded by the United States with been required to forswear their prior allegiancemany other countries. in applying for naturalization. The executive Notwithstanding the position which the Unit- branch of the government took a more liberaled States had taken with regard to the right of position with regard to the matter, especiallyexpatriation Congress neglected to provide ex- under the guidance of James Buchanan as secre- pressly by legislation how American nationality tary of state and later as president, and endeav-should be lost, until the passage of the Citizen- ored to protect naturalized citizens abroad, even ship Act of March 2, 1907 (34 Stat. 1228), sec- when they were in the territories of the foreigntion 2 of which provides: states from which they came. In this matter diffi- "That any American citizen shall be deemed culties were experienced, particularly in Ger-to have expatriated himself, when he has been many and Great Britain, whence a large part ofnaturalized in any foreign state in conformity the immigration had come. Largely as a result ofwith its laws, or when he has taken an oath of al- the protests in the United States over the arrestlegiance to any foreign state. of Warren and Costello in England, Congress on "When any naturalized citizen shall have re- July 27, 1868, passed an act (Revised Statutes,sided for two years in the foreign state from sects. 1999 -2001) which declared that "the rightwhich he came, or for five years in any other for- of expatriation" was a "natural and inherenteign state it shall be presumed that he has ceased right of all people, indispensable to the enjoy-to be an American citizen.... Provided, however, ment of the rights of life, liberty and the pursuitThat such presumption may be overcome on the of happiness" and that "all naturalized citizenspresentation of satisfactory evidence to a diplo- of the United States while in foreign countries,matic or consular officer of the United States,

3 4 Encyclopaedia of the Social Sciences under such rules and regulations as the Depart-years there has been an extensive movement to- ment of State may prescribe: And provided also,ward the repeal of laws under which women be- That no American citizen shall be allowed to ex-came expatriated through marriage to aliens; the patriate himself when this country is at war." movement has been successful in the United The consensus of opinion as to the meaningStates and in some other countries. of the second paragraph of section 2 seems to The movement toward general acceptance of be that the presumption of expatriation arisingthe doctrine of the right of expatriation has not under it is terminated upon the return of a nat-made great progress in recent years. The provi- uralized citizen to the United States for perma-sion for "expatriation permits" in article 7 of the nent residence. According to an opinion of At-Convention on Certain Questions Relating to torney General Wickersham [28 Op. Atty. Gen.the Conflict of Nationality Laws adopted at the 504 (1910)] the principal object of this provision Conference for the Codification of International is to furnish a rule to enable the secretary ofLaw, which met at The Hague in March -April, state to determine when protection should be 193o, was not acceptable to the United States, denied to naturalized citizens residing abroad.which holds to the position that permits should For discussions of this provision by the courts not be required for expatriation. General assent see United States v. Gay, 264 U.S. 353 (1924); to the doctrine of the right of expatriation will Miller v. Sinjen, 289 Fed. 388 (1923); and Ca-depend upon radical changes in international mardo v. Tillinghast, 29 Fed. (2d) 527 (1928). organization or a general agreement to abandon The laws of the members of the British Com- or greatly reduce armaments. The principalif monwealth of Nations and of the Latin Ameri-not the sole cause of the reluctance of states to can countries, with the exceptionof Argentinagrant freedom of expatriation is the desire to and the Dominican Republic, provide that theirmaintain large standing armies. nationality is lost unconditionally through nat- Under the laws of a number of states their uralization abroad. Similar provisions are foundnationality may be lost without acquisition of in the laws of Japan and of a number of Euro-the nationality of another state, so that the per- pean countries, including Austria,Germany,sons concerned may become stateless(heimat- Denmark, Sweden, Rumania. By the treaties oflos). Furthermore, many persons who lost their Versailles, St. Germaine -en -Laye and Trianon,former nationality as a result of changes in po- Germany, Austria and Hungary agreed to recog-litical boundaries following the World War did nize naturalization of their former subjects bynot acquire a new nationality. Serious national the Allied and Associated Powers as terminatingand international problems have resulted from their former nationality. The United States ob-this great increase in the number of stateless tained the benefit of these provisions throughpersons. These persons are not always welcome the treaties with the states mentioned dated Au-in the foreign countries in which they reside and gust 25, 1921, August 24, 1921, and August 29,lack of passports or visas makes it difficult for 1921, respectively. The laws of a number of Eu-them to go elsewhere. The League of Nations ropean states provide that their nationality is losthas been instrumental in convening several in- through naturalization abroad only in case cer-ternational conferences in their interest. Thus a tain requirements of their military service lawsnumber of European states have agreed to issue have been complied with. The Italian law on theto certain political refugees within their borders subject is unique in that an Italian loses his Ital-uniform documents of identity, known as Nan - ian nationality by naturalization abroad but nev-sen passports. The conference which met at ertheless remains liable for the performance inGeneva in August- September, 1927, recom- Italy of unfulfilled military obligations (art. 8,mended the issuance of documents of identity to law of June 13, 1912). stateless persons in general as well as to persons The laws of various states contain provisionswhose nationality is doubtful or unknown. These under which nationality is lost by acts other thandocuments may be used for identification out- voluntary naturalization in foreign countries.side of the country where they are issued if Among these may be mentioned permanent de-visaed by the proper diplomatic or consular of- parture from the country, residence abroad for aficers, but they do not connote diplomatic pro- specified period, failure to return in time of war,tection by the issuing state. Stateless persons evasion of military service, acceptance of decora-must rely for their protection entirely upon the tions conferred by foreign countries and mar-authorities of the countries in which they find riage of a woman national to an alien. In recentthemselves. Expatriation-Expenditures, Public 5 The 193o Conference for the Codification ofEXPENDITURES, PUBLIC. The expendi- International Law adopted two special agree-tures of all public bodies may functionally be ments concerning statelessness. One providesconsidered public expenditures; but in public that a person born in a state of a mother possess-finance the term is used to designate theex- ing the nationality of that state and a father with-penditures of governments, national, provincial out nationality or of unknown nationality shalland local. They are distinguished from the have the nationality of the state of birth. Theexpenditures of private individuals and associa- other provides for deportation, under certaintions by the fact that they need not pay for conditions, of expatriates to the countries ofthemselves or yield a pecuniary profit, although which they were formerly nationals. These pro-governments may make reproductive expendi- tocols, while helpful, seem unnecessarily limited. tures in establishing profit making enterprises or The number of stateless persons might be re-building highways paid for in whole or in part duced greatly by international agreements whichby taxes on gasoline or automobiles. would obligate each state to confer its national- The development of public expenditures can ity at birth upon all persons who are born withinbe traced 'nly through the modern period, be- its territory and who do not acquire at birth thecause earlier writers in the field of public finance nationality of another state jure sanguins; and tofailed to deal with the cost side of governmental adopt measures for facilitating the naturalizationbudgets. Adam Smith's discussion of "the ex- of stateless persons within their territories, par-penses of the sovereign or commonwealth" in ticularly by shortening the period of residencehis Wealth of Nations (1776) is one of the first required as a condition to naturalization. systematic analyses of the trend of public ex- RICHARD W. FLOURNOY, JR,penditures, but his example was not generally See: CITIZENSHIP; NATIONALITY; ALLEGIANCE; NAT- followed by writers on public finance until nearly URALIZATION; DUAL CITIZENSHIP. a century had passed. Ricardo and Mill neg- Consult: Morse, A. P., Treatise on Citizenship (Boston lected the subject of public expenditures; even 1881); Webster, Prentiss, A Treatise on the Law of as late as 1877 Leroy -Beaulieu stated in his Citizenship (Albany 1891); Van Dyne, F., Citizenship Traité de la science des finances (z vols., Paris) of the United States (Rochester 1904); Cockburn, that an inquiry into state expenditure did not A. J. E., Nationality (London 5869); Gey Van Pittius, belong to the science of finance, which he be- E. F. W., Nationality within the British Commonwealth of Nations (London 193o); Collection of Nationality lieved should concern itself with revenue only. Laws, ed. by R. W. Flournoy, Jr., and M. O. HudsonFew later writers held so extreme a position; (New York 1929); Moore, J. B., Digest of International the great increase in taxation during the nine- Law, 8 vols. (Washington 1906) vol. iii, ch. x, andteenth century, particularly the increase caused Principles of American Diplomacy (New York 1918) by the assumption of new functions by govern- ch. vii; Hyde, C. C., International Law, 2 vols. (Bos- ton 1922); Cogordan, G., Droit des gens, la nationalité ment, forced theoretical and practical considera- (and ed. Paris 189o); Bar, K. L. von, Theorie undtion of the character, purposes and limits of Praxis des internationalen Privatrechts, z vols. (2nd public expenditures. The conspicuous increase ed. Hanover 1889), tr. by G. R. Gillespie (2nd ed. in taxation after the World War produced re- Edinburgh 1892); Borchard, E. M., The Diplomatic newed discussion of public expenditures and Protection of Citizens Abroad (New York 1915); La Pradelle, Albert de, De la nationalité d'origine (Paris proposals for economy and retrenchment. 1893); United States, Citizenship Board, Report on The scope of public expenditures is deter- Citizenship Expatriation and Protection Abroad, 59thmined primarily by the prevailing economic or- Cong., 2nd sess., House Document no. 326 (1906); ganization of society, the functions assigned the Flournoy, R. W., Jr., "Naturalization and Expatria-state and the political pressures of class, group tion" in Yale Law journal, vol. xxxi (1921 -22) 702- 19, 848 -68; Fraser, R. S., "Nationality and Allegi-and sectional interests. A primitive economy ance" in International Law Notes, vol. iv (1919) 12 -34; has neither the complex social organization re- Reale, E., Le régime des passeports et la société desquiring public expenditures nor the wealth to nations (Paris 193o); Harvard Law School, Research indulge them. Functions originally of a private in International Law, Nationality ... Drafts ... incharacter or non -existent may become govern- Anticipation of the First Conference for the Codification of International Law (Cambridge, Mass. 1929); Con- ment functions and increase government costs. ference for the Codification of International Law, Early capitalism insisted on restricting the ex- The Hague, March - April, 193o. Official Documents, penditures of the absolutist state; the contem- League of Nations publication, 193o. v. 3 (Geneva porary democratic state has increased them 193o); American Journal of International Law, vol. xxiv (193o) no. 3, devoted to the discussion of nation- beyond the dreams of its predecessors; while the ality at the Hague conference. communist state would enormously enlarge the 6 Encyclopaedia of the Social Sciences scope of public expenditures. Class, group andthe essence of constitutionalism is parliamentary sectional interests clash continuously over thecontrol of public revenue and expenditure. amount and legitimacy of public expenditures, The expenditures of modern governments particularly in a democratic society. differ almost as much from the expenditures of In early forms of social organization publicthe corresponding units two centuries ago as life and family life were closely linked, and therethey do from the great states of ancient times. was little public expenditure in the sense inWith the exception of defense the expensive which the term is now used. Public expendituresstate functions of today owe either their origin developed with increasing social differentiationor the greater part of their development to the and political organization. Ordinarily religiousdemands of modern industrial society. Certain activities were the most expensive social func-functions, like that of general education, were tion and that which was most likely to be metformerly unexercised or were carried on by the from the public purse. Defense, the secondchurch or feudal organization. Other duties, costly function of early times, was ordinarilysuch as maintaining public health and sanita- contributed by the citizens in their own personstion, were performed only irregularly and im- and with their own arms as a matter of course; perfectly. when military expenditures assumed large pro- When Adam Smith wrote the Wealth of Na- portions they were paid for by levies on con-tions the outlines of modern public expenditures quered and subject peoples. Monuments andwere beginning to emerge. In harmony with the other works of art constituted another important laissezfaire philosophy of rising capitalism form of public expenditure. Some of the greatSmith limited the role of the state, but at the states of early times developed expendituressame time he maintained that its duties included which resemble those of the states of today.not only defense and internal protection but Athens stood out among the nations of Greecealso the erection and maintenance of "those as a society which emphasized publicworks, public institutions and those public works, maintained a service for the aid of dependentwhich, though they may be in the highest degree children and adults, and escaped heavy militaryadvantageous to a great society, are, however, of expenditure on account of the voluntary servicessuch a nature, that the profit could never repay rendered by its citizens. Rome developed build-the expense to any individual or small number ings and roads as actively as a thriving new stateof individuals" (bk. v, ch. i). The public works or province of the twentieth centuryand dis-which were advocated included chiefly those for tributed public relief much in the manner of afacilitating commerce, such as roads, canals and modern city during periods of unemployment.bridges, and institutions for the education of The expansion of public expenditures in Romeyouth and for the instruction of people of all was paralleled by a gradualdifferentiation ofages. The interests of capitalism simultaneously public from private revenue. required Iimiting the power of the monarchical- Feudalism brought back a simpler organiza-feudal state to permit the free play of new tion and a tradition which in many ways re- economic forces and increasing the functions sembled that of the ancient patriarchal family,and expenditures of the state to encourage in- and public expenditures as such tended to dis-dustry and commerce. appear. The public purse was mergedwith the The period which has passed since Adam private or feudal purse. The church asitSmith's day represents the coming of the indus- assumed state functions developed its own sys-trial age, with its more complex social organi- tem of public expenditures. Defense becamethezation, and the decided growth of state activities. duty of the feudal organization itself. The costPublic expenditures during this time have shown of protection, like other costs, was incurred fortwo tendencies which reflect the requirements of the benefit of the prince or lord; and it wasthe age: the firstis to increase considerably assumed that whatever activity promoted hisfaster than population and slightly faster than welfare served by the same stroke the welfare ofnational income, and the second is to reflect his people. With the coming of constitutionalthe cost of new government services as well as government the pendulum swung back. Defensethe traditional costs of defense, protection and became again a public function, and at the sameadministration. Adolf Wagner saw in these time the expenses of the crown and governmenttrends a "law of the increase of state activities" became a public responsibility. This principle(Grundlegung der politischen Okonomie, z vols., has persisted through the modern period, for1892-94) according to which "the centraland Expenditures, Public 7 local governments constantly undertake newfourfold multiplication of per capita federal functions, while they perform both old and newexpenditures within two decades is ascribable functions more efficiently and completely." to the influence of wars, which have invariably Many series of figures have been offered byleft distinct and permanent increases in the na- students of public finance to show increases intional budget in the form of debt and pension public expenditures by the principal nationscharges. When such expenditures have once since the industrial revolution. Unfortunately,risen it has proved impossible to force them to few series take price changes into account andreturn to the levels of the preceding periods. consequently they cannot be used with preci-In the American states, the political units which sion. It may be said that the public expenditurescorrespond to European central governments as of western nations increased during the nine-far as the responsibility for education and the teenth century from two to twenty times, andgeneral social services is concerned, per capita the tendency has since continued. costs show nearly as great increases as with the A reliable estimate of the extent to which the federal government. This growth has occurred passage of a century has expanded public ex-in spite of the fact that the social insurance penditures and altered their distribution wasprinciple has not been generally adopted in prepared for the British Committee on NationalAmerican states. It is apparent that expenditure Debt and Taxation (the "Colwyn Committee,"for public functions in the United States as a 1924 -27) by W. T. Layton, editor of the Londonwhole shows a tendency to increase like that Economist. According to his figures, which arewhich is found in European budgets in spite of summarized in Table 1, expenditures of thethe difference in the form of administration central government absorbed 5 percent more and in the allocation of public duties. According of the British national income in 1923 than into the calculations of the National Industrial 1818. The ratio of debt services to the nationalConference Board combined federal, state and income was almost unchanged, but war pensionsmunicipal expenditures in the United States and old age pensions absorbed 2.15 percent morewere $855,000,000 in 1890, $2,919,000,000 in in 1923 than they did a century before and other 1913 and $12,179,000,000 in 1927. Allowing for services had also conspicuously increased. changes in the value of money, there was an increase of 175 percent in 1913 over 1890, 205 TABLE I percent in 1927 over 1913, and 740 percent in PERCENTAGE OF NATIONAL INCOME EMPLOYED IN 1927 over 1890; on a per capita basis the in- GOVERNMENT EXPENDITURES, GREAT BRITAIN, 1818 AND 1923 creases respectively were 8o percent, 148 per- cent and 346 percent. OBJECT OF EXPENDITURE 1818 1923 The services which absorb most of the in- Internal debt service 8.I2 7.89 External debt service 1.24 crease in public expenditures have appeared Pensions (war and old age) .3o 2.45 chiefly since the industrial revolution. As indus- Defense 3.62 2.78 trialism takes over the manufacture of goods Other services 1.68 4.80 formerly produced in households, so the modern Cost of collection .97 .29 state performs functions formerly of an indi- Total expenditure 14.69 19.45 vidual or group character. The scope of these Source: Great Britain, Treasury, Committee on National Debt and Taxation, Report, Parliamentary Papers by Command, functions is enlarged by social development, Cmd. 2800 (1927) p. 235. which makes education, public health and the In the United States, where the central gov-construction of highways cumulatively more ernment by the terms of the federal constitutionimportant. As cities increase in size their over- is permitted few functions other than those ofhead costs increase and require larger govern- defense and the maintenance of the govern-ment services: municipal per capita expenditures mental organization and where the social func-are in direct proportion to the size of cities. tions, including education, the only fully devel-Industry, commerce and labor insist upon serv- oped social service, are therefore relegated forices which increase public expenditures. Many the most part to the states and municipalities,new social problems arise and since late in the a slightly different situation appears. In this casenineteenth century there has been a considerable the assumption of new functions by the centralincrease in public expenditures on social welfare, government accounts for only a small althoughsuch as old age pensions, health and unemploy- gradually rising sector of public expenditure.ment insurance, workmen's compensation and The remainder of the increase apparent in theaid to widows and orphans. In a number of

1a 1'? -. Cltti:, ... 8 Encyclopaedia of the Social Sciences countries older systems of poor relief persistfit of the investing class, a capital levy upon the and extend beyond the boundaries of the specific,rich, the proceeds of which were to be used for social services. But while government outlays on liquidation of the internal debt, was advocated social welfare are increasing rapidly they con-by the British Labour party throughout the first stitute only a small part of public expenditures.post -war decade. It was argued that with a few The costs of social services, exclusive of educa-bold strokes the heavy annual burden imposed tion, ranged in 1927 from approximately 9by these expenditures could be removed or percent of combined expenditures in the Unitedmaterially reduced. The movement failed of States to over 20 percent in Germany; manysuccess through the lack of parliamentary sup- countries spent less than the United States andport from members of other parties, and the none (with the possible exception of Sovietheavy debt charges remained. The debt policy Russia) more than Germany. of the United States was similarly attacked about A study of the objects of public expenditure the same time, although much more moderately. since the World War shows that debt and warIt was the policy of the federal government costs are well in the forefront. National debt,rapidly to decrease the $26,000,000,000 debt defense, pensions and other war charges in 1927 inherited from the World War at the rate of absorbed approximately one quarter of com-about $1,000,000,0oo a year. The government bined public expenditures in the United Statesmaintained this policy of reduction in spite of and Germany and one half in England andthe criticism that it demanded a higher rate of France. The national debts alone are a serious federal taxation than would otherwise have been burden; services on these debts in 1930 -31necessary; but with the arrival of the economic constituted 37 percent of the expenditures ofdepression of 1929 to 1931 the debt reduction the central government in Great Britain and 30program was temporarily abandoned. percent in the United States. Defense expenditures are also subjected to Expenditures in modern states are well aboveattack from time to time. In this case, however, the possible or theoretical minimum which rep- sharp differences of opinion arise between those resents the amount required for debt servicesections of the population which advocate pre- plus those provisions for defense and adminis-paredness for war and those which support tration which satisfy traditions of long standing. programs of armament reduction or disarma- Over and above that minimum is an area where ment from motives of economy or humanitarian- conflicting class, group and sectional interests ism. Military expenditures increase, however, in clash most sharply and affect the amount and spite of all efforts to the contrary. distribution of public expenditures according to The sharpest criticism of all is directed toward the balance of political power. Within this areapublic expenditure for the social services, al- a persistent struggle goes on over increasing orthough they constitute a smaller item than reducing public expenditures. The agitation fornational debt and war charges. These services reduction affects particularly the social servicesare modern in character and involve antagonistic which the state has taken over recently but isclass and group interests; for these and other by no means limited to that field. Debt reductionreasons pressure is constantly brought to bear and economies in defense and administrationupon legislators for retrenchment. Such protests are advocated with almost the persistence whichare frequently based in part upon the fact that marks the constant criticism of the social services.public expenditures on the social services effect Criticism of debt payments as a part of publica considerable redistribution of income. Money expenditure is reflected in the position of theis taken from those most able to pay and is British public on the debt incurred in the Worlddistributed to the less fortunate in the form of War. The British dead weight debt increasedpublic services. In Great Britain, for example, from £650,000,000 in 1914 to £7,800,000,000according to evidence given before the Unem- in 1920. About six sevenths of this amount rep-ployment Insurance Commission in 1931, a sum resented the debt which was owed internallyequal to one seventh of the nation's weekly wage and was therefore susceptible of adjustmentbill was being paid out in cash weekly in the six without jeopardizing the British government'schief social service accounts. Only 18 percent of foreign relations. In order to reduce the heavythat amount was estimated to be contributed by annual charge for principal and interest on thisthe workers; the remainder came for the most debt, a charge which was assumed to be paidpart from taxation, the chief element in which by the working class through taxes for the bene- was taxation of personal incomes. It might Expenditures, Public 9 therefore be said that in Great Britain incomelutist state; Adam Smith broadened the classifi- was being redistributed through levies upon thecation to include the needs of rising capitalism. income taxpayer and subsidies of a total ofBut Adam Smith in no wise settled the question, $20,000,000 weekly to the dependent classes.as state functions and expenditures assumed This argument is used in all countries in oppo-new forms and purposes. Gustav Cohn's four- sition to public expenditures on social services.fold grouping has been provocative for students It is also maintained that the effect of heavyin later years; he classified expenditures func- taxation for the support of social services is ationally according to benefit -functions per- burden upon industry and economically unjusti-formed solely for the benefit of the individual fiable. This contention opens up the question ofand for which he would naturally be expected productive and unproductive public expendi-to pay; functions which benefit chiefly certain tures. The older conception of what is unpro-individuals but which society accepts in a larger ductive is untenable; nevertheless, many publicsense; functions which aid the handicapped; and expenditures are clearly unproductive, such asfunctions which confer a common benefit upon expenditures on war or on graft, waste andall members of society. But suggestive as this bureaucratic inefficiency. Economic services byclassification is, it has its limitations and throws governments are productive; the construction ofno light upon other important problems such highways, for example, is of value to producersas are involved in revenue, administration and the of materials and of automobiles. But the sociallike. Recent discussion has mainly concerned the services may be equally productive. Modernpracticable way of obtaining a functional classi- business is inconceivable without universal edu-fication of public expenditures from the de- cation. Sanitation, training of defectives andpartmental accounts which governments pub- social insurance increase productive efficiencylish. The League of Nations uses the following by promoting individual well- being. Frequentlyclassification: defense, foreign affairs, colonial the same groups which demand retrenchmentaffairs, supreme organs and general administra- in some item of public expenditure urge antion, public health, social welfare, education, increase in other items; and while each groupscience and arts, economic administration, finan- may oppose demands of the others, the net re-cial administration, pensions and debt service. sult is a further increase in public expenditures. But since classification depends upon purpose, It has been regarded as an axiom of publicother classifications are necessary for a complete finance that public expenditures determine pub-understanding of public expenditures. For ordi- lic revenue; while the spending of an individual,nary purposes a functional classification is most in contrast, is cut or measured according to hisuseful, particularly if the expending organs are income. Although the traditional description of organized on a functional basis. public expenditures appears to hold good with Public expenditures are increasing inall respect to the social services it is not necessarily countries. There are considerable variations in valid for public expenditure in general, as C. C.amount and distribution determined by the de- Plehn has pointed out in his Introduction togree of economic development, the prevalence Public Finance. Exceptions may occur on ac-of war and the extent of social services. The best count of a legislature's consideration of theavailable basis for comparison is the relation of taxpayers' existing burden in the instances wherepublic expenditure to national income, which unexpectedly fruitful taxation provides surplusshould be supplemented by figures for public revenue or when, as in case of war, expendituresexpenditures per capita. rise so rapidly that it would be unsettling to Differences in the forms of political organi- increase current revenues in proportion. zation considerably affect the distribution of An understanding of the character and costs expenditures between central and local govern- of government activities depends upon the ade- ments. In France expenditures of the central quate classification of public expenditures. Stu-governments constituted approximately four dents of public finance differ considerably infifths of the total, three quarters in Italy, three their classifications, which are influenced byfifths in Great Britain, one half in Japan and theories of public spending and by interpreta- Canada and one third in the United States and tions of state functions. Classifications are fixedGermany. It is apparent that comparisons of while expenditures change. German economistsnational expenditures alone are misleading. Ex- of the seventeenth century classified public ex-cluding the United States and Canada, there penditures according to the needs of the abso-are no considerable variations in public expendi- io Encyclopaedia of the Social Sciences tures as percentages of national income, althoughA. C. Pigou; Cohn, Gustav, System der Nationalöko- the percentages must be taken with caution nomie, 3 vols. (Stuttgart 1885 -98) vol. ii, tr. by T. B. Veblen as The Science of Finance (Chicago 1895); owing to the tentative character of the data on Colm,Gerhard,VolkswirtschaftlicheTheorieder national incomes. Staatsausgaben (Tübingen 1927); Rendu, André, La loi de Wagner et l'accroissement des dépenses dans les TABLE Il budgets modernes (Paris191o); Chicos, Stéfan, Le PUBLIC EXPENDITURES IN SELECTED COUNTRIES, 1927* contrôle de l'engagement des dépenses publiques (Paris 1929); Kuczynski, Jürgen, Der Staatshaushalt; ein TOTAL PUBLIC Beitrag zur Erkenntnis der Struktur des kapitalistischen BY EXPENDITURES BY und des kommunistischen Staates (Berlin 1927); Guest, CENTRAL CENTRAL AND LOCAL Harold W., Public Expenditure; the Present Ills and the GOVERN- COUNTRY GOVERN- PERCENT Proposed Remedies (New York 1927); Walker, M. L., MENT (IN MENT (IN MENT ,(IN OF PER Municipal Expenditures (Baltimore 1930); American ÿI,000,000)NATIONALCAPITA INCOME Academy of Political and Social Science, "Taxation and Public Expenditures," Annals, vol. xcv (1921); United States 4,069 12,179 i6 $ioz National Industrial Conference Board, Cost of Gov- Great Britain 3,815 6,084 29 135 ernment in the United States, 1928 -29 (New York Germany 1,561 4,093 3o 65 1931); Great Britain, Treasury, Committee on Na- France 1,661 2,102 25 51 tional Debt and Taxation, Report,Parliamentary Italy 1,072 1,403 3o 35 Papers by Command, Cmd. z800 (1927); League of Japan 644 1,424 24 23 Nations, Memorandum on Public Finance, 1926 -28 Canada 325 701 13 76 (Geneva 1929). * Operating expenditures of post offices and other state economic enterprises are excluded. Source: Compiled from the official statistical yearbooks and EXPERT. The use of the expert in government abstracts for 1930 of Great Britain, Germany, France, Italy and and social affairs has assumed prominence con- Canada; League of Nations, Memorandum on Public Finance, 1926 -1928 (Geneva 1929); NationalIndustrialConference currently with the adoption of a new notion of Board, Cost of Government in the United States, 1927 -1928 (New York 1930); Fisk, H. E., "Some New Estimates of National the function of government itself. This has come Incomes" in American Economic Review, vol. xx (1930) 20-27. to be thought of not as the keeping of the peace and the enforcement of contracts but as the fa- Public expenditures are ordinarily higher thancilitation of the good life and the removal of taxation. The ratio of taxation to public expend- friction by a technique of social engineering. The itures varies in different years and in differentnovel complexity of modern social conditions countries; in 1927 the ratio was approximatelyhas rendered the development of such a tech- three fifths in Canada, Japan and Italy, sevennique imperative for efficiency. tenths in Great Britain and Germany, three The recognition of the need for superior or fourths in the United States and four fifths inesoteric knowledge in government is not new. France. The difference was made up by loans,The medicine man or shaman laid claim to such administrative revenues and profits from gov-knowledge and it has been the basis of the power ernment economic enterprises such as postof the priest in government as distinct from that offices, railways and monopolies. of the warrior. The pontiffs of very early Rome, Public expenditures and consequently taxa-if folk etymology is correct, may have assisted tion absorb a growing proportion of the nationalwith their knowledge of spells and omens the income. In spite of the demands for retrench-skill of the engineer. Certainly such priestly as- ment the tendency is for public expenditures tosistance was given to military leaders. The first continue to grow as governments absorb morephilosophical exponent of the notion of govern- economic and social functions in harmony withment by the expert was Plato. Plato, however, the growing complexity of society and the pres- does not visualize the expert in government as a sure of group and class interests. priest possessed of occult knowledge but rather ALZADA COMSTOCK as a technician, comparable to the physician or See: PUBLIC FINANCE; REVENUES, PUBLIC; TAXATION; the weaver yet possessing not merely practical BUDGET; FINANCIAL ADMINISTRATION; LOCAL FI- skill but precise and systematic knowledge of his NANCE; WAR FINANCE; ARMAMENTS; PUBLIC DEBT; subject, which was the architectonic one of so- PUBLIC WORKS; AGRICULTURE, GOVERNMENT SERVICES FOR; BUSINESS, GOVERNMENT SERVICES FOR; LABOR, cial or political control. A fusion of these two GOVERNMENT SERVICES FOR; SOCIAL INSURANCE; SO- notions of special grace and of superior technical CIAL WORK. knowledge underlies the Catholic doctrine of a Consult: Standard textbooks on public finance such aspriesthood entrusted with the spiritual direction those by Paul Leroy -Beaulieu, C. F. Bastable, H. C. of Christian society. Adams, C. C. Plehn, G. Findlay Shirras, H. L. Lutz, The insistence of Protestantism upon the om- Expenditures, Public- Expert I r nicompetence of the private conscience aided bybe discussed by persons of appropriate training; a common sense interpretation of the open Bible,and, second, to the appointment of persons of symbolized by the burning by Luther of theexpert knowledge, such as consulting psychia- book of the canon law, was entirely inimical totrists, as advisers to the court. This latter tend- the recognition of the expert in religious society.ency has the merit of securing impartiality and When the modern democratic movement sprang eliminating the presence of experts brought in to out of the Puritan rebellion there was a like in-give evidence favorable to the rival parties in sistence upon the sufficiency of the plain mansuits. In connection with the work of theexec- and of the amateur, which reached its culmina-utive a distinction is now being made between tion in the political philosophy of Andrew Jack-advice based upon a technical knowledge of de- son. Whereas these democratic movements werepartmental administration, such as the civil serv- largely led by lawyers, members of what canice possesses, and advice based upon fundamen- claim to be the first secular expert profession,tal research unlimited by any administrative the twentieth century saw an interesting revoltpresuppositions. The appointment in 193o of against the tendency of this profession to mo-the British Economic Advisory Council, insuc- nopolize legislative posts. As a sign of the turncession to the Committee of Civil Research, isa of the tide it may be noticed that this agitationsign of the development and organization of this was conducted, especially under the emergencybranch of the public service in the economic demands of war, in the name of "business gov-field. Such technical study has of course long ernment." been recognized as important in military and The demand for greater perfection in admin-admiralty matters. Economic planning has been istrative methods, the enlargement in scope ofutilized most extensively in Soviet Russia and what are understood to be the functions of gov-in Fascist Italy. When governments begin to lay ernment, and the increasing complexity of civili-down regulations in the field of hygiene, medical zation and its needs, involving division of labor officers are required and an intimate relationship and specialization, have all militated in favor ofbecomes necessary between the government and the use of the expert. In the civil service of Ger-purely scientific bodies such as the Medical Re- many, Great Britain and other nations the polit-search Council in Great Britain. The extent to ical appointee has been progressively replacedwhich the economic development of tropical by those admitted as the result of competitivecountries depends upon advice from medical, examination, who are expected to look uponbiological and agricultural experts has beenre- their work as a life profession. The expert knowl-cently recognized, as has the importance of eth- edge of civil servants, their organization andnologists and anthropologists in dealing with their power have grown in many countries toprimitive tribes and in other problems of colonial such a point that attention is being directed togovernment. The psychologist's competence to the question how far the civil service is trespass-advise in the field of education is also recognized. ing upon the proper field of the judiciary and the A higher administrative standard andan ex- legislature. The same tendency to increase thepansion of the field of government activities have power of the governmental expert is apparent inbeen sought as the greater complexity of the the field of local government, especially in con-problems of control in the modern world and the nection with the appointment of city managersincompetence of lay common sense to deal with to exercise the powers once vested in electedthem have been recognized. It was inevitable mayors. An interesting corrective to the growththat the increasing use made of the expert ad- of bureaucracy may be found in the rise, espe-viser in the field of business should have its cially in the United States, of expert institutionsrepercussion upon political and organized social and research bureaus able to supply technicallife. Matters hitherto regarded as appropriate for information and advice, but whose members are the activities of the politician are now felt to be not recipients of official salaries and enjoy nonemore wisely handed over to economic or finan- of that administrative power which renders bu-cial experts for investigation, which has fre- reaucratic esprit de corps dangerous. quently compelled the acceptance of conclusions The assumption of new and more delicateentirely unpalatable to popular taste and unlikely functions by the legislature and the courts in theto be reached by unaided lay judgment. Success- modern state has led, first, to serious discussionful work was performed by such experts under of reform with a view to placing representationthe auspices of the League of Nations inconnec- upon a functional basis so that legislation mighttion with the financial reconstruction of Hungary 12 Encyclopaedia of the Social Sciences and Austria and the advice given to several coun-such as the French Revolution was able to uti- tries in currency problems. The most strikinglize, in the military field, in its later phases; and instance of the transfer to experts of a question owing to the agricultural character of Russia the once regarded as preeminently political (in thebody of skilled artisans which might provide sense of affecting national security) has been the suitable material for training has been small. In use of the Dawes and Young commissions onGreat Britain on the whole no difficulty has been German war reparations. The value of suchfound in securing the loyal cooperation of a commissions, as General Smuts has pointed out,highly trained upper middle class body of expert is that they enable the politician to protect him-administrators with a socialist government. self from the pressure of ill informed popular The expert is surrounded by none of those clamor. That the suspicion which has generallytrappings of power which have hitherto distin- fastened upon bureaucracy shall not fasten uponguished the rulers of mankind; he is concerned all expertise is one of the matters of prime con-rather with the administration of things than cern in connection with the future of good gov-with the rule of men. Nor is it just to attach ernment. As General Smuts has said, the chiefodium to the expert in the art of ruling, whose political problem of the present is "to find forchief task is to understand human psychology, the expert an organic place in the workings ofbecause departmental experts in banking or in democracy." naval construction often do not understand it at Criticism has been directed against the devel- all. Questions which political experts are called opment of expertise upon the grounds that ex- upon to decide, although ethical when regarded perts are frequently inspired by a caste spirit,as ends, may be technical when regarded as are averse to change, are moved by an arrogancemeans. Professor Charles Beard has pointed out which prevents them from judging the impor- that government constantly faces large questions tance of their own conclusions in proper per-of choice which cannot be solved by scientific spective, and that they sacrifice the insight ofmethod alone -questions involving intuitive in- common sense to the intensity of their ownsight, ethical judgment and valuation. The dif- experience in a limited field and fail to recognizeference between the expert, or Platonic, concep- that demonstrations of fact do not settle issuestion of government and that democratic concep- concerning values. tion which may be described as Jacksonian is Admittedly there is a tendency upon the partthat in the former case the task of the statesman of civil servants to treat human beings "as state -is considered to be that of studying the social documents walking." This trait, however, isproblem and after making his diagnosis of apply- probably distinctive of the administrator anding a remedy at once experimental and scientific, man in office, trained or otherwise, ratherthan consistent both with the ascertained facts and of the expert as such. A more serious risk is thatwith the normative ideals or aims of the society experts working under political authorities within question; while in the latter case the task of whom they are out of sympathy may so use theirthe political amateur is to give expression to the technical skill as to render the plans of their po-will of the sovereign and omnicompetent people litical chiefs abortive. This risk serves as theon matters in which its conscience mayhave justification for the policy, generally identifiedbeen stirred and by this fiat and thaumaturgical with the name of President Jackson but havingprocess to change the social situation in accord- an abundance of precedents in earlierBritish ance with popular wish and caprice without policy, of making extensive changes in the civilregard to any natural laws of human psychology, service with each political change in the admin-economics or sociology. The disasters attendant istration. Especially is this danger of sabotageupon the latter course are written large upon the likely to be real where the experts are drawnpages of history and provide the chief justifica- from the middle classes and forced to work undertion for any plausibility which arguments against a proletarian government, as in SovietRussia.democracy and on behalf of various forms of The situation in Soviet Russia, however, is inbenevolent despotism may possess. many respects peculiar. The revolution has been GEORGE E. G. CATLIN so extreme that it has alienated the bulkof that See: AUTHORITY; COMMON SENSE; AMATEUR; DEMOC- trained intelligentsia which in other countries RACY; BUREAUCRACY; CIVIL SERVICE; PROFESSIONS; EN- has been highly sympathetic toward reform; it GINEERING; EFFICIENCY; EXPERT TESTIMONY; ALIEN- is so recent that time has not yet elapsed for the IST; INTERNATIONAL ADVISERS. training of new and politically sound experts Consult: Smuts, J. C., Africa and Some World Prob- Expert-Expert Testimony 13 lems (Oxford 5930) ch. vi; Zimmern, A. E., Learning and report upon specified issues, as, for example, and Leadership (Geneva 1927); Lippmann, Walter, the codes of France, the Argentine Republic, The Phantom Public (New York 1925); Follett, M. P., Paraguay and Uruguay and also the federal law Creative Experience (New York 1924) ch.i;Laski, Harold J., "Limitations of the Expert" in Harper'sof Switzerland. Thus there develops something Magazine, vol. clxii (193o) los -so; Frankfurter, Felix, like a trial within a trial, the necessity of im- Public and its Government (New Haven 193o) chs. partial judgment by the experts being strongly iv; Beard,Beard, Charles A., "Government by Technolo-emphasized. The weight accorded such experts' gists" in New Republic, vol. lxiii (193o) 115 -20; Dick- inson, John, "Administrative Law and the Fear ofreports varies from country to country, in some Bureaucracy" in American Bar Journal, vol. xiv (1928) systems depending upon the subject matter of 513 -16, 597 -602; Port, F.J., Administrative Lawinvestigation as well as upon the unanimity or (London 1929); Robson, W. A., Justice and Ad-diversity of the reported conclusions. Rather ministrative Law (London 1928); Hewart, Gordon, The New Despotism (London 1929); Finer, Herman,less frequently nations of the civil law group Representative Government and a Parliament of Indus- have provisions for somewhat similar handling try (London 1923); White, L. D., Introduction to the of technical issues in criminal cases. In English Study of Public Administration (New York 1926), and and American courts the use of experts in a judi- The City Manager (Chicago 1927); Weber, G. A.,cial capacity is now rarely if ever seen, but such Organized Efforts for the Improvement of Methods of Administration in the United States (New York 1919). administrative tribunals as railway or commerce commissions and industrial accident boards give EXPERT TESTIMONY. The necessity of es-litigants the advantage of skilled determination. tablishing in litigation points of science, art and A second method of enlisting the services of technical practise has probably been long recog- experts is to employ them as advisers to the nized. Roman praetors on appropriate occasionscourt. Alongside the old practise of summoning appointed physicians, midwives, persons skilledspecial juries English courts early developed a in handwriting, surveyors and presumably math-usage of consulting surgeons, grammarians and ematicians to aid in the performance of judicialmerchants upon technical points. Broad power functions. At present scarcely any countries lack on these lines still exists in England, although regulations respecting expert testimony. In the apparently it is sparingly exercised beyond mari- United States widespread reference of factualtime and patent litigation. In the United States questions to the average intelligence of juriesmost judges would probably hesitate thus to makes the expert particularly necessary. Popular seek advice except so far as permitted under the education can scarcely keep pace with the rapiddoctrine of judicial notice or authorized by extension of applied science. express statute. Where the civil law prevails, Scientific explanations in the court room facesuch consultation is much more acceptable, not difficulties, some of which are inherent andmerely because of code provisions or implica- unavoidable. Litigation may hinge upon matterstions but for lack of the strait laced rules of as to which learned men are honestly at logger-evidence binding Anglo- American courts. heads. Nor are events giving rise to lawsuits A third method of dealing with expert testi- always or even often sufficiently foreseen to bemony, according to which it is presented directly fully observed, let alone controlled. Other diffi-to the jury or other persons trying the facts, culties arise from the nature of judicial proce-has been worked out in Anglo- American law. dure. These can be best realized by consideringCase law on the topic began its growth in the the three principal ways for bringing expertseventeenth century, but it was retarded by the knowledge to bear on litigation. concept that it is for the jury and only the jury An expert or body of experts may be used asto draw inferences and form conclusions, wit- part of the determining tribunal itself. This plannesses being confined to statements of what they appears early in the history of English law.had seen and heard. A definitive English civil Bracton mentions the jury of matrons de ventrecase sustaining the admissibility of scientific inspiciendo. During the fourteenth century, prob- expert opinion (Folkes y. Chadd, 3Dougl. ably earlier and certainly for hundreds of years158), that of a well known engineer, came up thereafter juries of English tradesmen or mer-only as late as 1782. At present the conten- chants tried issues to which their special experi-tious presentation of expert knowledge consid- ence had useful application. Throughout Europe erably overshadows other methods of attaining and South and Central America many codesthe same end in English courts, and very nearly provide elaborately for appointment in civil liti- eclipses them in courts of the United States. gation of experts whose function is to investigateIt is not to be inferred, however, that the alter- 14 Encyclopaedia of the Social Sciences native procedures employed under the civil laware accessible to court, probation officer, prose- similarly eclipse the contentious method beforecutor and defense counsel. Despite imperfect tribunals of other foreign countries. On the con-administration the statute has improved Massa - trary, in France, Germany and elsewhere ex-chusetts practise relating to the common defense perts produced by the parties are heard onof insanity. occasion with such approximation to common At best, however, American courts must long law practise as different trial usage admits. continue to receive most expert evidence through Every method for the securing of expert tes-contentious party presentation. The fundamen- timony is open to some form of criticism. Thetal difficulty here seems largely insurmountable. use of trained minds attached permanently orEx hypothesi experts testify to matters beyond temporarily to the tribunal for determination ofthe training and experience of those who must technical questions seems in theory quite ideal.render the decision of fact. In a clash between American constitutional provisions, however,experts the triers lack qualification to choose guaranteeing "due process of law" or trial by the sounder view. Forensic aptitude and clever jury may require that the determination be ofmanipulation may well oust real learning and prima fade or evidential value only, unless thesolid judgment. Certainly this risk is not les- litigants stipulate for finality. Apart from con- sened by the shallow competency of some "ex- stitutional objections, there is to be considered perts" whom the courts tolerate or by the the added judicial expense of permanent boardsignorance, haggling and artificial restrictions of experts. Moreover, it may be doubted thatwith which lawyers and judges alike sometimes any country could furnish a sufficient numberconfuse presentation of specialized information. and variety of experts both capable and willing.The so- called hypothetical question is only too Furthermore, experts so employed might comeoften a necessity and a very cumbersome one; to constant deadlocks, and the courts might notit can rob an examination of intelligibility if be able to handle the complex problem of ad-framed without the firm mental grasp essential ministration.. The limit of practical advanceto terse description of decisive factors. More- along this line lies perhaps in the establishmentover, it is frequently charged that partisanship of certain technically specialized tribunals orand self -interest fatally depreciate our expert divisions of tribunals, such as the English Com-evidence, a criticism directed particularly at the mercial Court and some American administra- physicians and alienists who are so frequently tive bodies, as well as in the increasing judicialcalled in personal injury actions and criminal and legislative recognition of commercial arbi- prosecutions. Doubtless the evils of expert testi- tration. mony in this respect are exaggerated but the The employment of disinterested experts aspopular view is distinctly cynical, nor are causes advisers to the court seems unworkable wherefor cynicism hard to find. Now and then a juries are finally responsible for solution of fac-notorious case stirs the suspicion that any man tual issues, nor is this way of acquiring infor-with a long enough purse can obtain expert mation beyond reproach even where the judgetestimony on either side of a question or even handles fact as well as law. British commentators on both sides successively. In personal injury object to judicial receipt of advice from personsactions attending physicians naturally testify for whose exact views and possible errors are notplaintiffs and it is frequently obvious that, as the disclosed by open examination. A judge may belitigating patients are without means, the physi- far from infallible in his estimates of professionalcians' only chance of pay for either testimony or competency unrelated to law. Critical commenttreatment is contingent upon legal victory. Yet has also emanated from continental sources, notmany poor men cannot otherwise obtain medi- disclosing the same ingrained faith in cross ex-cal assistance except through charity. amination but emphasizing the risk of unfair In Germany and many other countries experts surprise to litigants. Yet the principle of thisare officially listed or approved. It has been consultative method has been employed in thor-urged that American legislatures or courts, with- oughly commendable fashion. A well knownout trusting blindly to mere mechanical classi- Massachusetts statute -with which may be com-fications, might attempt some weeding out of pared a law of Hungary dating back to 1896 orincompetents by this device. As a corollary trial earlier and a California act of 1929- providesjudges would be expected to require much more for advisory mental examination of certain crim-than perfunctory showings of capacity for the inal defendants before trial. The reports madeparticular business in hand and to prevent the Expert Testimony 15 blocking of scientific elucidation by futile pro-California by acts of 1925 and 1929 had joined cedural technicalities. Sharper and more fre- the states empowering judges to appoint experts. quent limitation of the number of experts to bePractical consequences are debatable. Prediction heard would tend to raise the quality of evidence will surely be unreliable if based only on experi- and to cheapen and expedite proceedings. Aence with officially appointed experts in foreign rule that each party must disclose his list ofcountries where the whole tradition of forensic experts some time before trial is at least worthy specialists has long been of impartiality as op- of consideration. To end the subsidizing of ex-posed to partisanship. Striking nearer home, pertsitis sometimes proposed that they bejudges in one or two of the New England states restricted to the nominal fees payable to layunder statute or by inherent authority have witnesses. Such an extreme practise would im-appointed surveyors to run lines and make plans pose too many burdens upon prominent tech-in land litigation. After doing this work the nicians and professional men and would lowerappointed surveyors may be called as witnesses. the quality of evidence by discouraging adequateIt is said that in Maine the practise succeeds, preparation before taking the stand. A morethe parties rarely attempting to controvert the workable rule would remove the matter of feescourt expert by evidence from opposing experts. from the realm of private agreement and leaveBut here the tribunal deals with what lawyers their amounts to judicial determination. Muchwould think of as scientific fact rather than mere legislation to this effect already exists outsideopinion. As fast as science removes matters from common law countries. Indeed, in some foreignthe field of speculation and controversy to that court systems regular schedules of expert fees of accepted certainty, trouble in proving them prevail. A number of American states have stat-tends to vanish. Expert evidence, if needed at utes empowering judges to grant special witnessall, becomes expositive instead of combative. fees to experts. At least one state, Michigan, has The incentive to call rival witnesses is mini- since 1905 coupled with this a strict provisionmized. In Massachusetts the Industrial Accident forbidding additional compensation, and re-Board, passing upon controversial medical ques- ported decisions indicate that it has not becometions, has found the reports of officially chosen a dead letter. physicians serving for moderate fees satisfactory Another warmly advocated check on partisan-to all concerned, but it is to be remembered ship is judicial appointment of expert witnesses.that the board is really a specialized tribunal This is a common expedient the world overcapable of detecting medical error and not likely and is employed in several American states. But to be unduly moved by any clash of experts. twenty -one years ago the Supreme Court ofPlaintiffs pressing or defendants meeting similar Michigan held that the due process clause ren-claims before ordinary courts might deem it dered unconstitutional a statute providing foradvisable to call their own skilled witnesses judicially appointed experts in criminal homi-despite the use of court appointees. cide cases (People v. Dickerson, 164 Mich. 148). Without denying the wisdom of some legis- Although the parties were permitted to call theirlation to stay obvious abuses, Americans inter- own experts as well, the opinion argued that theested in the betterment of expert testimony may testimony of official experts would receive undue find the practise of English courts a basis for credit and that it was no proper part of thesignificant inference. These tribunals, utilizing judge's function to select witnesses. Not longlittle peculiar legislation about experts but main- thereafter, however, a North Carolina trial judgetaining notably high trial standards, have suc- was sustained by the state Supreme Court when ceeded under the common law in keeping clear he called an expert witness in a murder case onof the more notorious American difficulties. Very his own initiative [State v. Horne, 171 N. C. 787likely America's most substantial hope lies in a (1916)]. In 1930 the Supreme Court of Wiscon-steady lifting of professional attainment and sin sustained a statute resembling the earliermoral tone on the bench, at the bar and in the Michigan act against claims that it compelled ranks of experts themselves. self- incrimination, violated the guaranty of jury JOHN MACARTHUR MAGUIRE trial and entrusted the judge with a non judicial See: EXPERT; EVIDENCE; PROCEDURE, LEGAL; JURY; function (Jessner v. State, 231 N. W. 634). ALIENIST; INSANITY, The Wisconsin decision is likely to shape the Consult: Wenger, Leopold, Institutionen des römischen future trend of decision and to stimulate legis- Zivilprozessrechts (Munich 1925) p. 285 -86; Wigmore, lation. Indeed, even before it was handed down, J. H., A Treatise on the Anglo -American System of i6 Encyclopaedia of the Social Sciences Evidence in Trials at Common Law, 5 vols. (2nd ed. with the idea of surplus value. One may say Boston 1923) vol. i, sects. 555 -71, and vol. iv, sects.that the entire economic system of Marx is a 1917 -2027, 2203; Principles of Judicial Proof, comp.theory of the exploitative process under capi- by J. H. Wigmore (2nd ed. Boston 1931) p. 605 -34; Osborn, A. S., The Problem of Proof (2nd ed. Newarktalism: the first volume of Das Kapital analyzes 1926) chs. xi -xii; American Association for the Ad-the origin of surplus value in the process of vancement of Science, Reports on the Use of Expert production or the methods of labor exploitation; Testimony in Court Proceedings in Foreign Countriesthe second volume explains how the exploita- (Washington 1918); Mallard, Louis, Traité complet detive process affects the circulation of capital; l'expertise judiciaire (5th ed. Paris 1927). the third volume traces the laws determining the division of the total product of exploitation EXPLOITATION. The word exploitation isamong itsbeneficiaries asprofits, rent and a borrowing from the French and originallyinterest. meant the working of mines or farms or similar Marx' theory of surplus value or exploitation enterprises. Its present use in a larger socialis based upon the three distinct concepts of sense may be traced to the idea found in allvalue, labor and labor power. Labor is the only periods of the history of western social thoughtsource of value. Value is the embodiment of a that some individuals, groups or classes benefitcertain amount of average, simple, socially unjustly and unfairly from the labor of or atnecessary labor. The worker sells his labor the expense of others. With the formulationspower, whose value is also measured by the of economic thought by the physiocrats, Adamamount of labor necessary to reproduce it. The Smith and Ricardo this idea assumed a modemworker, however, can and does use his labor form in the distinction between productive andpower longer than is necessary for the repro- unproductive labor and in the analysis of valueduction of its value and thus creates an incre- and of the shares in distribution, althoughment of value -surplus value -which is appro- neither Smith nor Ricardo was much concernedpriated by the employer or by the owner of with such implications of their value concept,the means of production. The process of cre- unless in relation to the returns of the landlordating surplus value is merely the continuation class. of the process of producing value beyond a English anticapitalist and socialist writers ofdefinite point. The various methods by which the third decade of the nineteenth centurycapital exacts this surplus -prolonging hours (Ravenstone, John Gray, Thomas Hodgskin,of work, improving methods of production, in- William Thompson, Robert Owen) formulatedcreasing intensity of labor -and the relation of on the basis of the Ricardian concept the firstvariable to constant capital determine the ex- theories of exploitation in a definite sense of thetent, degree and forms of exploitation. As all term. They regarded all wealth appropriatedvalue is created by labor, surplus value is the by the owners of capital and employers as anonly appropriable surplus available and is the unjust deduction from the product of the la-general form of the sum of all the surpluses borer and condemned the procedure in strongwhich are appropriated without any equivalent terms. Quite independently of Ricardo the con-return by the owners of the means of production cept of exploitation was elaborated about thein the form of profits, interest and rent. Being same time by the Saint -Simonians and laternot only a social thinker but a revolutionist, by Proudhon on the basis of an analysis ofMarx did not confine himself to a mere state- property as the right to enjoy the fruits of laborment of the theory of exploitation. Das Kapital without performing any of the tasks of labor.is strongly tinged with moral indignation and All these writers differed among themselves assatirical denunciations of the exploiting classes to the justness or unjustness of the variousand with profound sympathy for exploited la- rewards of property such as rent, interest andbor. Marx' theory of exploitation and his con- profit. But, unlike social reformers such asdemnation of it became a marked feature of all Sismondi, who regarded exploitation as a regret-socialist arguments and even influenced labor table accident due to individual ignorance ormovements which expressly repudiated Marxian weakness, they agreed that it was an inherentphilosophy, e.g. the American Federation of La- defect of the modern economic system. bor during its earlier history. From these beginnings the idea of exploita- A large part of the economic and social think- tion took a long step toward a large and generaling of the last thirty years may be said to have theory in the work of Marx, who linked it uprevolved around the attempt either to strengthen Expert Testimony-Export Associations 17 or to weaken the theory of exploitation. Mar - inevitable under that system. The non -Marxian ginalist economists and productivity theoriststheorists of imperialism also imply a process of have tried hard to deduce the righteousness ofexploitation of the colonial and semicolonial the price process. Liberal economists such ascountries by the advanced industrial countries, John A. Hobson have attempted to pare downby means of an open or disguised appropriation the theory of exploitation by drawing a dis-of unpaid labor, but to non -Marxians and lib- tinction between necessary costs of maintenance erals imperialist exploitation appears capable of and surpluses and between productive and un- limitation, if not abolition, even under capi- productive surpluses. Socialists of the revisionisttalistic conditions. school dropped the theory of surplus value as The other uses of the term exploitation to inadequate for the explanation of economic facts characterize the status of women, the economic and as of little use for socialist propaganda.dependence of investors on the uncontrolled The upshot of all such thinking has been, onpractises of corporations, or the losses inflicted the one hand, to offer arguments in justificationon farmers through the processes of finance or of the role of direction, management and organi-trade, may be justified either as analogies or as zation in industry and to emphasize the needspecial forms of the general concept. for some provisions for saving. On the other LEWIS L. LORWIN hand, the exploitative process under capitalism See: CAPITALISM; SOCIALISM; IMPERIALISM; VALUE; has been analyzed and distinctions have been DISTRIBUTION; CLASS STRUGGLE. drawn between the absolute exploitation of laborConsult: Gide, Charles, and Rist, Charles, Histoire at the point of a subsistence minimum anddes doctrines économiques (3rd ed. Paris 192o),tr. relative exploitation at the point of distributing from 2nd ed. by R. Richards (London 1915); Laidler, large social surpluses. Harry W., A History of Socialist Thought (New York 1927); Lowenthal, Esther, The Ricardian Socialists An interesting light has also been thrown (New York 191 I); Tuan, Mao -Lan, Simonde de Sis- upon the concept of exploitation by develop- mondi as an Economist (New York 1927); Hobson, ments in the Soviet Union. Under Soviet econ-John A., The Industrial System (rev.ed. London omy wages are in a way fixed and a large part 191o); Davenport, Herbert J.,The Economics of of the national product goes to develop industry, Enterprise (New York 1913); Bukharin, N. I., Mirovoe to pay political and other officials, to maintain khozyaistvo i imperialism (Moscow 1918), tr. as Im- perialism and World Economy (New York 1929); an army and to support the proletarian dic- Lapidus, I. A., and Ostrovityanov, K., Politicheskaya tatorship. The question whether there is surplus ekonomiya v svyazi steoriey sovetskogo khozaystva value in Russia and who appropriates it has(Moscow 1929), tr. by J. Feinberg as An Outline of given riseto considerable discussion. SomePolitical Economy (New York 1929). Soviet economists hold that there are in the Soviet Union a socialist surplus value and so-EXPORT ASSOCIATIONS are combinations cialist exploitation. Others contend that surplusin trade organized for the purpose of conducting value isa concept historically possible onlyexport trade from the United States and spe- under capitalism and would designate the sur-cifically exempt from the operation of the anti- pluses in Russia as surplus product. They denytrust laws by the Webb -Pomerene Act of 1918 the existence of exploitation on the ground that(40 Stat. 516). The wave of interest in foreign the surplus labor of the Soviet worker is usedtrade which swept the United States following to improve education and social conditions andthe outbreak of the World War focused the to maintain the workers' state. attention of the country on the necessity of Already in Marx one finds the extension ofstrengthening the competitive position of the the idea of exploitation to the relationshipsAmerican exporter, particularly of the smaller between races and especially between the in-producer, and of placing him on a level of dustrially developed and industrially backward competitive equality with foreign combinations. countries. The socialist followers of Marx were In 1916 the Federal Trade Commission rec- perhaps the first to clarify that idea by theirommended legislation establishing clearly the analysis of imperialism and their attacks upon "legality of cooperation in export trade." Two imperialistic policies. From the Marxian pointyears later the recommendations were embodied of view, especially developed by Lenin, imperi-in the Webb -Pomerene Export Trade Act. alistic exploitation is but another form of ex- The act grants exemption from the antitrust tracting surplus value related to the process oflaws to an association( "any corporation or making surplus value under capitalism and iscombination, by contract or otherwise, of two 18 Encyclopaedia of the Social Sciences or more persons, partnerships, or corporations ")producing members. Another incorporated as- organized for the sole purpose of, and solelysociation distributes orders on a percentage of engaged in, export trade from the United Statesquota assigned to each stockholder, taking into to foreign countries, provided such an associa- consideration manufacturing capacity, location, tion shall not restrain the export trade of aloading facilities and quality of products; oper- domestic competitor, enhance or depress prices ating expenses are covered by a sales commis- or substantially lessen competition within thesion. A certainunincorporatedassociation, United States or otherwise restrain trade therein. numbering eleven mills, allocates orders accord- Export trade is interpreted strictly; it does ing to predetermined percentages and uses one not include manufacturing, even in the case ofof its members as the sole export agent. Another products intended solely for export. Originallyunincorporated associationsellsthrough an it did not apply to sales to export houses for"export committee ";overhead expenses are export, but later rulings by the Federal Tradeprorated among the members on the basis of Commission extended the meaning of the termactual sales. to sales within the United States if the products The total number of export associations in sold are intended for and actually enter exportthe period from 1918 to 193o varied from 43 trade and to arrangements in which an asso-in 192o to 57 in 1929 and 1930. There is no ciation confines itself to allotting export ordersclearly marked trend toward an increase in their among members and to fixing prices at whichnumber, which is due in part to constant re- members shall sell in export trade. Similarly,organization and consolidation. A number of the legality of agreements between export asso- associations have disbanded because of internal ciations and foreign combines has been defi-dissension, poor management, lack of business, nitely established by a ruling of the commission unwillingness to cooperate, preference for deal- allowing such cooperation, provided the com-ing through export commission houses or ab- bination does not extend its operations to thesence of advantages expected under the new American domestic market and its activities do form of organization. Some associations, formed not reflect unlawfully upon domestic conditions.to meet temporary needs, dissolved in due time. Export associations must file with the Federal In 1931 export associations had a total mem- Trade Commission within thirty days of organi- bership of about Boo concerns, including mining zation, and annually on January 1, a copy ofcompanies, packing houses, mills, refineries, their charter, by -laws and agreement and thelumber companies and various manufacturing names and addresses of officers and stockholders concerns, located throughout the country and or members. The commission may require addi- with main offices generally at a seaport. The tional information as to their organization orexports, mostly raw materials or semimanufac- operation. If an association is charged withtured products, included lumber, copper, zinc, violating the law, the commission may investi-iron and steel, machinery, railway equipment, gate and recommend readjustments; if thesesulphur, petroleum, rubber, paper,textiles, are not complied with, it may refer its findingschemicals and foodstuffs. The total value of to the attorney general of the United Statesgoods exported by the associations reached for further action. $200,000,000 by 1926. Since then the value The legal form of organization of exporthas been steadily increasing; it amounted in associations varies; some are incorporated, others 1929 to $724,000,000. While the exports han- operate as ordinary associations by agreement. dled by the associations do not constitute a The looser and more elastic form has been givenvery large part of total exports, in certain lines preference where an agreement on prices, termssuch as copper, zinc, lumber, sulphur, steel, of credit, allotment of orders and division ofoil and naval stores almost loo percent of the territory constitutes the main function of theexport trade is under control of associations. association. The corporation form is generally The experience of the past decade has re- chosen where a centralized sales system and avealed the typical handicaps under which the complicated technical and financial organizationexport associations often operate: unwillingness are required. to abide by price agreements in times of busi- One incorporated associationexports theness depression; competition of outsiders un- manufactures of six stockholding companies,willing to join the association; disagreements has a central selling agency, makes shipmentsover prices and allotments in an association and collections and remits the proceeds to thewhose members are of unequal size. Manufac- Export Associations-Export Credits 19 turers who produce a variety of styles of goodsbanks. In the latter case, especially in overseas do not readily lend themselves to collectivetrade, a form of financing was developed by marketing, and the joint marketing of brandedEngland, followed by Germany, which pre- goods frequently proves impracticable. sented combinations of acceptance and docu- Despite these difficulties export associations mentary credit. A bank located in the country cf proved helpful in steadily expanding old mar-. shipment undertook through its foreign branch kets and opening new ones for American pro-.or its correspondents to collect the amount from ducers. Advantages claimed by the variousthe importer and on delivery of the documents associations include stabilization of prices byadvanced to the exporter an amount determined preventing underselling; reduction of overhead;by the financial standing of the parties involved; standardization of grades, contract terms andor the bank gave its acceptance to a bill of sales practises; centralized inspection and con-exchange drawn by the exporter, which made solidation of shipments; joint surveys and de-the paper discountable. This form of financing velopment of new markets; collective handlingattracted capital seeking short term investment, of claims; elimination of too liberal credit terms;and London's importance still lies chiefly in the provision of facilities for handling large orders, acceptance trade developed by its joint stock varieties of grades, styles and dimensions; unitedbanks and private banking houses. action against foreign competitors; higher busi- Governments rarely if ever participated di- ness standards and resulting good will on therectly in financing foreign trade. The coopera- part of foreign customers. tion of the government was largely confined to Harmful consequences feared by the oppo-the enactment of legal provisions facilitating nents of the Webb -Pomerene Act, such astransactions of this kind by authorizing the bank dumping, unfair competition, blacklisting, en-of issue to rediscount the paper of the acceptance hancement of domesticpricesand similarbanks. Of course governments had many indi- monopolistic practises, have, with minor excep- rect ways of stimulating the flow of exports; for tions, not developed. It is true that the growinginstance, by subjecting foreign loans to the tendencies to bring an entire industry into aapproval of some governmental authority and single association, to combine large corporations making the assent to the loan contingent upon and to act in concert with foreign combinesthe placing of substantial orders with the domes- may lead to arrangements injuriously affectingtic industries, or by so shaping the credit policy domestic markets and prices. The Federal Tradeof the central banks of issue as to promote cer- Commission is vested, however, with sufficienttain employments of capital and hinder others, power to invalidate such arrangements and toor by the exercise of diplomatic pressure to prevent their recurrence. secure orders from foreign governments. But WILLIAM F. NOTZ these measures of government intervention were See: TRUSTS; CARTEL; INTERNATIONAL TRADE. seldom motivated by purely economic consider- Consult: United States, Federal Trade Commission, ations and are bound up with the larger problems Report on Cooperation in American Export Trade, 2 of investment policy and imperialist expansion. vols. (1916); Notz, W. F., and Harvey, R. S., Ameri- The conclusion of the war ushered in a period can Foreign Trade, as Promoted by the Webb -Pomerene of increased export activity. It was stimulated and Edge Acts (Indianapolis 1921), containing ex- by the necessity to dispose of large accumula- tensive bibliography, specimen charters and agree- ments; Notz, W. F., "Ten Years' Operation of thetions of raw materials and manufactured prod- Webb Law" in American Economic Review, vol. xix ucts of military importance, and by the desire (1929) 9 -19. See also annual reports of the Federal to cement new political alliances by economic Trade Commission published since 1918. bonds. The notion then prevalent that speed was essential in securing a large share of the EXPORT CREDITS. Prior to the World Warforeign trade of central European countries, the financing of foreign trade was left exclusivelywhose competition in foreign markets was sup- to private enterprise. The methods employedposed to have been eliminated, was also a factor varied, depending on whether the transactionof some importance. The resumption of foreign took place between countries of a homogeneoustrade, however, presented a credit problem un- or heterogeneous economic structure. In the firstparalleled before the war. The countries in case sales were financed exactly as in domesticEurope most in need of large imports were trade, usually by short term notes or trade ac-stripped of capital and credit sources. On the ceptances without any special financing throughother hand, the individual exporters were un- 20 Encyclopaedia of the Social. Sciences able or reluctant to advance credit in view of thecurrency, which was extraordinary for a German rapidly depreciating currencies of the importingbank, it made no use. But it concluded credit countries. And finally the revolutionary devel-agreements with foreign banks; above all, a re- opments in Russia and the general politicaldiscount credit of at first $5,000,000 and then instability of the post -war era resulted in a de-$25,000,000 with the International Acceptance gree of uncertainty which so magnified the riskBank of New York, which was repeatedly in- involved in foreign trade that private enterprisecreased and in 1928 changed to a revolving credit could no longer carry it. The stimulation ofof $50,000,000 for a two -year term. Originally exports by official measures was also preparedunder the same management as the Reichsbank, for in both its administrative and ideologicalthe Golddiskontbank was given an independent aspects by the war regulations of economic lifeexistence in 1930. It specializes in intermediate and the discussions during the war of new post-credit. The financing of long term investments war economic alignments, of which the Parisabroad is left to bank syndicates in cooperation economic conference of 1916 offers perhaps thewith the Reichskredit -Gesellschaft, likewise a most characteristic example. government undertaking. The first country to consider a plan of gov- The reopening of trade relations with Russia ernment export credits was Sweden, in 1917.gave rise to increased governmental activity in Four years later Belgium provided a credit offinancing exports. Trade with Russia involves 250,000,000 francs for a period of five years with special elements of risk growing out of the fun- the purpose of facilitating the export of Belgiandamentally different legal and political principles goods, although only a fraction of the creditwhich serve as the basis of the Soviet state. In seems ever to have been used. Of wider scope 1926 and similarly in 1931 the German govern- and significance were the measures adopted inment undertook to guarantee against loss to the Great Britain. By the Trade Facilities Act ofamount of 6o percent of the purchase price November, 1921, repeatedly amended later, thedistributed between the federal government and Treasury was empowered to guarantee the pay-the member state concerned. Similar measures ment of interest and repayment of loans used towere taken by Austria and Italy in 1927, the finance larger investments of capital at home or latter hoping to increase her share in Russian abroad which would provide business to Britishorders as a result of the Anglo- Russian trade industry. The amount, set first at £25,000,000,conflict, and later by France, Japan and other was finally raised to £75,000,000; and March 31,countries. 1927, was fixed as the ultimate limit for the In the United States with the exception of granting of such credits. Although the greaterthe operations of the War Finance Corporation, part of these guaranties were applied to domes-which directly participated in financing foreign tic trade, still about £18,000,000 was employedsales especially of agricultural commodities up in the financing of exports. Also the schemes ofto 1924, the services of the government consist the Unemployment Grants Committee of 1920only in having provided the legal framework for reacted favorably upon the export industries.the development of new forms of finance under Very important was the Overseas Trade (Creditsthe auspices of the Federal Reserve Board. The and Insurance) Act of 1920 which was speciallyFederal Reserve Act of 1913 as amended in 1916 directed to the insurance of export credits. Alland 1917 authorized member banks to accept these measures facilitated the restoration of dis-drafts and bills of exchange growing out of turbed trade conditions and above all enabledtransactions involving exportation and impor- the banks to grant necessary advances to mer-tation of goods and made provisions for redis- chants on better terms. count with the Federal Reserve Banks. A further In Germany the depreciation of currencyprovision was made by the Edge Act of 1919, acted as a powerful stimulus to exportation, andan amendment to the Federal Reserve Act, governmental assistance in export finance wasauthorizing the formation of commercial banks resorted to only after the stabilization of Ger-performing functions relating to foreign trade, many's currency. In 1924 the Deutsche Gold -such as dealing in drafts, letters of credit, bills diskontbank was established with the specialof exchange and bullion, and of investment bank- task of placing credits at the disposal of ex-ing houses dealing in foreign securities and porters at rates lower than the ordinary marketissuing their own debentures secured by bonds rates. Its capital amounted to £10,000,000 ster-and stocks of foreign corporations and govern- ling; of its authority to issue notes in Englishments. The Edge Act produced fewer establish- Export Credits-Export Duties 2I ments than were at first expected. Also thecles. In the seventeenth and eighteenth centuries Webb -Pomerene Act of 1918, which exemptsexport duties were largely confined to raw ma- the export trade from the operation of antitrustterials under the influence of mercantilist poli- laws, acts indirectly as a stimulus to export tradecies designed to encourage the export of manu- by permitting the formation of export associa- factures. With the rise of free trade and with the tions which in their collective capacity are in aincreasing pressure of the producers of raw stronger position to secure credit than the smallmaterials in the nineteenth century, export du- individual entrepreneurs. ties virtually disappeared in Europe. In England The system of export credits is one of the many a century of earlier decline culminated in their manifestations of state interventionism in eco-complete elimination in 1842. By 1857 they had nomic matters which followed logically the ex- largely disappeared in France and eight years periences of war economy. The credits grantedlater in Prussia and Austria. In the United by the governments, although amounting to onlyStates they had long since been prohibited by a fraction of total export credits, undoubtedlythe constitution, primarily at the insistence of stimulate the exporting industries. They are inthe south, which feared lest its exportation of effect bounties in disguise, and the final reportagricultural products be hampered. of the World Economic Conference of May, In industrial countries the few export duties 1927, justly asserted that the indirect characterthat have survived the nineteenth century and of these subsidies "does not make it any the lesspersist to the present time are limited to raw necessary to lay stress on the hidden dangers materials; they are intended to preserve the sup- inherent in this means of encouraging produc-ply of raw material for the domestic producer tion and exportation." and thus to give him a competitive advantage EDUARD ROSENBAUM over foreign manufacturers. Examples of this See: INTERNATIONAL TRADE; BUSINESS, GOVERNMENT type of protective duty are the export duties on SERVICES FOR; CREDIT INSURANCE; EXPORT ASSOCIA- cork in Spain and Portugal, on timber in Scan- TIONS. dinavian countries and in Rumania and on rags Consult: Mezger, Fritz L., "Finanzierung des Aussen- and waste in various continental countries. A handels mit Einschluss der Fragen öffentlicher Ex- similar purpose is served by the tax on timber portkredite und der Kreditversicherung" in Kapital and pulpwood cut from crown granted lands in und Kapitalbildung, ed. by B. Harms, 2 vols. (Berlin 1931); Edwards, G. W., International Trade Finance British Columbia, which is remitted if the ma- (New York 1924) ch. xv; Huebner, G. G., and Kramer, terials are manufactured or used within the R. L., Foreign Trade (New York 193o) ch. xxix; province, and by the tax on the export of power Caillez, Maurice, L'organisation du crédit au commerce in Ontario. Sometimes export duties and export extérieur en France et á l'étranger (Paris 1923); Spald- restrictions on raw materials are designed to ing, W. F., The Finance of Foreign Trade (London 1926) ch. xiv; Germany, Ausschuss zur Untersuchung conserve the natural resources of a country. The derErzeugungs-undAbsatzbedingungender Canadian embargoes on pulpwood and the deutschen Wirtschaft, Unterausschuss v, "Die Reichs- Swedish and Norwegian export duties on timber bank," and "Der Bankkredit," Verhandlungen und Be- are said to be partly for this purpose, although richte,vols.i -ii(Berlin1929 -30); "Government the former is undoubtedly intended also to stim- Guaranteed Credits for Exports to the U. S. S. R." in Economic Review of the Soviet Union, vol. vi (1931) ulate the development of the Canadian pulp and 32 -35; Notz, W. F., and Harvey, R. S., Americanpaper industry. Foreign Trade (Indianapolis 1921) pt. v. Some of the duties imposed on exported raw materials in colonies are also intended partly or EXPORT DUTIES are taxes imposed by thewholly for the benefit of manufacturers or other state on goods leaving its territory. They existedbusiness interests in the mother country. The in ancient Greece and Rome and have beenusual procedure in such cases is to remit a part levied in England by prerogative of the crownor all of the duty when the raw material is ex- from very early times. The first English statuteported to the mother country. If the main pur- to impose export duties was passed in 1275 andpose is to favor manufacturing the duty is re- applied to wool and hides. From that time theymitted only in the event that the product is came into rapidly increasing use throughoutfurther processed in the mother country. Some Europe both as a source of revenue and as acountries, notably Portugal, impose such dis- means of preserving the supply of grain and rawcriminatory duties primarily in order to aid na- materials for internal consumption. By 166otional shipping, in which case the protective they had been imposed in England on 212 arti-effect for home manufacturing is apt to be only 22 Encyclopaedia of the Social Sciences incidental. Preferential duties on colonial exportsmaterial produced largely in a single country, it are characteristic of Portugal; they are used tomay serve not merely to benefit the national ex- some extent in certain colonies of France, Spainchequer but also to regulate exports with the ob- and Italy. British practises of the same characterject of stabilizing the price in the world market are exemplified in preferential export duties onon a higher level to the advantage of the pro- tin ore in the Malay States and in Nigeria, onducers. The Chilean nitrate is a case in point. In hides and skins in India and on palm kernels in Brazil the proceeds of the coffee export tax were British West Africa; the Indian and West Afri-used to finance the coffee valorization schemes. can duties were in effect for several years afterThe export duties on British Malay rubber had the World War but were subsequently aban-only an incidental revenue purpose; they oper- doned. The remission of the Philippine exportated primarily as a restriction on rubber exports duties on shipments to the United States, whichunder the Stevenson plan. were abolished with the removal of the duties in The extent to which the burden of high export 1913, served a similar purpose. duties can be shifted to foreign consumers is Of much wider application are the export du-generally subject to important limitations even ties levied by non -industrial countries and im-for commodities in which the exporting country posed primarily for revenue purposes. In suchenjoys a partial monopoly. Competition from countries, particularly when levied on commodi- outside sources, either from the product itself or ties produced largely for export, they are likelyfrom some form of substitute, is apt sooner or to be virtually a substitute for production or landlater to administer a distinct check. Nor is the taxes. They are easily collectible, and when im-demand for any product likely to be so inelastic posed on commodities in the production ofthat possible reduction in consumption can be which there is extensive international competi-wholly ignored. In the case of nitrate the recent tion they must be borne by the producers inrapid growth of international competition from much the same manner as any other tax on pro- synthetic and by- product nitrogen has greatly duction. In some countries and colonies they arecurbed the power of the Chilean monopoly; in imposed on virtually all exports. Such is the casecoffee the increase of production in outside areas in Haiti, Salvador, Argentina, Uruguay, most ofhas checked the Brazilian control; and in rubber the Brazilian states, Peru, Arabia, Egypt, Irak,the abandonment of the Stevenson plan in Syria, Albania, Portugal, Belgian Congo and inBritish Malaya in 1928 was due mainly to in- certain colonies of France, Portugal and Spaincreased competition from the Dutch. and a few minor British colonies. In general such The termination of the World War was fol- duties are low, ranging from 1 to 5 percent; butlowed by a revival of both protective and fiscal in some instances they run above 10 percent. export duties. The causes of this development More commonly, however, revenue exportmust be looked for in the resurgence of economic duties are imposed on certain products selectednationalism and the resulting desire to reserve with a view to their revenue raising possibilities the indispensable raw materials to home indus- and taxed accordingly. If the commodity is onetries as well as in the increased needs for revenue extensively produced in other countries the dutyto meet the burdens left by the war. For a brief is apt to be kept low, since the burden cannot beperiod export taxes were employed in countries shifted to foreign consumers and becomes a di- with depreciating currencies like Germany, Aus- rect handicap to domestic producers in compet-tria and Poland to prevent these countries from ing for export markets. If, on the other hand, thebeing denuded of supplies, a condition made commodity is one of which the country imposingpossible by the fact that the depreciation of their the duty has a monopoly or a quasi -monopoly,currencies in terms of foreign exchange was the burden of the duty tends to fall more largelymore rapid than the decline in their internal pur- upon foreign consumers. In such cases ahighchasing power. duty on a single commodity may be made to The revival and extension of export duties yield a large part of the total revenue of theand other export restrictions have been subjects country imposing it. An outstanding exampleofof widespread international concern. In part this export duties of the latter type is the Chilean ex-concern has been due to the barriers which along port tax on sodium nitrate, whichfor manywith import restrictions they have placed in the years furnished something likehalf the totalway of restoration of world trade. But in the Chilean revenue. main it has resulted from their use in connection When a high export duty is imposed on a rawwith national monopolies or quasi -monopolies Export Duties - Expositions, International 23 of raw materials. As a vehicle for furthering thethe middle of the nineteenth century almost monopolistic exploitation of consumers in other every country in Europe held exhibitions of countries they have been severely condemnednational products. The factors which led to the both by individual governments and by inter-increasing importance of regional expositions national bodies. At the World Economic Con-and which made possible their enlargement to ference in 1927 a draft Convention for the Aboli- international scope were the increase of mate- tion of Import and Export Prohibitions and Re-rials and manufactured products to display and strictions, prepared by the Economic Committeethe development of transportation facilities. The of the League of Nations, was endorsed by the possible advantages of international expositions conference. This convention subsequently ob-were not at first apparent, however, and there tained the official sanction of a large number ofwas no lack of opposition when it was suggested countries. But it did not cover export duties, that an exposition be held in London in 1851. It was seriously weakened by a multitude of excep- was the prince consort who urged the Society tions and was not ratified by a number of Eu-of Arts to sponsor an international exhibition, ropean countries where such restrictions werefrom which he thought English manufacturers most prevalent. The Economic Conference alsoand artisans would learn much. The opposition, passed resolutions recommending that expor-vigorous and unrestrained in both houses of tation of raw materials should not be "undulyParliament and among the public, held that burdened" by export duties or other taxes; thatEngland would be overrun with foreign rogues export duties on raw materials should never be and revolutionaries and that the morals of the imposed for the special purpose of placing for-English and their loyalty to the crown would be eign countries using such raw materials in aendangered and coincidentally their trade se- position of "unfair inferiority" as regards pro-crets stolen. On the continent the reactionary duction of the finished article; and that whethergovernments back in the saddle after the turmoil used for revenue or to meet exceptional circum-of 1848 were reluctant to participate because stances such duties should never discriminatetheir subjects might be infected first hand by between different foreign destinations. Except,English radicalism. But the prince and Queen however, for two multilateral conventions re-Victoria were determined and even English moving or reducing export duties on hides, skinsinsularity and obstinacy had to yield. The ex- and bones in about a dozen countries, no officialposition-a one -building affair -opened on time international action has since been taken in re-in the great Crystal Palace built for it in Hyde spect to such duties. Park and it was a great success. It did for Eng- LYNN RAMSAY EDMINSTER land and her interests as much as Albert had See: INTERNATIONAL TRADE; CUSTOMS DUTIES; TAR- hoped for, if not more. It closed with a surplus IFF; CORN LAWS; MERCANTILISM; RAW MATERIALS; of £213,305, which was used to endow a mu- VALORIZATION; EMBARGO. seum at South Kensington, later called Victoria Consult: Gregory, T. E. G., Tariffs, a Study in Method and Albert Museum. Not only did England (London 1921) p. 483 -87; Grunzel, J., System der learn about the arts and crafts of other peoples Handelspolitik (3rd ed. Vienna 1928), and Economic but continental visitors saw the superiority of Protectionism(Oxford1916)p.158 -63,315 -17; Cunynghamc, II., "The Effect of Export and Import English machine made goods. Lothar Bucher, Duties" in Economic Journal, vol. xiii (1903) 313 -23; the German publicist and Bismarck's secretary, United States, Bureau of Foreign and Domestic Com- has left testimony of what a revelation it was merce, Export Duties of the World, Tariff series, no. 42 to him to see machines making furniture and (1927); League of Nations, Economic and Financial other woodwork associated on the continent Section, Export Duties, C.E.I. 23, 1927. II. 14 (Geneva 1927); Wallace, B. B., and Edminster, L. R., Inter- with slow hand labor. The opposition, which national Control of Raw Materials (Washington 1930). may be reckoned the last major outbreakof English parochialism, was silenced by the re- EXPOSITIONS, INDUSTRIAL. See ExPo-sults. The necessity and advantage of education SITIONS, INTERNATIONAL; FAIRS. for workers, especially in the crafts and in technical fields, became a matter of national im- EXPOSITIONS, INTERNATIONAL. Theportance. The figures for British merchandise first international exposition was held in Londonexported from the United Kingdom in the years in 1851, but it had its prototypes in countlessjust before and after the Crystal Palace exhibi- similar events of more local significance. Be-tion seem to demonstrate its economic benefits, tween the middle of the eighteenth century andalthough other explanations are not wanting. In 24 Encyclopaedia of the Social Sciences millions of pounds these figures are: 185o, 71;and the desire to find more customers and to 1851, 74; 1852, 78; 1853, 99. score new triumphs for local products. From The resounding success of the first world'sthis standpoint a world's fair is but an extension fair encouraged imitation in many cities and and sublimation of window dressing and display lands. In the next seventy -five years were heldadvertising, with its own rules and techniques: over one hundred expositions which claimed tothe first simple displays of finished products be international in character. Between 1862 andare followed by the better showmanship of 1926 the United States government alone ex-machines in action, products being turned out pended approximately $30,000,000 as its parton the spot by model miniature factory units. in over forty foreign and national expositions. In addition there was the very considerable While the industrial displays remain of pri-factor of metropolitan as well as national rival- mary importance, other interests are also min-ries and ambitions. Paris and London, Vienna, istered to. The wonders of nature museum; Brussels, Amsterdam and Antwerp, Sydney and international congresses; educational methods;Melbourne -these cities and many others vied transportation exhibits; the congress of religions;with each other for splendor and attendance. fine arts, science and agriculture displays -suchIn America the list, and more amply the hear- features as these have been added to the displayings before congressional committees, would of present and past mechanical and industrialindicate that no self- respecting city with an processes. The occasion for these expositions isactive chamber of commerce felt that it had usually the commemoration of some date ofarrived without having made a bid for a pre- patriotic significance or perhaps the celebrationtentious exposition of some sort. of some significant achievement. Usually some In the United States when any given city important national purpose is served, either in-aspires to exposition status numerous groups tentionally or indirectly, as the demonstrationappear before congressional committees: the of Austria's recovery from the war of 1866 inlocal chambers of commerce and real estate the Vienna exposition of 1873; or the illustrationboards; the representatives of the railroads; the of the growing economic and political power ofgovernor and the senators and congressmen, as the west in the Chicago exposition of 1893; orrepresentatives of the state. After the exposi- the post -war attempt to knit the empire to-tion when the reports are made and the returns gether economically in the British Empire Expo-calculated -since the first exposition in Lon- sition at Wembley in 1924 -25; or the illustration don there has usually been a real if not appa- of colonization activities at the French colonialrent deficit -the commission in charge considers exposition at Paris in 1931; or the attempt tomany indirect gains, such as money spent by exemplify ideals of national unity and achieve-the visitors on hotels, food and other incidental ment in the Chicago exposition in preparationexpenses, new business that will come to that in 1931. The Paris expositions of 1855 and 1867area and new values that have been added to were largely the result of Napoleon 11í's desire real estate and factories. These are important to strengthen his hold on the French capitalistfactors, for the cities assume millions in obliga- group, to display the beauties of the Paris thattions to be paid off later by taxes and their Haussmann had remade and in general to keepcitizens contribute individually by buying stock Paris what the peace congress at the close of thethat never pays out. One factor always present Crimean War had indicated, the capital ofin the case of European cities is generally absent Europe. The next Paris exposition in 1878 wasin America. The visitor to a European exposi- a real proof, and so accepted at the time, thattion is counted upon to return to see Paris or the Third Republic was definitely establishedVienna or Milan again with its permanent and could stage an international exposition as glories and then to see more of France or Aus- good as the emperor's. tria or Italy. The perennial international tourist The reasons for such a flood of expositionsinvasion has been increased by European expo- during the three quarters of a century after 1851sitions. In America only the Pacific coast cities may be found in certain dominant factors incould include such a factor in their gains. this period. It was an age in which nationalism, These great expositions have had a strong national rivalries and national prestige were bothinfluence on architecture, especially in America. realities and shibboleths. Behind them and giv-In Europe too they have their place in archi- ing them much of their reality were industrialtectural history through their introduction or and commercial development and expansionmore extended use of new materials and their Expositions,International 25 adaptation of old forms to new uses and toLouis and Buffalo and San Diego. It is not too special settings. The London Crystal Palace ofmuch to say that the attempt to translate and 1851 was planned by Sir Joseph Paxton, a land-preserve some part of these visions is partly scape architect who had designed a notableresponsible not only for the later civic plans of greenhouse on the estate of the duke of Devon-the cities where the expositions were held but shire. The London building was essentially aalso for the parks, boulevards, civic centers, great greenhouse, but it was a revelation of whatpublic buildings and homes of the vast hinter- could be done with steel and glass. The exposi-lands that contributed the visiting millions. tions in Paris, always in the center of a city The rapid development and frequency of which had its abiding and historic evidences ofinternational expositions -or of expositions that great architecture, were necessarily subdued toachieved international standing simply by in- their surroundings and the limited area avail-ducing the national government of the day to able in the center of Paris. Such structures asextend invitations to other governments and the Trocadéro built in 1878 and the Eiffel Tower their peoples -produced a problem. They be- in 1889 were much criticized departures. In thecame something of a nuisance. Governments other and later continental expositions the mod-were embarrassed and involved inexpenses not ernists have had a freer hand but the results arein their plans when they conveyed an invitation. seen most often in their influence on greatManufacturers and producers were more and factories and retail magazines, the chief fieldsmore reluctant to upset the orderlyprocedure in which new and elaborate structures have beenof their factories by detaching producing units required. In America it is hardly too much toand granting a standing leave of absence to say that the Chicago exposition in 1893beganemployees to move at considerable expense to a new epoch in American architecture.Its crea-successive exhibitions. The great industrialists tion under the leadership of Daniel H. Burn-who had made their names at earlier expositions ham, with the cooperation of the ten leadingand were secure in their leadership became less architects of America, did much to end theand less interested. Only the new firms with a Richardson regime of the Romanesque, alreadyname yet to make could be counted on to ex- senile and degenerate in the hands of his un-hibit and they could not keep it up year after lettered imitators. The neoclassic style of theyear. A badly managed exposition, adubious Chicago exposition set models whose influencesystem of making awards, an annoying experi- can be traced in many public buildings and onence with tariffs, a record of few sales ororders university campuses. It opened the way for-all these diminished the zest for something experimentation and the eclecticism that pre-that was good if there was not too much of it. vailed in American architecture for the next French exhibitors as early as 1884 formed a quarter of a century. The Transportation Build-self -protective association, the Société Amicale ing of Louis Sullivan on these same groundsdes Anciens Membres du Jury de Nice, which was itself in striking contrast to theprevailingwas the forerunner of the ComitéFrançais des style and seemed to foreigners the harbinger ofExpositions à l'Étranger, founded in 1890. The an American architecture of which thekeynote latter was given legal status in 1901 by a law was to be form adapted to function, amaxim regulating all expositions in France and setting that has given us the present architecture of theup conditions for French participationin foreign skyscraper. The whole creation in 1893 was aexpositions. Similar protective committees were triumph of architects who were professionallyformed in Belgium (1903), Italy (1905), Ger- trained in the United States and abroad, andmany (1906), the Netherlands (1906),Switzer- their success gave a decided impetus to theland (1908), Austria (1910) and Japan (1911). establishment of university schools of archi-In 1907 at the invitation of the French commit- tecture. tee, an international federation of exhibitors, More widespread, more abiding and morethe Fédération Internationale des Comités Per- significant is the vision of beauty brought tomanents d'Expositions, was formed in Paris to millions of eyes that had scarcely been lifteddeal with regulations for making awards, secur- before from plow and prairie and wheels anding safe return of exhibitions, protecting patents whirring belts. America learned the value ofand similar matters. A German law adopted in beauty at Chicago, where the White City stood1904 and modified in 1925 regulates exposition in contrast with the Black City (the Chicagopractises so far as Germany's people and exposi- of 1893), and again at San Francisco and St.tions are concerned. At the initiative of the 26 Encyclopaedia of the Social Sciences international federation sixteen European states reaper" of McCormick made its first successful and Japan signed a convention on October z6,bid for world fame at that exposition. In textiles 1912, in Berlin regulating the organization ofand fine arts the British producer saw the for- international expositions. This convention waseigner take three fifths of the prizes. The Ger- never ratified because of the outbreak of theman representatives of the Zollverein took home war, and the international federation was dis-material for a three -volume report on the indus- solved. After the war, the institution of a seriestries of the world, a significant guide for Ger- of new international exhibitions to reopen trade many as she began her career as an industrial channels led to frequent conflict of dates andnation. England found that she had something duplication within short periods of time of typesto learn and improved her technical education; of exhibitions. In 1925 the French committeethe government spent $250,000 at Paris in 1855 tried to revive the work of the internationalto help the British exhibitors and to publish federation but failed because almost all the na-for wide distribution the reports on the results. tional committees had become extinct. There-At London in 186z the Bessemer process was upon the French government summoned anpublicly exploited and the possibility of rubber international diplomatic conference to deal with products revealed. At Paris in 1867 Germany the problems discussed at Berlin in 1912. Intaught the world something about the best gas 1927 the International Chamber of Commercemotors and first revealed her leadership in ani- established a special Committee on Fairs andline dyes. At Vienna in 1873 Japanese art made Exhibitions to draw up a draft convention.a strong impression on European art, to be Thirty -eight nations were represented at thereenforced three years later at Philadelphia. At conference which met in Paris in November,the Centennial Exhibition in 1876 the telephone 1928, to discuss this draft and the proposals ofwas a promising toy and the whole electrical the French government. Of these, twenty -threedisplay could have been put in a modest room. signed a convention which carne into force forBut American machinery, symbolized in the a period of five years beginning January 17,Corliss engine, won world attention at that time 1931, having been ratified by Albania, France,and Germany, whose exhibit in the words of Germany, Great Britain, Italy, Rumania, Swe-their commissioner was "billig and schlecht," den and Switzerland. This convention classifiesawoke to a realization of the market it was miss- the various types of exhibitions, provides for the ing. Although Germany ignored Paris in 1878 avoidance of competition and duplication, estab- and 1889 it made great displays at Chicago in lishes the duties of inviting and participating1893 and at St. Louis in 1904. As an illustration countries, rules for awards and other details ofof how an exposition may found an industry the conduct of exhibitions. An Internationalor change it, one may cite the Fleischmann Exhibitions Office has been established with itsyeast display at Philadelphia as the beginning seat in Paris to follow up the problems discussedof a fortune; the introduction of the American at the conference and to see that the provisionspublic to Vienna bread was the work of a con- of the convention are carried out. The Interna-cessionaire. At Paris in 1878 the possibilities tional Chamber of Commerce acts in an advisoryof electric lighting, refrigeration and motor capacity to this office. vehicles were foreshadowed. By 1900 the auto- Although doubt as to the value of interna-mobile had become a display feature. Exposi- tional expositions has been expressed more andtions have visibly operated toward change in more frequently in the last twenty -five years,social attitudes; e.g. after a nation wide con- their significance during the latter half of thetroversy the Chicago exposition in 1893 was nineteenth century is less uncertain. In thatopened Sundays although only on condition period of the rapid development of a civilizationthat machinery should not be operated. In 19z6 in which applied science and technology werethe need for more money led to the renting of dominant factors each exposition could easilythe Philadelphia Sesquicentennial stadium for mark in some striking way a new stage in thea great prize fight, with little public disappro- progress of this type of civilization and its widebation. extension as nation after nation displayed its The success of the attempts to make expo- offerings abroad or arranged an internationalsitions an opportunity for the international exposition on its own soil. At London in 1851exchange of ideas through congresses or con- machinery took half the highest awards andferences is difficult to appraise. Much has been England the majority of these. The "Virginiaclaimed for them as epitomizing world thought Expositions, International--Express Companies 27 and forecasting social and intellectual trends. monthly in Berlin from 1901 to 1914; Ausstellungs- These congresses seldom measure up to theJahrbuch, ed. by Heinrich Pudor (Leipsic 1907), with bibliography; Fairs and Exhibitions, published in claims or the expectations of their promoters.Paris since 1922 by the International Chamber of The French expositions give special prominence Commerce as a semiannual issue of its Digest; Locock, to them, against backgrounds of exhibits to showG. H., "The Diplomatic Conference of Paris on In- progress in the fields of labor, social economyternational Exhibitions" in World Trade, vol. i (1929) 35 -45; Tallmadge, T. E., The Story of American and education, and have in general been moreArchitecture (New York 1927) p. 195 -289. Most na- successful than others in this respect. Labor and tional and international expositions are covered by its conditions have been perhaps the most em- voluminous reports of a government commission. phasized. The visit of French laborers to Lon- don in I86z is the alleged basis for the First EX POST FACTO LAWS. See RETROACTIVE International of Marx and Engels formed in LEGISLATION. 186¢ and dissolved in 1876 at the time of the Centennial Exhibitionin Philadelphia. The EXPOSURE. See INFANTICIDE. chronology of expositions and wars minimizes any claim made for expositions as major con-EXPRESS COMPANIES are an economic de- tributors to peace. velopment peculiar to America. In practically all The day of the international exposition mayEuropean countries the railroads or the postal have passed. Many think that there will be nosystems, often in conjunction with collection more in the grand manner and that henceforthand delivery agencies, cover the field served by they will be specialized along certain lines, suchexpress companies in the United States and as electricity, automobiles and the graphic arts.Canada. That field may be described roughly as This is quite possible, for a true universal ex-transportation of merchandise by railroad or position which seventy -five years ago could be steamboat at passenger traffic speed, together put under one glass roof in Hyde Park is todaywith pick up from the consignor and delivery to an impossibility within the area and resourcesthe consignee. In contrast to the parcel post, available in or near any truly metropolitan cen-express companies impose no limits on the size ter. But in post -war Europe there are many newor the weight of the merchandise they transport nations and in Africa. and Asia new frontiers ofor on the insurance applicable to it. It follows civilization that will wish to exhibit to the worldthat most articles sent by express are those their industrial and cultural achievements; newwhich go long distances or are highly valuable industries and improved products are still seek-or have great weight or bulk or cannot readily be ing markets; despite their experiences of lossconveyed to a post office or by their nature re- older nations may find themselves impelledquire delicate handling. Express rates are on the toward a public stock taking. Perhaps after allwhole lower than parcel post rates for the it is too early to write finis to international expo- heavier articles and for the longer distances, and sitions either universal or special. occasionally compare favorably with railroad Guv STANTON FORD freight rates on very bulky but light weight See: FAIRS; INDUSTRIAL REVOLUTION; NATIONALISM; articles, so that these often go by express rather INVENTION; ADVERTISING; MUSEUMS AND EXHIBITIONS; than by freight. INTERNATIONAL TRADE; BUSINESS, GOVERNMENT Express companies also render special forms SERVICES FOR. of service not directly connected with express Consult: Berger, H. G., Expositions universelles inter- service as such. They issue their own travelers' nationales (Paris 1902); Demy, Adolphe, Essai his- torique sur les expositions universelles de Paris (Paris checks and money orders, sell goods on com- 1907); Norton, C. B., World's Fairs from London 1851 mission, transfer money by telegraph or cable, to Chicago 1893 (Chicago 1890); Brandt, O., "Zur maintain travel offices and perform other bank- Geschichte und Würdigung der Weltausstellungen" ing, tourist and commission functions. In 1929 in Zeitschrift für Sozialwissenschaften, vol. vii (1907)the gross revenues from these non- transporta- 81 -99; Isaac, Maurice, Les expositions en France et dans le régime international (Paris1928); Gérault, tion operations amounted to$3,672,626, or Georges, Les expositions universelles envisagées au point slightly more than one percent of the total gross de vue de leurs résultats économiques (Paris 1902); revenues of express companies. Paquet, Alfons, Das Ausstellungs- Problem in der Volks- Stagecoach drivers and passengers had for wirtschaft (Jena 1908); Huber, F. C., Die Ausstellungen und unsere Exportindustrie (Stuttgart 1886); Dorff, many years carried and delivered packages and Alfred, Les expositions et le droit (Brussels 1910); files executed commissions in an informal way, and oftheAllgemeineAusstellungszeitung,published almost as soon as railroads were developed in the 28 Encyclopaedia of the Social Sciences United States railroad employees and passengers empowered to fix express rates after complaints were importuned to transport small or valuablewere made and was given full access to the ex- articles from one city to another. Certain indi-press companies' books and power to order a viduals soon began to demand fees for thisuniform accounting system. The Mann -Elkins service, hired assistants, arranged with the rail-Act of 1910 shifted the burden of proof as to the roads for special space on trains and openedfairness of rates to the companies and allowed the offices. Beginning with the late thirties expresscommission to act of its own volition in express was developed rapidly over railway routes.rate rulings. Soon afterward these rulings were Where railroads had not yet penetrated, steam-made subject to review only by the Supreme boats often served to carry express; and in theCourt after consideration by a special court of west stagecoaches were used, especially forthree federal judges. Classification of express bullion. During the fifties many consolidationstraffic likewise was entrusted to the commission. took place, so that most of the express business In 1913, in spite of the vigorous opposition of was dominated by a few companies, and forthe express companies and other groups, a parcel several decades prior to the entrance of the post was finally made a part of the postal system. United States into the World War the bulk ofPrior to this four pounds had been the upper the express service of the country was handledlimit of parcels sent through the mails. The ex- by five companies: the Adams Express and itspress companies feared the potential competi- subsidiary, the Southern Express, operatingtion of the new service, and rather than compete in the east and middle west and over severalthe United States Express Company decided to western routes; the American Express in thecease operations and went out of existence in east, middle west and trans -Mississippi region; 1914. the United States Express in the east outside of An investigation by the Interstate Commerce New England and in the middle west and overCommission in 1922 indicated that the parcel several western routes; and the Wells, Fargo & post had attracted most of the smaller packages. Company's Express in the far west and the It was found in that year that the average weight southwest and over several eastern routes. of an express shipment was eighty -two pounds, According to the first federal census of expresswhereas in the years before 1913 it had been companies which was taken in 1890 a total ofthirty -four pounds. There is frequently, how- eighteen companies operated over about 175,000 ever, more than one package in an express ship- miles, of which 16o,000 were by railroad. 93 ment. In 1929 the average weight of an express percent of this mileage was controlled by theshipment was probably about the same as in five major systems mentioned above and by the1922, while the average weight per parcel post Pacific Express Company, which was organizedpackage was only slightly more than five pounds. in 1879 by the Gould group of railroads andIn 1931 the Railway Express Agency reported was absorbed in 1911 by Wells -Fargo express.that in 1929 it had handled 177,505,448 ship- The total number of express shipments in 1890ments of all classes and weights. This figure may was 115,000,000 and the companies' expendi-be compared, remembering that express ship- tures were $46,000,000. It is significant of thements frequently are composed of more than period's attitude toward public utilities that theone parcel, with 837,308,320 pieces of parcel companies' receipts were not reported in thepost mailed in the fiscal year 5929-30. 1890 census. It must he added that the cost accounting The standard contract between express com-figures of the Post Office Department show that panies and railroad companies provided that the the parcel post in the fiscal year 1929 -30 was former were to pay the latter a fixed proportion,conducted at a net loss of $15,570,731. This was usually in the neighborhood of 5o percent, ofabout Io percent of the gross parcel post reve- the gross charges for transporting the expressnues for the year. The deficit was ascribed to merchandise. There was considerable interlock- parcels mailed in the first three zones, covering ing of directorates and securities ownership be-distances up to three hundred miles. Parcels tween the express companies and the railroads. mailed in the other zones showed slight profits. In 1906 the Hepburn Act gave the InterstateAccordingly, the postmaster general late in 1930 Commerce Commission enlarged powers overfiled application with the Interstate Commerce the railroads, and the express companies wereCommission for approval of an increase in rates included in the scope of the act. Subject to for parcel post packages for the shorter distances review by the federal courts the commission wasand of a decrease for the longer distances. He Express Companies 29 requested also approval of an extension of thepart of the service is rendered by the railroads. upper weight and girth limits upon parcel postThe capital equipment which must be main- packages. Execution of the proposed changestained by the express companies consists only would naturally intensify the competition be-of express cars, delivery trucks, depots, land tween parcel post and express service. and the like. In recent years the value of this Slightly more than a year after the United equipment, less depreciation, has been fixed at States entered the World War the Wilson ad-between $30,000,000 and $35,000,000, only ministration decided that the express service ofslightly more than ro percent of the average the nation could be rendered most effectivelyannual express revenues. The 1920 contracts by unification. On May z8, 1918, the Unitedspecified further that if the percentage which States Railroad Administration made public anwent to the express company became more than agreement with the four leading express corn-6 percent of the capital of the company, one half panics for their amalgamation into the Americanof such excess was to revert to the railroads; and Railway Express Company, The new companyif the percentage became greater than ro percent was capitalized for only$34,640,000, the valueof the capital, the railroads were to receive three of its actual property and cash, and capital stockfourths of that excess. was issued for that amount. Theactivities of the In 1921 the Southeastern Express Company company were to be administered bythe Rail- was organized. It is owned by the Southern Rail- road Administration, which was to receive 504 way system and operates almost exclusively over percent of all gross express operating revenues.that system's lines. In 1929 it accounted for The 494 percent remaining to the express corn -about 4 percent of the express mileage of the pany was to cover operating expenses, taxesandcountry and for not quite 3 percent of all express a 5 percent dividend on thecapital stock. Ofcollections. any profits remaining, the first z percent was to The business of the American Railway Ex- be divided equally between the company andpress Company failed to expand after the pe- the Railroad Administration; the next 3 percent,riod of federal control. Its collections amounted one third to the company and twothirds to theto approximately $291,000,000 in 1922, $285; Railroad Administration; of all further profits,000,000 in 1927 and $283,000,000 in 1929. In one fourth to the company andthree fourths toopposing the proposal for a change in parcel the Railroad Administration. On November 18,post rates the Railway Express Agency in 1931 1918, President Wilson issued a proclamationestimated its total collections for 1930 at less establishing federal possession and operation ofthan $240,000,000. This lack of expansion is but the American Railway Express Company. It wasan index of the decline in importance of the announced that the action was taken to make theexpress service which had been going onfor government's control over the company indis-some time. As railway systems grew in size, car putable. interchange was developed and service was gen- The express service was returned to privateerally improved, the need for express compa- hands on March r , 192o. It continued to be uni-nies as coordinating agencies for expeditiously fied in the American Railway Express Company,carrying certain classes of traffic over a number which became a private agency and was ex-of small, non -unified railroads declined. The empted by act of Congress from the scope of thelack of expansion has undoubtedly been due federal antitrust laws. The government guaran-also to the increase in transportation by motor teed the company against a deficit for the fol-truck. The Interstate Commerce Commission lowing six months. At the end of that period anhas at present no control over the extensive and increase in rates was granted by the Interstaterapidly growing motor truck service, and reli- Commerce Commission. The company madeable statistics upon it are lacking. Proposals for new contracts with the railroads whichchanged federal control of interstate busses and trucks the basis of payments; operating expenses werewere brought forward in the Seventy-first made the first charge against operating revenues,Congress in the Parker -Couzens bill, but federal and z¿ percent of the resulting net income wascontrol was visualized primarily as a court of to go to the express company. The principalsanction and as a last resort for cooperative reason for this small percentage is that expresscontrol by the several states. By 1931 the state collections are considerably greater than thestatutes on motor trucks were still concerned capital invested in the express service. Thisprimarily with taxation and with safety, and situation obtains because the most expensivemotor truck rates, especially interstate rates, re- 3o Encyclopaedia of the Social Sciences mained for practical purposes unregulated byare apt to consider the least profitable freight; legislation. but more recent diversion has been of longer This transportation of commodities by truckshaul traffic and has affected rail profits more was meeting, at least partially, one of the weaksharply. Fast freight on regular schedules with points in the service rendered by the privatedelivery and pick up service would compete express system. That system could tap onlysharply with express and indeed might be con- territory adjacent to the railroads or to water-sidered a slower express service. ways and was not available to the large propor- Container freightservicealsowas being tion of the population distant from rail systemsrapidly developed. In this service freight cars and navigable waterways. This fact had beenwere fitted to hold uniform steel containers not stressed in 1912 by those who urged, unsuccess- unlike lockers. The shipper could pack these fully, that the parcel post when establishedcontainers in his own establishment and deliver should offer pick up service at a fee and shouldthem locked to a freight depot, where cranes have no limits, or extremely generous limits, asloaded them upon the freight cars waiting for regards weight, girth and insurance. them. This service lent itself readily to the The post -war motor truck, however, like theshipment of fragile or valuable articles, which parcel post, has become available to most peoplehad formerly been considered peculiarly the who live on or near passable roads. In someprovince of the express service. instances it provides interstate service on regular Finally, the railroads were complaining that schedules; in others, on occasion or by order. Itunder their contracts of 1920 and 1923 with the generally also makes available the local haulageAmerican Railway Express Company they were of commodities. By 1931 it was known that anobtaining an insufficient proportion of the ex- increasing amount of milk and farm produce hadpress revenues. If the express service remained been diverted from the express service to the inprivate hands, theInterstate Commerce motor truck, and the same diversion was ap- Commission might be successfully appealed to parent in manufactured merchandise. in a move to prevent the development of fast Express companies were also keenly feelingfreight to the point of destroying all express the competition of fast freight service by rail,profits. If the express service were made part of which for a number of years was being im-the railroad systems, the railroads could well proved and expanded. Fast freight between afford to develop fast freight at the expense of certain points was being dispatched on regularexpress, inasmuch as most of the rail revenues schedules; special fast freight trains, althoughcame from freight and only a relatively small required to yield the right of way to passenger proportion from express payments. and express trains, were given the right of way Under these circumstances the railroads in- over ordinary freight. One effect of this develop-timated that they would not renew the 1920 -23 ment was to enable shippers to maintain smallerarrangement when the contracts expired on inventories, secure in the knowledge that theyFebruary 28, 1929. On that date, with the ap- could obtain raw materials with less delay andproval of the Interstate Commerce Commission, deliver their products more speedily. Merchantsthe American Railway Express Company was likewise could rely upon this new service if theytaken over by the Railway Express Agency, allowed their stocks to become low. Yet it hadwhich was empowered to issue stock to the been forthis very purpose of maintainingamount of $32,000,000, the estimated value of its smaller inventories that many manufacturerscapital equipment. The stock was bought by the and merchants had patronized the express serv-several railroads of the country in proportion to ice. After 1920 railroad companies tended tothe amount of express traffic which had been favor shipment by fast freight of such bulkyhauled by each road during the preceding years. commodities as oysters, milk and fresh fruit,The machinery of express administration re- which had formerly been carried as express, andmained the same. to restrict express traffic to parcels. In Canada also there has been a marked tend- The railroads developed fast freight in part to ency for express service to be concentrated in a protect their freight tonnage against motor truckfew companies and for its control to pass to the competition, and in addition were seriously con- railroad companies. In 1927 Canadian express sidering delivery and even pick up of freight.companies had a gross operating revenue of The first diversion of freight to motor truck was $25,736,275 and had 5068 employees. The mostly of short haul traffic, which the railroadsgreatest part of the service was performed by the Express Companies--Extension Work, Agricultural 31 Canadian Pacific Express Company (formerlyEXTENSION WORK, AGRICULTURAL. the Dominion Express Company), a subsidiaryAgricultural extension work is a term which of the Canadian Pacific Railway, and by the ex-may be applied to a variety of forms of extension press department of the Canadian Nationaleducation in agriculture and home economics. Railway. In the United States formal cooperation be- In 1929 the interstate express companies oftween the United States Department of Agri- the United States -the American Railway Ex-culture and the Land Grant colleges in the press for the first two months, the Railwayprovision of such extension education on a na- Express Agency for the last ten months and thetional scale was inaugurated by the act of Con- Southeastern Express Company for the fullgress of May 8, 1914, commonly known as the year- showed a total mileage of 270,890, includ-Smith -Lever Act. Equally recent has been the ing 232,093 over railroads, 23,612 by steamboatexpansion on a large scale of organized agricul- and 10,314 by airplane. The number of em-tural extension work by European governments. ployees on December 31, 1929, was 59,468, withBut the real beginning of informal extension an average daily compensation of $5.66. Someteaching in agriculture may be traced to a much financial statistics for the same companies inearlier date. The many agricultural societies 1929 follow: which were organized in both Europe and the United States after the middle of the eighteenth Transportation revenues $291,326,777 century as a result of the growing interest in Contract payments for express new agricultural techniques were as much con- privileges 150,044,944 cerned with the dissemination of information as Interest on funded debt 1,334,000 with investigation and experimentation. Ameri- Net income 474,248 can statesmen such as Washington andJefferson Dividends declared 539,630 devoted much time and money to the importa- BERTRAM BENEDICT tion of seed and improved livestock and to the See: TRANSPORTATION; RAILROADS; MOTOR VEHICLE popularization of their use. The agricultural TRANSPORTATION; POSTAL SERVICE; INTERSTATE COM- fair, the foundation of which was laid by Elkanah MERCE COMMISSION. Watson in 1807, was throughout the nineteenth Consult: Benedict, B., The Express Companies of the century an important organ for the spread of United States: a Study of a Public Utility (New York knowledge in regard to agricultural techniques. 1919); Johnson, E. R., and Van Metre, T. W.,During the same period an increasing number Principles of Railroad Transportation (New Yorkof agricultural schools and lyceums were con- 1916) ch. xiii; Stimson, A. L., History of the Express Business (New York 1881); Wells, Henry, Sketch of the ducting lectures and farm tests. Rise, Progress and Present Condition of the Express But although fairly numerous instances of System (Albany 1864); Chandler, W. H., The Express public demonstration lectures conducted by ag- Service and Rates, 4 vols. (Chicago 1914); Field, A. S., ricultural societies and after 1850 by state boards "The Rates and Practices of Express Companies" inof agriculture can be found, all such extension American Economic Review, vol.iii(1913) 314 -40; Lewis, David J., A Brief for a General Parcel Post work remained sporadic and limited until the (Washington 1913); United States, Bureau of thethird quarter of the nineteenth century. The Census, 11th Census, 1890, Transportation in thecrude methods of agriculture inherited from United States, 4 vols. (1892 -93) vol. ii, and Express previous centuries were adequate to an expand- Business in the United States, 1907 (1908); United States, Interstate Commerce Commission,Report on ing pioneer system. Moreover, scientific agri- Statistics of Express Companies in the United States, cultural experimentation did not develop on a published annually for the period beginning 1908 -09; large scale until after the middle of the century. Canada, Railways and Canals Department, Express The period following the Civil War was one of Statistics of the Dominion, 292o -1916 (Ottawa 1911- agricultural depression, in which the attention 17);Canada,StatisticsBureau,Transportation Branch, Express Statistics, published annually for the and efforts of farmers were directed to political period beginning 1916. See also Interstate Commerce agitation and protest. The early militant Grange, Commission Cases, Express Contract, 1920 (59 I.C.C. the Greenback movement and the free silver 518 -32), Express Rates, 2922 (83 I.C.C. 6o6-81 and question all represented the reactions of the 89 I.C.C. 297 -323), and Securities and Acquisition of Control of Railway Express Agency, Incorporated (15oagricultural groups to the pressure of widening I.C.C. 423-43). markets, the impinging of commercialization and the growing disparity between rural and EXTENSION WORK. See EXTENSION WORK, urban standards of living. With the failure or AGRICULTURAL; UNIVERSITY EXTENSION. subsidence of such political movements there 32 Encyclopaedia of the Social Sciences set in a period of renewed and increasingly active agricultural colleges shortly after 1890 began interest in agricultural education. The creationto develop a variety of other forms of extension of the United States Department of Agriculturework. Organization of reading and correspond- in 186z provided the basis for future work; theence courses in agriculture and home economics, organization of state agricultural colleges underthe publication of bulletins in technical sub- the Morrill Land Grant Act of 186z and thejects, the holding of field demonstrations and development of experiment and research workthe support of itinerant lecturers and movable in these colleges under the Hatch Act of 1887schools all became recognized features of exten- assured the rapid growth of a new body ofsion education. scientific facts relating to agriculture and pro- The development of a body of trained teachers vided at the same time means for disseminationand lecturers increased the enthusiasm among of such information. those in touch with the situation for a further One of the most important methods of exten-and more systematic development of extension sion education fostered by the agricultural col-work. Moreover, the growth of extension work leges and state departments of agriculture waswas placing such a burden on the agricultural the farmers' institute. The Kansas Agriculturalcolleges that their resident teaching and research College is generally credited with having heldtended to suffer; there was therefore a demand the first such institute in 1868. The movementfor special federal appropriations for extension spread rapidly and soon agricultural collegeswork. By this time the experiment stations were and societies throughout the country were or-accumulating new techniques at a rapid pace; ganizing such local meetings of farmers, lastingthe perfection of agricultural machinery pre- from one to three days, at which professors from sented new problems in the education of the the colleges and specialists from the departmentsfarmer; and the growing dependence of agri- and successful farmers lectured on subjects re-culture upon the market was making more lating to the technique, and sometimes to theevident the inability of the individual farmer or business, of agriculture. Occasionally womeneven the individual farm community to handle lecturers carried special messages to the farmmany of the most pressing problems alone. In- women. After 188o an increasing number ofcreasing attention was given to education in states supported the farmers' institutes withfarm management as well as in farm methods, definite appropriations. In 1896 a national body,and after 5900 agitation for nationally supported the American Association of Farmers' Instituteand organized extension work grew rapidly. It Workers, was organized to coordinate the work.was augmented by such factors as the report of After 1901 the Federal Office of ExperimentPresident Roosevelt's Country Life Commission Stations received special appropriations to sup-calling attention to the need for a more satis- port the work. In 1914 there were held in thefactory rural life. whole country 8861 institutes with an attend- It was such agitation which resulted in 1914 ance of 3,050,150 persons. Farmers' institutesin the passage of the Smith -Lever Act. But the were undoubtedly of great value in the spread-basic method of extension organization embod- ing of knowledge in regard to new and improvedied in that act resulted not from the theoretical methods of agriculture and of home making.discussion of needs but from a plan developed Their greatest defect was that they occurred soto combat a threatened national calamity. About infrequently, often only once a year, that it was1898 the cotton boll weevil began its devastation difficult for the farmer to follow up the ideasof the cotton fields of Texas. It quickly became he received. With the passage of the Smith -apparent that the pest could not be eradicated, Lever Act an .d the setting up of a national exten-and the principal agricultural crop of the south- sion system based on the work of the countyern states was threatened with destruction. extension agent the farmers' institute lost muchMethods of successfully cultivating cotton in of its importance, and the agricultural collegesspite of the presence of the boll weevil had been and state departments of agriculture graduallydeveloped; the problem was to persuade a large transferred their support to the county extensionnumber of farmers to adopt them. In 1904 Dr. agents. In 1920 there was a marked revival ofSeaman A. Knapp, who had been cooperating one -day institutes, but since then the wholewith the United States Department of Agricul- movement has gradually declined in importance. ture in experimenting with the demonstration Influenced by the Chautauqua movement and farm plan in Louisiana, was called into con- by the British university extension systems, theference with Secretary of Agriculture Wilson Extension Work, Agricultural 33 and other department officials who visited theFrom the beginning the county extension agents devastated cotton fields of Texas. To this groupsought the cooperation of local committees and Dr. Knapp explained his conception of adultlocal farmers' organizations. Especially in the education, which involved not simply teachingnortheast and north central states the county by object lesson but having the farmer himselfagent method as it developed relied upon county make the demonstration rather than merely wit-farmers' associations for support and used them ness it. He was immediately put incharge ofto give a community aspect to the work. These such demonstration work for the department; associations were organized on a variety of bases in February, 1904, the first extension agentsand with various names, such as soil and crop were appointed, but their work was not atfirst improvement associations or farmers' clubs, but confined to a single county. The first countygradually the general name for all of them came extension agent was appointed in 1906. Withto be Farm Bureau. Many of the states, by act this organization Dr. Knapp began by directingof the state legislature, made the organization his efforts to combating the devastation of theof such a farm bureau a condition precedent cotton boll weevil, to the growing ofsubstituteto the establishment of extension work in a crops and to the use of fertilizersand improvedcounty. It was these county farm bureauswhich tillage. after the World War formed the basis of a new In 1906 this work attracted the attention ofnational farmers' organization, the American the General Education Board established byFarm Bureau Federation. John D. Rockefeller in 1902, which was at the The agricultural extension act (Smith -Lever time operating in the southern states. Arrange-Act) of May 8, 1914, made this system of county ments were effected whereby the workof theagents and their supporting organizations the Board was coordinated with that developed bybasis of a national system of extension education Dr. Knapp under the Bureau of Plant Industry.in agricultural and home economics. The act At first the work was directed exclusively towardprovides a legal basis for cooperation between education of the adult farmer, but soon boys'the United States Department of Agriculture clubs, particularly corn clubs, were organizedand the Land Grant colleges in the establish- and demonstrations carried on through them.ment and support of the system; to thisend it Somewhat later similar work was started with appropriated $10,000 to each state and provided girls; the first woman county home demonstra-for the granting of additional sums contingent tion agent was appointed in 1910. The successupon appropriations from withinthe state. The of these activities in the south attracted national amount of funds available has beenincreased attention and within a few years the methodby supplemental legislation of succeeding con- spread into the northern states, notably into gresses; the Capper- Ketcham Actof 1928 al- Illinois, Missouri, New York, New Jersey,lotted $20,000 to each state and also provided North Dakota, Ohio and Utah. The first countyfor additional funds to be offset by state appro- extension agent outside of the southern statespriations. In 1930 the total funds available for was appointed for UintahCounty, Utah, Marchagricultural extension work in the United States I, 1911. In the same monthwork was startedamounted to $24,257,800, of which $9,251,760 in New York in a district comprising parts ofwas provided by the federal government,$6,- several counties adjacent to Binghamton. By948,450 by state legislatures and$8,057,591 by 1914 county extension agents tothe number ofcounty and other sources. Before 1914private 1138 were at work in the southern states andsources, foundations or localorganizations pro- about 209 had been appointed in the states out-vided considerable sums for extension work;in side of the cotton belt. a few middle western states thisis still the case, The essential feature of the county extensionbut the tendency is toward complete public agent system is the permanent locationin asupport. The Smith -Lever and otherextension definite territory of a trained agriculturist con- acts were made applicable to theterritory of cerned with organizing programs and devisingHawaii July 1, 1928; and the Smith -Lever Act, methods for improving conditions in that dis-to the amount of $10,000 only, toAlaska on trict. Appointed at first by state boards of agri-July 1, 1930. The extension acts are effective culture and agricultural colleges, the countyfor Porto Rico beginning July 1, 1932. agent maintained close relations withboth agen- In order to insure coordination of extension cies, using all their facilities of special lectureswork on a national scale the Smith -LeverAct and courses to supplement his personal work.provided that the agricultural colleges receiving 34 Encyclopaedia of the Social Sciences funds should submit to the secretary of agri-between the research institutions and the county culture plans for their work and a proposedextension agents is the state extension specialist. budget. The effective operation of the act re-In 1930 there were lioo such state specialists quired a more definite formulation of relationsin dairying, poultry, soils, horticulture, agron- between the United States Department of Agri-omy, nutrition, clothing, home management, culture and the agricultural colleges. Within thefarm management, forestry and other similar United States Department of Agriculture itselfsubjects. the administration of extension work was cen- This growing organization has continued to tralized under the States Relations Service, to make use of all the devices developed in earlier which were transferred the office of Experimentyears- demonstration work, circulars and bulle- Stations (except irrigation and drainage investi-tins, lectures and more recently moving pictures gations) and the farmers' cooperative demon-and the radio. The Department of Agriculture stration work previously in the Bureau of Plantdecided that Smith -Lever funds could not be Industry. An agreement was reached with theused to support farmers' institutes, short courses states that one state agricultural college in eachat colleges or correspondence courses; in some would receive all the benefits from the act andof the states, however, state funds have been that this college should establish a separateused to continue such work through the agri- division of extension work, the director of which,cultural colleges. selected by the college and acceptable to the A phase of extension work deserving particu- Department of Agriculture, should plan thelar mention is the work with boys and girls, extension activities for the entire state. Countyusually called 4 -H Club work. Young people and home demonstration agents became federalbetween the ages of io and 20 are admitted to civil service employees. such clubs and the majority of the members, With the entrance of the United States intowho totaled approximately 800,000 in 193o, are the World War a new importance attached tounder 14 years of age. Organized by the county the work of the extension service. It was calledagents and directed by adult leaders, these clubs upon by the Food Administration to direct theengage in poultry raising, gardening, dairy- work of increasing and mobilizing food supplies; ing, food preparation and projects for home home demonstration agents carried the burdenimprovement. Through contests with awards of of fostering food conservation. With the use ofprizes and trips and through special camps an special emergency appropriations additional ex-effort is made not only to give the children tension workers were appointed in great num-scientific information in regard to agriculture bers. At the end of the war there was a periodand home economics but also to develop an of difficulty as local cooperating organizations appreciation of country living under proper con- were disbanded and it was uncertain how largeditions. The work of the home demonstration a force of extension workers could be main- agents with farm women has also been of grow- tained. But the extension service was too firmlying importance in this direction. established and too urgently needed in the dis- In the work of the county agricultural agents turbed post -war years to suffer any real loss ofthe emphasis has been upon improvement of importance. Certain administrative reorganiza-crop and livestock production, primarily be- tions within the Department of Agriculturecause the great mass of research work carried further unified the work and extended its scope.on by the experiment stations, the agricultural On June 30, 1930, a total of 6113 men andcolleges and the United States Department of women were employed in agricultural extension Agriculture has been in that field. Educational work. Of these, 191 were in the department inwork in relation to the farmer's business life Washington and 488 in administrative or super-was contemplated by the Smith -Lever Act and visory positions in the states; there were 2580was approved by Secretary of Agriculture Hous- regular county agricultural agents and assistantton in the first year of its operation. There was agents, 1225 county home demonstration agents little research in this field, however, and con- and assistants and 246 county boys' and girls'sequently little in the way of accepted principles club agents. In addition there were 172 Negroto guide extension procedure. An office of Farm county agricultural agents and 127 Negro countyManagement was organized in the Bureau of home demonstration agents. County workersPlant Industry in 1906, but its activities devel- thus comprise about two thirds of all coopera-oped slowly. From the beginning, however, tive extension workers. One connecting linkmany county extension agents gave advice in Extension Work, Agricultural 35 regard to business conditions. Since the warsocieties. The work of the women's institutes there has been an increasing demand fromis closely allied to extension work, and young farmers for such service. In addition to teachingpeople's clubs are multiplying in number. Much methods of farm management the extensionuse is made of scholarships. These activities are service has attempted to develop a basis of farmcoordinated by the National Council of Social accounting and secure its widespread adoption.Service, a central board for all rural councils, The agricultural outlook reports of the Depart-which includes representatives of the Ministry ment of Agriculture furnish a possible basis onof Agriculture. In Sweden and Norway too which farmers can readjust farm production.extension work is organized through county ag- The passage of the Agricultural Marketing Actricultural societies and definitely tied up with of 1929 creating the Federal Farm Boards stim-other work for small holders. In Italy itinerant ulated work in the field of cooperative marketing. schools are organized by the central government Increasing emphasis has been laid by extensionand provincial authorities. In Germany experi- workers on the encouragement of cooperativement clubs have been organized and extension marketing associations. There is evident in thework fostered by the chambers of agriculture. service an attempt to coordinate extension workIn France an important feature of extension in production, distribution, farm managementwork is its definite use to check the emigration and ways of living. of the rural population to the cities. In Denmark Agricultural extension work in other coun-the Royal Agricultural Society centralizes ex- tries has developed along slightly different lines.tension as well as all other agricultural educa- Except in England it is ordinarily undertakention; the work has long been developed to a high directly by government departments or by farm- degree of specialization throughout the country. ers' organizations subsidized by the governmentExtension work is well developed in the British rather than by the agricultural schools and col-dominions, especially in Canada, South Africa leges. Although agricultural colleges and second-and Australia. Most of the South American ary schools have existed in most Europeancountries have governmental systems of itin- countries since the eighteenth century and ex-erant agricultural advisers. There is a small periment stations have been established in largeamount of extension work in China but in Japan numbers, it is only since the World War thatit is highly developed. In 1922 it was estimated extension work has developed on a large scale.that 1,190,000 individuals in Japan received The pressure of food supply problems duringextension instruction. Soviet Russia is carrying the war and the subsequent dislocations of inter- on agricultural extension work on an unprece- national trade led to a marked expansion of all dented scale. All the ordinary methods of in- forms of agricultural education and particularlystruction in improved agricultural methods - of extension work throughout Europe. Whilelectures, demonstrations, motion pictures, radio the basis of organization of such work differs-are supplemented by the most ambitious in each country, there is considerable similar-demonstration of the nature of modern social- ity in the methods employed. In general there ized agriculture. is more emphasis on movable schools, short The world wide growth of extension teaching, courses, lectures and demonstration farms andsupplementing scientific experimentation, has less on demonstrations by farmers themselves revolutionized the technical basis of agriculture. than in the United States. The motion pictureOver wide areas primitive methods are being and the radio have been brought into use tosupplanted by improved methods of tillage. The spread agricultural information, and the special- standards of living of rural communities have istin every branch of agriculture plays an alsofelt the effect of this new educational important part in the extension work of mostmethod. But the larger task of giving to agri- governments. In the majority of the countriesculture its place in a balanced economic system the government works through farmers' organi- still remains a challenge to the extension workers zations and definitely encourages the formation of all countries. of cooperative and other associations. WILLIAM ALLISON LLOYD Special features of extension work in certain countries may be noted. In England there is a See: AGRICULTURE; AGRICULTURE, GOVERNMENT SERV- ICES FOR; AGRICULTURAL EDUCATION; AGRICULTURAL system of county agricultural organizers, who SOCIETIES; AGRICULTURAL FAIRS; AGRICULTURAL EX- give lectures and organize conferences. In many PERIMENT STATIONS; FARM MANAGEMENT; AGRICUL- cases they are supported by farmers' discussion TURAL ECONOMICS; FARMERS' ORGANIZATIONS; FARM 36 Encyclopaedia of the Social Sciences BUREAU FEDERATION, AMERICAN; BOYS' AND Gnus' stantinople (where they are known as Capitula- CLUBS; COUNTRY LIFE MOVEMENT; RURAL SOCIETY; tions) in the tenth century, to Genoese in the CHAUTAUQUA; UNIVERSITY EXTENSION. same city in the thirteenth century, to French in Consult: FOR THE UNITED STATES: Publications of the Egypt in the thirteenth century, to Italians in United States Department of Agriculture: "A History of Agricultural Extension Work in the United States London as late as the fifteenth century and to 1785 -1923" by A. C. True, Misc. Publications, no. 15 the Dutch and British trading "factories" in Ja- (1928); "County Agricultural Agent Work under thepan in the seventeenth century. In some places, Smith -Lever Act, 1914 -1924" by W. A. Lloyd, Misc. such as the Venetian and Genoese suburbs of Circular, no. 59 (1926); "Boys' and Girls' 4 -H Club Constantinople, foreigners were permitted to Work under the Smith -Lever Act, 1914- 1924" by G. E. Farrell, Misc. Circular, no. 85 (1926); "A Ten Year have separate autonomous communities. Trea- Review of Home -Management Extension,1914- ties signed with leading western powers by 1924" by Madge J. Reese, Circular, no. 17 (1927); Turkey, China, Japan, Siam and Persia during "Home Demonstration Work under the Smith -Lever the nineteenth century set up systems of exterri- Act, 1914 -1924" by Florence E. Ward, Circular, no. 43 (1929); Cooperative Extension Work, published an- toriality in each of these countries. nually since 1915 by the Office of Cooperative Exten- The origin of these extraordinary privileges, sion Work; Report of the Director of the Extensionwhich were as a rule granted freely, is to be Service, published annually since 1924 by the Exten- found in the early concept of law as being per- sion Service. See also Smith, C. B., and Wilson, M. sonal rather than territorial in nature. It was C., The Agricultural Extension System of the United States (New York 1930); Martin, O. B., The Demon-held to follow a man wherever he went. Inas- stration Work (Boston 1921). much as this personal law was rooted in diverse FOR FOREIGN COUNTRIES: International Labourlegal, religious, social and moral usages, no Office, Vocational Education in Agriculture, Studies universal principles of jurisprudence could be and Reports, ser. K, no. ix (Geneva 1929); United States, Department of Agriculture, Extension Service, applied readily to all alike. It was therefore more "Foreign Agricultural Extension Activities" by J. M. logical, practical and conducive to harmonious Stedman, Circular, no. 119 (193o); United States,intercourse to permit foreigners domiciled in Department of Agriculture, Office of Experiment the midst of alien peoples to be judged according Stations, "Agricultural Instruction for Adults in theto their own laws. Originally exterritoriality was British Empire," and "Agricultural Instruction for Adults in Continental Countries" by John Hamilton, a subject of municipal law and the system was Bulletin, nos. 155 and 163 (1905). not regarded as a limitation on territorial sov- ereignty. EXTERRITORIALITY This fiction or metaphor of exterritoriality is GENERAL. Exterritoriality (extraterritoriality)inaccurate and misleading. Foreigners enjoying is a legal fiction or metaphor serving to explainthese privileges, even if residing in separate the special immunities attaching to the personscommunities, cannot actually claim the same and to the habitations of diplomatic agents, whorights as if they were residing extra territorium are not subject to the jurisdiction of the countrywithin their own national territory. It is obvious of official residence and thus in a sense are to bethat the title to land, the interchange of goods regarded as outside the territory: extra territo-and other property, inheritance, marriage, di- rium. This fiction was originally suggested by vorce and many other matters are subject to the Grotius in De jure belli ac pacis (bk. ii, ch. xviii,lex loci. The United States Supreme Court has sects. 4 -5) and the term exterritorialitas, or ex-weakened the fiction by holding that American territorialité, was first employed by Wolff andconsular courts are created by special legislation von Martens in the eighteenth century. It is also and administer justice according to executive applied to troops in peaceful transit over foreign regulations. The Constitution of the United territory and to public vessels in foreign ports.States does not extend extra territorium and The term exterritoriality has become identi-there is no right of trial by jury before such fied specifically with the status of foreignerstribunals [in re Ross, 40 U. S. 453 (1891)]. enjoying special immunities from local jurisdic-Foreigners enjoying so- called exterritorial rights tion. Phoenicians possessed exterritorial privi- are subject to restrictions which vary according leges in Memphis as early as the thirteenthto the treaties or special grants giving these century B.C. Foreign merchants in Spain wererights. It would therefore be more accurate to allowed to have their own magistrates in thedefine their status as being the enjoyment of fifth century A.D. Special privileges were ac-certain immunities of jurisdiction. The term ex- corded to Arabs in Canton, China, in the ninthterritoriality, however, has become consecrated century, to Russians and to Venetians in Con- by long usage. Extension Work, Agricultural-Exterritoriality 37 The term exterritorial is also used in the senseother powers within the next few years. At the either of the exterritorial effect of legislationVersailles Peace Conference the powers refused over nationals abroad or of the right of juris-to forego their rights in Persia, but Russia In diction over acts committed outside the territory 1921 abandoned its rights by treaty.Siam's de- by nationals or foreigners. The right of a statemand for the abolition of exterritoriality at the tolegislate concerning itsnationals abroad,Versailles Peace Conference was denied, but in notably in such matters as taxation, military1919 -20 Germany, Austria and Hungary aban- service and jurisdiction over privately owneddoned their rights there and the United States merchant vessels flying its flag on the high seas, led the other powers in signing treaties abolish- has been generally recognized. The right of aing the international courts in Siam, reserving state to jurisdiction over acts committed outside only the right of evocation for a limited period. its territory either by its own nationals or byTurkey abolished exterritoriality by unilateral aliens has by no means been recognized, except action in 1914 and all signatories to the Treaty in such cases as conspiracy against the safetyof Lausanne of 1923 accepted this action. The and sovereignty of the state or serious crimesUnited States, because of the failure of the where the constructive presence of the accused Senate to ratify the treaty, was left in the situa- on its territory at the time of the criminal act istion of being unable to give its formal consent assumed, e.g. shooting across the boundary. Theto the abrogation of exterritorial rights by the decision of the Permanent Court of Interna-unilateral act of Turkey in 1914. The United tional Justice in the Lotus case, however, which States did not insist, however, on the exercise concerned the loss of the lives of Turkish na-of these rights. tionals on the high seas by reason of a collision The United States lays claims to rights of with the French vessel Lotus, would seem toexterritoriality in Abyssinia, China, Egypt, Irak, have gone very far in conceding a right ofMorocco, Muscat, Siam and Turkey. With ref- jurisdiction over crimes and offenses committederence to territories formerly attached to Tur- exterritorially. key, the United States might claim certain The system of exterritoriality worked welltheoretical rights of exterritoriality in Bulgaria until comparatively recent times, when there by reason of article 175 of the Treaty of Neuilly grew up a number of abuses. Political espionagesigned November 27,1919, and in Egypt Ameri- became rife and culminated in national inter-can nationalsstill enjoy extensive privileges ventions of a political character. Such activitiesunder the old Turkish Capitulations. Mixed as the maintenance of saloons, gambling housescourts on which American judges sit also exist and brothels in Constantinople by foreignersin Egypt for the trial of cases involving for- constituted a defiance of Turkish authorityeigners and natives with respect to civil and which virtually left these places subject to nocommercial litigations as well as to minor of- law. Foreign commercial enterprises operatedfenses against police regulations. to the disadvantage of natives, and immunities PHILIP MARSHALL BROWN were abused to further foreign economic inter- ests. The extension of privileges and immuni- CHINA. Special privileges and immunities for ties to natives known as protégés, who thusforeigners on Chinese soil have long formed one escaped the full control of their national govern-of the principal subjects of contention between ment, was an abuse particularly resented. TheChina and foreign powers. The Russo -Chinese demands of nationalism, along with gradualtreaty of 1689 permitted merchants of each na- adoption of judicial standards acceptable to thetionality to carry the laws of their country with western powers, led to the abolition of exterri-them on visits to the other country. This im- torial rights in one country after another. Wherepairment of the authority of the law of the two the system had been embodied in internationalcountries was bilateral and justified by mutual treaties, thus ceasing to be a purely municipalconvenience. The first of the "unequal" treaties, subject, its abolition was complicated, althoughto which the Chinese have recently objected so it today remains a real problem only in China.strongly, was signed in 1842 when the British, Legal reform, the adoption of a constitutionfollowing their victory in the "opium" war, se- and the codification of laws between 1889 andcured the benefits of exterritoriality in China 1891 were a prelude to the abolition of exterri-without granting the same privileges to Chinese toriality in Japan. The rights of Portugal weresubjects on British soil. In 1844 the United ended in 1892, of Great Britain in 1894 and ofStates and France negotiated similar treaties and 38 Encyclopaedia of the Social Sciences eventually unequal treaties were concluded be-the American and Japanese governments fol- tween China and nineteen foreign states. lowed suit, but conditions in China have not yet Originally the Chinese seem not to have beenbeen such as to induce these governments to offended by the impairment of their authoritycarry out the agreements. When China entered over foreigners within their gates and were ap-the World War she denounced the treaties which parently even happy to be relieved of the task ofgranted special privileges and immunities to the controlling foreign seamen and traders. But inCentral Powers. The Soviet government has the course of time they grew resentful at theabandoned Russian privileges. The Chinese at- one -sided character of the system and made thetempted to end the system at the Paris Peace following leading objections to it. First, the mul-Conference and the Washington Conference and tiplicity of jurisdictions in the treaty ports, es-by invoking their rights under article 19 of the pecially where there were foreign concessions orCovenant of the League of Nations, but without settlements, confused the administration of jus-success. In December, 1929, the Chinese gov- tice. Second, the negligence of some powersernment announced that the system would ter- resulted in the lack of any law governing foreign-minate on January r, 193o, but presently added ers in certain classes of cases. Third, foreign that, while the gradual abolition of exterritorial- judicial officials seemed unduly favorable toity would be deemed to begin as of that date, no their own nationals at the expense of the Chi-further steps would be taken actually to end re- nese. Fourth, foreigners who refused to submitmaining special privileges and immunities with- to Chinese law sometimes seemed unwilling to out the consent of the powers. Seventeen powers observe their own. Fifth, Chinese could evade still claim exterritorial rights in China. All but their own law by collusion with foreigners oper- the United States, France, Great Britain, Japan, ating under the protection of exterritoriality.the Netherlands and Brazil have agreed to re- Sixth, fugitives from Chinese justice, especiallylinquish them when such action shall have be- political offenders, could too easily take refugecome unanimous. in places under foreign jurisdiction and abuse ARTHUR N. HOLCOMBE their privilege to the grave injury of China. See: CAPITULATIONS; CONSULAR SERVICE; DIPLOMACY; Seventh, the Chinese possessed no effective COMMERCIAL TREATIES; JURISDICTION; SOVEREIGNTY; power to deport offensive foreigners protected NATIONALISM; CHINESE PROBLEM. by exterritoriality. Finally, the system threat- Consult: Moore, J. B., Divest of International Law, 8 ened to lead to dangerous political penetration of vols. (Washington 1906) vol.ii, ch. vii;Piétri, F., Chinese territory. An illustration of this dangerEtude critique sur la fiction d'exterritorialité (Paris was afforded by the heavy immigration of Ko- 1895); Piggott, Francis T., Exterritoriality (2nd ed. reans into Manchuria, where they or the Japa- Hongkong 1907); Liu, Shih Shun, Extraterritoriality: Its Rise and Decline (New York 1925); Heyking, A. de, nese government for them could claim the pro- L'exterritorialité (Paris 1926); Hall, William Edward, tection of Japanese law. Treatise on the Foreign Powers and Jurisdiction of the In defense of their special privileges and im-British Crown (Oxford 1894); Nathabanja, L., Extra- munities foreigners brought forward several territoriality in Siam (Bangkok 1924); Sayre, Francis Bowes, "The Passing of Extraterritoriality in Siam" arguments. They denounced the "oddness" ofin American Journal of International Law, vol. xxii Chinese law, e.g. Chinese indifference to the (1928) 70 -88; Keller, H. K. E. L., "Ausgewählte Li- distinction between accidental and wilful homi- teratur über Chinas Verhältnis zum Auslande" in cide, which resulted in holding physicians and Weltwirtschaftliches Archiv, vol. xxxi (193o) 22 * -39 *; surgeons responsible for the disability or death Slade, W. A., "Bibliography of China, Extraterritori- ality" in American Academy of Political and Social of patients. They objected to the methods em- Science, Annals, vol.clii (1930) 386; Treaties and ployed to secure confessions from criminals, po- Agreements with and concerning China, 1894 -1919, ed. litical and especially military interference withby J. V. A. MacMurray, 2 vols. (New York 1921); the course of justice and what seemed to them Carnegie Endowment for International Peace, Trea- the excessive corruption of Chinese judges. ties and Agreements with and concerning China 1919- 1929 (Washington 1929); Keeton, G. W., The De- The efforts of the Chinese to bring the system velopment of Extraterritoriality in China, 2 vols. (Lon- of exterritoriality to an end have been hampered don 1928); American Chamber of Commerce of Tien- by the disorders accompanying the revolutiontsin, Memorandum Relative to Extraterritoriality in and the delay in reconstructing the national gov- China (Tientsin 1925); United States, Department of State, Commission on Extraterritoriality in China, ernment. In 1902 the British government agreedReport (1926); Woodhead, H. G. W., "Exterritorial- to abandon the system when the condition of the ity" in Woodhead, H. G. W., and others, Occidental country should seem to warrant it and in 1903 Interpretations of the Far Eastern Problem (Chicago Exterritoriality-Extortion 39 1926) p. 81 -127; Quigley, H. S., "Extraterritoriality The derivation of the word from these sources in China" in American Journal of International Law, seems possible, but it may also have come from vol. xx (1926) 46 -68; Hudson, M. O., "The Rendition of the International Mixed Court at Shanghai" inthe old French maille, which meant a "small American Journal of International Law, vol. xxi (192'7) coin," a "certain rent," paid to men of influence 451 -71; Wright, Quincy,"Some Legal Consequences on the border for protection againstbrigands If Extraterritoriality Is Abolished in China" in Ameri- with whom they were allied; or from the Gaelic can Journal of International Law, vol. xxiv (1930) 217- mal, a rent; or the German Mahl, a tribute (8 27; Mallory, W. H., "The Passing of Extraterritorial - Corpus juris i 114, note 2). The term blackmail ity in China" in Foreign Affairs, vol. ix (1930-31) 346- 49. See also the bibliography of CAPITULATIONS. is not expressly used in English law. The nearest definition apparently is the crime of "demanding EXTORTION. When Blackstone wrote hiswith menaces" (6-7 Geo. v, c. 5o, sect. 29, sub. Commentaries, the English common law limitedsect. t), which apparently covers both extortion extortion to the act of an officer in "unlawfullyand blackmail as used in the statutes of Ameri- taking, by color of his office, from any man anycan states. Blackmail does not exist as a separate money or thing of value that is not due to him,offense in all of the states but sometimes comes or more than is due, or before it isdue" (vol. iv,under the general head of extortion or some other p. 141). As the law of England nowstands, theoffense (8 Ruling Case Law 373). Where separate narrower definition is still observed; extortionis definitions exist they differ in language but are limited to the acts of officials. The same narrowas a rule similar in purport. definition is used, by constitutional necessity, in Although blackmail and extortion are closely the federal criminal law of the United States. Inrelated they differ in general in that extortion is the American states, partly by judicial decisions not complete unless property is actuallyob- but largely through statutory development, thistained, whereas blackmail depends on the intent original definition of the crime of extortion wasto extort. Moreover, the threat in blackmail must enlarged to include others than public officersbe in writing, while in extortion it may be written and threats more extensive than those involvingor verbal. Both differ from thecrime of robbery the "color of official right." In this sense it wasunder threat of violence, although in early Eng- in many jurisdictions so broadened as to includelish statutes the attempt to extort money under "the obtaining of property from another, withthreat of charging one with crime or threats of his consent, induced by a wrongful use of force violence or such other threats as a man of ordi- or fear, under circumstances notamounting tonary firmness could not withstand werecalled robbery" (8 Ruling Case Law 315). Thus en-robbery. The distinction now made between larged, extortion includes blackmail. The penalrobbery and extortion or blackmail is that in the law of New York state provides a good exampleformer the taking is without the consent of the of the broader statutory use of the term. It isperson robbed by force offear, while in the there defined as "the obtaining of property fromlatter the taking is with his consent [McKeown another, or obtaining the property of a corpora-v. State (1926) 246 Pac. 659]. tion from an officer, agent or employee thereof, In Athens laws permitting any citizen of good with his consent, induced by a wrongful use ofstanding to prosecute a criminal were respon- force or fear, or under color of official right" sible for the growth of a class of "sycophants" (sect. 85o). American states have moreover pro-who not only extorted money from guilty per- vided a number of other crimes, variously de-sons whom they threatened to accuseof a crime fined, to meet the general question implied inbut from the innocent as well. The sycophants the act of extortion. They have also supplement- were, it appears from thefrequent references ed the general definition with definitions of ex-made to them in literature, both numerous and tortion by specifically defined officers. formidable. Wealthy and prominent citizens Blackmail in history and meaning is closelyeven went into exile to escapetheir exactions. In related to extortion. In mediaeval England itthe Symposium of Xenophon, Charmides con- meant rent paid in labor, grain or money of agratulates himself that he has lost all his money baser sort (other than sterling) as distinguishedand is no longer compelled to live in the fear of from rent paid in silver, or "white," money. Inthese extortioners. The Athenians had special Scotland and in the northern counties of Eng-laws against sycophants, but their enforcement land it signified a tribute in money, corn, cattle was left to voluntary accusers. Thevictims were or other property exacted from farmers byfree-not likely, for reasons of expediency, tobring booters in return for certain kinds of immunity.the matter into the courts. Furthermore, while 40 Encyclopaedia of the Social Sciences theoretically the law reached those who actuallymoney. It did not cover extortion by means initiated a vexatious or unwarranted prosecu- other than physical power. What was popularly tion, it was silent on the subject of blackmail as known as chantage- extortion by means of some such unless accompanied by violence. sort of moral compulsion, threats of the revela- In Rome delators engaged in the same prac-tion of a true or a false fact -was not punished. tises. The laws of Augustus which permittedFinally, in the law of May 13, 1863, an article any person to accuse another of lacking respectwas added which read: "Whoever, by means of for Rome or the emperor and laws regulatinga written or verbal threat of defamatory revela- marriage and celibacy became instruments intions or imputations, extorts or attempts to ex- the hands of the unscrupulous, who by threaten-tort the giving of money or valuables, or the sig- ing to accuse their victims of violation of these nature of the documents enumerated above, will laws extorted tribute. On the other hand, the ex-be punished by imprisonment from 1 to 5 years tortions of Roman officials, especially the provin-and a fine of from 5o to 3000 francs" (art. 400). cial governors, were notorious, These governorsThis was the first time that chantage, or the ex- would by threat of imposing some hardship,tortion of money or something of value by writ- such as the quartering of troops, upon the pro-ten or verbal threat of a defamatory revelation, vincials extort money, estates and works of artappeared in the law on the continent. The law from them. In an attempt to meet both situa-has since been expanded. The same penalty at- tions a series of laws was enacted. The lex Juliataches to a false claim of descent as to the crime repetundarum, replacing five earlier enactments, of extortion. punished every sort of extortion under color of In Germany, on the other hand, extortion office. Some forms of crimen vis, or falsi, reached both by public officials and private persons was certain cases of private extortion. An actio quodlegally recognized. The definition of the offense metus causa was available to a person forcedwhen committed by a private person was, how- by threats to complete a legal transaction or,ever, for long years a subject of dispute by ju- in later law, other damaging act. Other actions,rists. The French provision of 18to undoubtedly such as the actio doll, the condictiones ob turpeminfluenced the German conception, for the causam or ex injusta causa, under certain cir-crime was narrowly defined by the code of Prus- cumstances furnished the possibility of punish-sia of 1851, for example, to read: "Whoever, in ing extortion. The last great act on the subjectorder to obtain for himself or a third person an is De concussione, enacted in the second centuryunlawful pecuniary advantage, forces or at- of the empire. This act differentiated betweentempts to force another person, by written or concussiones publicas, in which the doer throughverbal threat of a felony or misdemeanor, to the misuse of the powers of a public office ex-commit or forbear an act, is guilty of extortion." torts something of profit or advantage, and con -This limited definition, however, like that in cussiones privatas, in which the doer throughFrance, was found unsatisfactory. By article 253 threat of a suit at law reaches the same end. of the imperial code of criminal law the defini- Both French and German law were to a greattion was vastly broadened to read: "Anyone who extent influenced by the Roman law, but the in order to procure for himself or for a third per- development of the law on this subject differed son, an unlawful advantage in property, com- in the two countries. In early French law onlypels another by violence or threat to commit, the crime of concussio publica existed; it sig-suffer or forbear an act, must be punished for nified extortion by a public official. Extortionextortion by imprisonment with labor for not by private persons was met only indirectly inless than one month. The attempt to commit provisions relating to other crimes, such as rob-this offense is punishable." This law has not bery. In the penal code of 1791 the crime of ex- been changed since, in spite of the fact that on tortion by a private person appeared for the first account of its extraordinary breadth it has pro- time (art. ¢0, sect. 2), but its definition here wasvoked much criticism. Cases are reported to narrowly limited to the extortion of the signa-indicate that it has been invoked in connection ture or the giving of a writing, a document, awith demands on the part of labor which in title or the creation of or freeing from a legalAmerican practise would be quite innocent of obligation by force, violence or constraint. Thislegal wrongdoing. was embodied in effect in the changed penal In the administration of the criminal law ex- code of i8io. It was, of course, found highly un-tortion particularly and blackmail to some de- satisfactory. It did not punish the extortion ofgree constitute the most difficult of crimes to Extortion-Extradition 41 prosecute successfully. Extortion is very diffi-larly newspapers with a spicy turn, increase the cult to prove. The threat may be very subtlymeans for blackmail. The well known"scandal stated. It may be verbal. Those who are guiltysheet" type of publication exists for and by are careful not to commit the actbefore wit- blackmail. nesses. When evidence can begathered, as in Extortion and blackmail are especially fre- certain "racket" prosecutions in recent years,quent whenever social, economic and political witnesses are frequently intimidated and juriesorganization is weak and corrupt. "Racketeer- are fearful of the consequencesof a verdict un-ing," for example, flourishes where city govern- favorable to the extortioner. Consequently thement is unable or unwilling to provide protec- statistics of criminal prosecutions show only a tion and where the economic conflict is ruthless meager number of convictionsfor the crime.and primitive. But in every society the presence Likewise prosecutions for blackmail are exceed- of these forms of coercion is symptomatic of a ingly difficult, even though in blackmail, unlikelarger problem. Much of normal social life de- ordinary cases of extortion, the threat must bepends upon coercion of one kind or another; a written. The source of the threat is usuallydetailed study of the social structure would anonymous. The person threatened cannotaf- show how extensively these forms of pressure, ford to make known the existence of the threat, at first casual and regarded aswrongful, come particularly when the threat is to expose a moral ultimately to be brought within the law and ac- dereliction. The prosecuting witness is therefore cepted as normal and justifiable. as anxious as themalefactor to keep the transac- RAYMOND HOLEY tion secret. KEITH CARTER Extortion reaches far into the fabric of mod- See: RACKETEERING; GANGS; BRIGANDAGE; CORRUP- em civilization and assumes aninfinite variety of TION, POLITICAL; UNFAIR COMPETITION;LABOR DIs- forms. In economic life business associations PUTES; ALIMONY; DETECTIVE AGENCIES,PRIVATE. have been known to practise extortionate meth- Consult: Stephen, J. F., A History of the Criminal Law ods against non -members and to join in extor- of England, 3 vols. (London 1883); Bonner, R. J., tion with labor leaders, who in turn sell protec- Lawyers and Litigants in Ancient Athens (Chicago tion against strikes and boycotts. In one well 1927) ch. iv; Frank, Reinhard von, Das Strafgesetz- known instance a farmers' cooperative engaged buch für das Deutsche Reich (18th ed. Tübingen 193o) P. 554-63; Klauke,Max, Der Tatbestand der Erpres- in such activities. In political life the "shake- sung im geltenden und künftigendeutschen Strafrecht down" practises of unscrupulous legislators are(Greifswald 192o); Garraud, René, Traité théoretique common; some partyorganizations frequently et pratique du droit pénal français(2nd ed. Paris 1900) sell immunities of various sorts for campaignvol. iv, sect. ccxlvi; Kochs, Paul, Chantage(Essen contributions. There are innumerable forms of 1920); Menard, Michel, De l'évolutionjuridique du extortion practised by some administrative offi- délit de chantage (Paris 1914); Frank, Reinhard von, "Raub und Erpressung"inGermany,Reichs- cers in the enforcementof certain legal regula- Justizamt, Vergleichende Darstellung desdeutschen und tions and penal statutes. Whenever these prac- ausländischen Strafrechts, BesondererTeil, vol. vi tises are common, bands of professionalcrimi- (Berlin 1907) p. 1 -142; Krückmann, Paul, DerBoy - nals spring up outside the groups concerned to kott int Lohnkampf, Zugleich eineUntersuchung über Osborne, J. W., do the rough direct work of violence. den Erpressungsbegriff (Leipsic 1918); "Blackmail and Extortion" in Bench and Bar,vol. iv Forms of blackmail are more easily identifiable but are equally varied. Society provides so ex- (1906) 55-59, 90 -104. tensive a variation between socialconventions thatEXTRADITION, or the mutual renditionof and commonly practised private conduct mod- the opportunities for this crime areexceedinglyfugitives from justice, is of comparatively and mediaeval times the extensive. Any increase in the severityof penalem origin. In ancient fre-practise appears to have beensporadic; it was laws increases the danger. Perhaps the most political rather quent manifestations relate to mattersaffectinginvoked generally in the case of notion was widely sex relations, and themultiplicity of new lawsthan common offenders. The black-held that fugitive offendersshould be given affecting morals accentuates this form of system, mail. The various local regulationsconcerningasylum. With the rise of the modern state be andhowever, and the developmentof means of prostitution, often loosely drawn, can cooperation in the have been extensively used.Prohibition lawstravel and communication Thesuppression of crime became a matterof inter- likewise provide the means for blackmail. that states many outlets forpublished materials, particu-national concern. It became evident 42 Encyclopaedia of the Social Sciences must either find a way to administer the penalto convict," the Anglo- American practise makes laws of other states, develop a cosmopolitan extradition substantially more difficult. system of criminal jurisprudence or provide for There is also a diversity in treaty provisions the surrender of fugitives. The first alternativeand in practise with respect to the extradition of presented the gravest practical difficulties; thenationals of the asylum state. In Great Britain second was obviously utopian; the third wasand the United States the jurisdiction of crime is developed extensively through the conclusionregarded as essentially territorial, and conse- of bilateral treaties. quently these countries are prepared to sur- While the obligation to extradite in the ab-render their nationals for trial at the place sence of treaty was supported by reputablewhere the alleged offense was committed. Most opinion as late as the early nineteenth century itcountries, on the other hand, refuse to surrender never became established in international law.their nationals, chiefly on the ground that their France concluded an extradition treaty of theown criminal codes provide adequately for the modern type with Württemberg in 1759. Thepunishment of crimes committed by nationals first extradition provision in a treaty of theabroad. From the Anglo- American point of view UnitedStates was incorporatedinarticlethe justificationisinsufficient,since crime twenty -seven of the Jay Treaty of 1794 withshould be tried and punished whenever possible Great Britain. Among states whose systems ofat the place where it was committed and since a penal law and procedure had at least basicfugitive convicted abroad before taking refuge in similaritiesbilateralextraditionconventions the country of his allegiance must either be ex- multiplied rapidly in the nineteenth century,tradited, tried twice for the same offense or until the world came to be covered by a networkpermitted to escape punishment. The exception of such agreements. General extradition statuteshas nevertheless been recognized in a number of were enacted in many states to govern pro-the treaties concluded by Great Britain and the cedure, and in a few states provision was madeUnited States. for surrender in the absence of treaty. In 1902 The treaty usually enumerates the offenses for seventeen American countries, including thewhich extradition will be granted. Early treaties United States, signed a multilateral extraditionenumerated only a few major crimes; in the later convention; but thisagreement was neverconventions the list of extraditable crimes has ratified. been considerably expanded. Thus the treaty of Under the treaty system the request for extra-1794 between Great Britain and the United ditionisusually made through diplomaticStates provided for the surrender only of fugi- channels, although some conventions allow tives charged with murder or forgery, while the more informal demands; and it is common to conventions now in force between these coun- provide for provisional detention of the fugitive tries enumerate more than a score of extradit- pending a formal demand. In the United States, able offenses. The list of extraditable crimes except under article nine of the treaty of 1899 depends of course upon the importance of extra- with Mexico permitting requisitions through thedition to the countries concerned. Between authorities of frontier territories in certain cases,Canada and the United States, for example, extradition is regarded as exclusively a nationalextradition for some of the less serious crimes is function.The procedurefordeterminingof relatively much greater importance than it whether a request for extradition shall bewould be between Norway and New Zealand. granted varies. In many states evidence estab-Since the process is cumbersome and expensive lishing the identity of the accused, the nature ofat best, the list is usually not expanded beyond the offense charged and the accusation at theactual needs. It is generally confined to those place where the offense is alleged to have been crimes which are similarly defined in the laws of committed is sufficient. In Great Britain and thethe two countries. Between countries having United States, on the other hand, extradition is quite different systems of penal law the scope of regarded as essentially similar to committal forextradition is necessarily limited. The treaties trial, and it is necessary to produce evidencegenerally require that the act for which sur- which would justify bringing the fugitive to trial render is demanded shall be punishable by the at the place of asylum if he were charged with a laws of both countries and exclude prosecution similar crime committed in that country. Whilefor offenses other than those for which extradi- "competent evidence to establish reasonabletion is granted. In some of the more recent grounds is not necessarily evidence competenttreaties there is included in lieu of the usual list Extradition 43 it refrains to surrenderextradition in the absence of treaty of extraditable crimes an agreement either in the absence punishable withfrom requesting extradition fugitives charged with any act by a treaty in minimum penalty. It has been sug-of treaty or in cases not covered a certain force. It has occasionally in exceptionalcircum- gested that such stipulations mayprovide the stances sought thesurrender of a fugitive as an prototype for a generalinternational convention. explaining that it is not in a treaties act of courtesy, while Practicallyall modern extradition position to reciprocate, and has on numerousoc- exclude the surrender of politicaloffenders and punishment of ancasions accepted the surrenderof fugitive crim- forbid the prosecution or willing to offense. There isinals which the state of asylum was extradited person for a political prosecuted and punished accepted definition of a politicalreturn. It has also no generally fugitives recovered in an irregular way onthe offense. Obviously it includes morethan treason, position to offenses are notprinciple that the fugitive is in no sedition and the like, since these kidnaping of a included in the treaty lists ofextraditable crimes.object to such irregularities. The clear that a merefugitive may give rise to aninternational recla- On the other hand, it seems mation by the state of asylumand to a private political purpose or motiveshould not make a crime. A po- reclamation against the kidnapers;but the state political offense out of a common neverthe- perhapsrecovering the fugitive may proceed litical offense in the treaty sense can In 1911 in the otherwise extradit-less to prosecute and punish. best be described as a crime, decided by a tribunal because incidental tocase of Savarkar it was able, which is excluded of the Permanent Court ofArbitration that and in furtherance of apolitical disturbance in of the state practise the decision isirregular rendition by authorities the demanding state. In of asylum under mistake of fact wasnot ground left to the state of asylum. when at the endfor requiring the fugitive's return. A unique case was presented Within a federal state or aconfederation of of the World War the German emperorabdi- The Treaty ofstates provision is alwaysmade for the rendition cated and took refuge in Holland. the Versailles (art. 227) charged the emperorwith of fugitives from justice, but except among members of a loose confederation thisis not to "a supreme offence againstinternational moral- provided that hebe regarded as extradition in theinternational ity and the sanctity of treaties," the federal constitu- should be tried before a specialtribunal of fivesense. In the United States each of thetion contains the following provision:"A person judges, one to be appointed by felony, or principal allied and associated powers,andcharged in any state with treason, toother crime, who shall flee fromjustice, and be directed the allied and associated powers demand of the Holland. The tribunalfound in another State, shall, on request his surrender by executive authority of the Statefrom which he was to be guided inits decision by "the highest with a view tofled, be delivered up, to be removed tothe State motives of international policy, having jurisdiction of the crime" (art. 4,sect. 2, vindicating the solemn obligationsof interna- of inter-clause z). Legislation enacted in 1793for giving tional undertakings and the validity incorporated in national morality." Since there was nolaw, na-effect to this provision is now the case, sincethe United States RevisedStatutes ( §§ 5278- tional or international, covering extradition the alleged offense was of apolitical nature and79). As compared with international the Treaty ofinterstate rendition in the UnitedStates rests since Holland was not a party to definition of fugi- properlyupon a somewhat narrower Versailles, the Dutch government very in international refused the request for extradition. tive than is commonly found matter oftreaties; requires only that thefugitive shall be The extradition of fugitives as a committed in the comity, in the absence of treaty oroutside theproperly charged with a crime demanding state; requires only thatthe offense provisions of an existing treaty, ispractised in charged shall be a crime by the lawsof the de- many countries.Usually it is conditioned on the Unitedmanding state; includes "everyoffence against reciprocity. In Great Britain and without excep- prevails that therethe laws of the demanding state, States, however, the opinion "; permits pros-. is no authority to extradite apartfrom treaty ortion as to the nature of the crime ecution of the fugitive for otheroffenses than statute. In one case, thatof Arguelles, surren- makes no ex- States grantedthose for which he was extradited; dered to Cuba in 1864, the United of the state of the executiveception of fugitives who are citizens such a request; but the authority exception of political to extradite in suchcircumstances is at leastof asylum; and makes no doubtful. Since the United Statesdoes not grantoffenses. 44 Encyclopaedia of the Social Sciences Existing diversities in international rule andin Egypt from 186z to 1866 and in 1868 again in practise under the hundreds of bilateral extradi- Fowler's employ introduced the plow into the tion treaties now in force have encouraged juristssouthern United States. After further travels in to advocate a single multilateral treaty, but theall parts of the world Eyth returned to Germany movement has made little progress. The diver-in 1882 and began his important work for Ger- gencies of practise with respect to the surrenderman agriculture. He admired the work of the of nationals are deeply rooted. Differences inEnglish Royal Agricultural Society and aftera procedure are not easily reconciled. It would behard struggle to convince the farmers of the difficult to secure agreement on a list of extra-necessity of such an institution established in ditable crimes. Since a general convention at the 1883the Deutsche Lan dwirtschafts- Gesell- present time would probably be incomplete orschaft, which in 1886 held the first great Ger- would incorporate a number of optional clauses,man agricultural exhibition. Since then, except it has been doubted whether it would achieve the during the World War, such exhibitions have end desired. The League of Nations Committee taken place almost annually, traveling through- of Experts for the Progressive Codification of In-out Germany, and have been a strong influence ternational Law has recently pronounced againstin the development of scientific agriculture. the feasibility of such a convention. Special sections of the society are concerned with EDWIN D. DICKINSON tilling, raising seed, fertilizers, breeding of ani- See: CRIMINAL LAW; SOVEREIGNTY; JURISDICTION; mals and farm management. It has nowover STATES'RIGHTS; POLITICAL OFFENDERS; ASYLUM; 40,000 members, including many in foreign COMITY; INTERNATIONAL LAW. countries. The last ten years of Eyth's life were Consult: Bernard, Paul, Traité théorique et pratique dedevoted to writing several volumes, which in- l'extradition, 2 vols. (2nd ed. Paris 189o); Lammasch,clude his memoirs and a number of essays Heinrich, Auslieferungspflicht und Asylrecht (Leipsic on 1887); Fauchille, Paul, Traité de droit international the development of the machine system in agri- public, 2 vols. (8th ed. Paris 1921 -26) vol. i, pt. i, p. culture. 987 -1044 for bibliography; Travers, Maurice, Le WILHELM SEEDORF droit pénal international, 5 vols. (Paris 1920-22)1701. iv, p. 288 -733, vol. v, p. I -463; Martitz, F. von, Inter- Consult: Heege, Rudolf, Max von Eyth, ein Dichter nationale Rechtshilfe in Strafsachen, 2 vols. (Leipsic and Philosoph in Wort and Tat (Berlin 1928). 1887 -97); Moore, John Bassett, A Treatise on Extra- dition and Interstate Rendition, 2 vols. (Boston 1891); EZPELETA, PEDRO AINGO DE, Spanish Clarke, Edward, A Treatise upon the Law of Extra-theologian and economist. Aingo de Ezpeleta dition (4th ed. London 1903); Piggott, Francis T.,was born near the end of the sixteenth century. Extradition (London 191o); Puente, J. I., "Principles of International Extradition in Latin America" inHe became professor of philosophy and theology Michigan Law Review, vol. xxviii (s93o) 665 -722;at the University of Valladolid. In his chief work, Scott, J. A., The Law of Interstate Rendition (Chi-Resoluciones prdcticas, morales y doctrinales de cago 1917); Africa, Bernabe, Political Offences in Ex- dudas ocasionadas de la baja de moneda de vellón tradition (Manila 1926); Scott, James Brown, "The Trial of the Kaiser" in What Really Happened at Paris, en los reins de Castilla y de León, antes y despues ed. by E. M. House and C. Seymour (New York 1921) de la ley y premática de ella publicada en 15 de p. 231 -58; Mettgenberg, Wolfgang, "The Extradi-Setiembre 1642... (Madrid 1643, enlarged ed. tion of the Assassins of the Spanish Premier Dato by 1654), following Aristotle he ascribed the origin the German Reich" in American Journal of Interna- of money to the inconvenience of barter. He tional Law, vol. xvi (1922) 542 -60; League of Na- tions, Committee of Experts for the Progressive championed the quantity theory of money, Codification of International Law, Report on Extradi- which he held to be generally accepted, but oc- tion, V. Legal 1926, vol. viii, Council Document C5s casionally expressed views inconsistent with it. (Geneva 1926). Unlike most of his contemporaries he saw in ex- pediency sufficient cause for monetary alteration EYTH, MAX (1836 -1906), German agriculturalby the prince. Colmeiro places him among the organizer. After studying in the technical collegearbitristas, the group of writers who for some at Stuttgart, Eyth was trained as a locksmith,two centuries offered supposedly infallible and worked in a foundry and traveled abroad. Inpainless remedies for the ills of Spanish public 1861 he went to Leeds, where he entered thefinance; yet few books on economics have hada employ of John Fowler, the inventor of themore constructive aim or met a more immediate steam plow. He made several valuable inven- practical need than the Resoluciones. As the title tions and soon became Fowler's technical andindicates, its purpose was to formulate rules for scientific adviser. He worked with steam plowsthe settlement, juridically or privately, of dis- Extradition - Faber Family 45 that coinage was putes occasioned by thecontinuous debasementlater pamphlets he showed These rules showan industryundifferentiated from other indus- of the coinage by Philip iv. of coins that Aingo de Ezpeleta underthe influence oftries, that the melting and exportation largely ableshould arouse no solicitude, that governments Aristotle and Thomas Aquinas was maintaining an ecclesiastical preconcep-should be concerned only with to free himself from that in view tions, although he was a priestin the darkestadequate supply of fine metal and of the absurdity of a legal ratiobetween gold days of Spanish Catholicism. be the EARL J. HAMILTON and silver a monometallic system must solution. Entirely emancipatedfrom mercan- only a FABBRONI, GIOVANNI (1752-1822), Italian tilism and retaining from physiocracy comprehen-belief in the primary importanceof agriculture, scientist and economist. A man of Tuscan re- ingenious tech- he was distinguished among the sive scientific knowledge and an than merely nologist, Fabbroni early won the esteemofformers by his theoretical rather later of Napo- practical endorsement of economicliberalism Grand Duke Peter Leopold and laissez faire by his leon, who appointed him to manypublic officesand among the advocates of including a post in the Council of Statein 18ío. lack of undue optimism. MARIO MARSILI LIBELLI He belongs to the group of Tuscaneconomists during Works: Fabbroni's economic works werecollected whose influence on their government vols. (Florence the eighteenth century and subsequentlyplaced in Raccolta degli economisti toscani, q. 1847 -49) vols. iii -iv. it in the vanguard of liberalism.The complete granted to Consult: Cuvier, V., in Recueil des élogeshistoriques, freedom which Peter Leopold had 3 vols. (Paris 1819 -27) vol.iii, p. 405 -34; Morena, the grain trade in 1775 would havebeen ex-A., "Le riforme e le dottrineeconomiche in Tos- tended by Fabbroni toall commerce. This cana" in Rassegna nazionale, vols. xxvii-xxxiii (1886- policy he defended in Della prosperitànazionale, 87), especially vol. xxxii, p. 78 -119 and565 -99. dell' equilibrio del commercio e istituzionedelle publish- dogane, published in two sections in1789. ButFABER FAMILY, German newspaper Peter Leopold's departure fromTuscany theers. From the year 1730,when Gabriel G. Faber (1697- 1771), the proprietor of aMagdeburg following year not only rendered further prog- of the ress impossible but gaverise during the ninetiesprinting house, became the publisher manifestedMagdeburgische Zeitung, the second oldestGer- to a series of reactionary movements Fabers exercised a forma- in temporary experiments with pricefixing andman newspaper, the customs duties on all commodities.To voicetive influence upon the German press,especially his protest Fabbroni wrote Gli ozi dellavilleg-the provincial political homejournal. Under Gustav giatura (1800), in which a group of interlocutorsFriedrich A. H. Faber (1778 -1847) and Zei- representative of various Tuscan estatesdis- Carl Faber (1811 -96) the Magdeburgische covered after protracted discussion thatfree tung was moderately liberalalthough it opened and other trade was the sole remedy for famineand theits columns to Bismarck, Entenburg acclaim only source of public tranquillity andwelfare.conservatives. The Fabers won wide Leo - by adding special supplements tothe editorial This not uncommon device among the by their poldine reformers for educating publicopinionpart of the paper as early as 1740, official gazettes' was followed, after thefoundation of the king-constant struggle to break the advertisements dom of Etruria, by Fabbroni's mostsystematicmonopoly of the right to publish (Florence and by their opposition to thePrussian censors' treatise, Dei provvedimenti annonarj the mails. They led 1804, 2nd ed. 1817). In this acuteanalysis ofpower to bar sales through the grain policies of his time he setforth thethe way in simplifying the sellingof newspapers in theand in printing stock quotationsand weather doctrine that national welfare consists first news- harmonious activity of agriculture, commercecharts and in 1878 introduced the Germany. On the estab- and industry and showed that theprosperitypaper rotary press in competition,lishment of the Verein DeutscherZeitungsver- of industry depended upon free (1869 -1924) which alone could preserve a balancebetweenleger in 1894F. G. Robert Faber haltbecame its first president. Heemphasized the prices and wages. The work did much to contrasted the restrictive policy contemplated bythe queenimportance of political journals as with general newspapers and becamethe chair- of Etruria. Fabbroni was an enlightened mon- representation in the etary theorist. In a reportaddressed to theman of the publishers' Accademia de'Georgofili in 1785 and invarious Reichsarbeitsgemeinschaft of the press, which 46 Encyclopaedia of the Social Sciences is a joint organization of newspaper publishersprogressive taxation of capitalist incomes as and editors. means for the more equitable distribution of HANS TRAUB wealth; and he envisaged the next steps toward Consult: Faber, Alexander, Die Fabersche Buchdruck- socialism in terms of such social reforms as pub- erei (Magdeburg 1897); Salomon, L., Geschichte deslic ownership and administration of industries deutschen Zeitungswesens, 3 vols. (Oldenburg 1900-06). and services. There was no room in Webb's ideas either for a theory of increasing misery or FABIANISM is the doctrine of the Fabian So-for revolution; he saw no reason why, ifmen ciety, a small but influential group of Britishwould but behave sensibly, the world -or at socialists. This society grew out of the Fellow-least Great Britain, for the Fabians at this state ship of the New Life, founded in 1883 under thehad thought little about other countries -should influence of Professor Thomas Davidson, which not move gently into socialism by a series of steps looked to ethical reform and utopian communityno one of which need involve any sharp or dra- making, rather than to political action, for thematic break with the past. Webb supported his regeneration of society. A group which includedview with illustrations drawn from the history of Frank Podmore and Edward R. Pease brokethe nineteenth century, showing that side by away from the Fellowship to found the Fabianside with the growth of laissez faire there had V Society in 1883. George Bernard Shaw joined inbeen a parallel growth of state intervention in 1884, Sidney Webb in 1885. With the advent ofthe interests of the worker or at least for the im- these two Fabianism began to assume its dis-provement of the quality and conditions of life. tinctive character and the society became defi- George Bernard Shaw decisively repudiated nitely socialist in 1887 with the adoption of itsMarxism in the economic field, and the corner "basis," or statement of policy. The society firststone of Fabian economic theory became the Ri- became famous with the publication of the Fa-cardian law of rent. Ricardo had demonstrated bian Essays in 1889 by Shaw, Webb, Annie Be-that the wealth of landlords arose from their sant, Graham Wallas and others. This volumemonopoly of the soil and from the differences in was followed up by a series of over two hundred the productive value of different pieces of land, Fabian Tracts designed for popular consump-which enabled the landlord to skim off as rent tion and the application of Fabian doctrines in athe difference between the yield of his piece of practical way to particular questions of immedi-land and that of the least productive piece in ate policy. The Fabian Society at first set outcultivation or use. The Fabians, following up largely to present an alternative to the then domi- hints in earlier writers, developed this theory of nant Marxist Social Democratic Federation. Fa-rent to apply not to land only but also to capital bian socialism was and has remained essentiallyand to personal ability. They considered large evolutionary and gradualist (hence its name,incomes to be chiefly rents arising from the pos- from the tactics of Fabius Cunctator), expectingsession of differential monopolies and main- socialism to come as the sequel to the full realiza-tained that these rents belonged properly not to tion of universal suffrage and representativethe monopolists but to the community as a government. whole. The economic problem was thus pre- The essence of Fabian doctrine lay in Sidneysented as a question of the socialization of mo- Webb's theory of the continuity of developmentnopoly incomes through social ownership of the from capitalism to socialism. Whereas Marxismmonopolies. looked to the creation of socialism by revolution This view fitted in admirably with Webb's based on the increasing misery of the workingdoctrine of continuity and gradualism. It made class and the breakdown of capitalism throughthe theory of industrial socialization a natural its inability to solve the problem of distribution,and logical development of the already familiar Webb argued that the economic position of thethesis that the land ought to belong to the people workers had improved in the nineteenth cen-or at least that the rents arising from its differ- tury, was still improving and might be expected ential qualities ought to be socially appropriated. to continue to improve. He regaltled the social This doctrine, which as a demand for the "single reforms of the nineteenth century (e.g. factorytax" had received tremendous impetus from acts, mines acts, housing acts, education acts) asHenry George's work, had been preached from the beginnings of socialism within the frame-the eighteenth century. It had been broadly en- work of capitalist society. He saw legislationdorsed by the great authority of John Stuart Mill about wages, hours and conditions of labor, andand had been the subject of constant agitation Faber Family - Fabianism 47 by land and labor leagues, land reform associa- ism is desirable and offering their arguments to tions and similar bodies for decades before theall men without regard to the classes to which revival of British socialism in the 188o's. Shawthey belong. They seem to believe that if only and the Fabians were thus in effect appealing tothey can demonstrate that socialism will make the radicals, who were already land reformers, tofor greater efficiency and a greater sum of human recognize socialism as the logical outcome ofhappiness the demonstration is bound to prevail. their ideas. Hence the stress which the Fabians With this rationalism there went in early Fabi- always laid on their contention that there was noanism a singular blindness to the importance or fundamental difference between land and capi- relevance of working class organization. The tal or in the incomes derived from them. Bothearly Fabians, as they themselves recognized were mainly the resultsof differential monopoly. later on, often seemed never to have heard of The Fabians were no less emphatic in repudi-trade unions or cooperative societies, or at all ating the Marxian theory of value, as they under- events to take no interest in them. But their stood it, and in preferring to base their economic awakening came with the big movement of labor theory on Jevons and the orthodox English eco-unrest that culminated in the famous strike of nomic tradition. They saw the source and meas-the London dockers in 1889. Trade revival now ure of value not, with Marx,in labor but, withbrought a host of new workers into the trade Jevons and his follower Alfred Marshall, in util-union movement and caused a big movement of ity. This fitted in with their general tone oforganization among the less skilled workers. mind, for the Fabians were above all utilitarians, New leaders came to the front armed with so- seeking to adapt the doctrines of Jeremy Ben-cialist ideas and demands for protective indus- tham and his successors to the changed eco-trial legislation. Battle was joined between the nomic conditions of the later nineteenth century. liberal leaders of the older trade unionism and Bentham had used his principle of "the greatest the socialist leaders of the new. Fabians were in- happiness of the greatest number" chiefly tofluenced like the rest of the public to reckon justify the abolition of bad forms of state inter-with the unions, the more so because a few of vention. The Fabians now applied it to justifythem, headed by Annie Besant, had taken an good forms, looking back on the early Bentham -active part in the struggle. ite work of destruction as admirable, but desir- Moreover, the Fabian Society now obtained a ing to complement it by construction. Johnmost important new recruit in Beatrice Potter, Stuart Mill they recognized as standing at thelater Mrs. Sidney Webb, who had worked with point of transition between the two interpreta-Charles Booth on his great survey of Life and tions of utilitarianism. Although he sympathizedLabour of the People in London (17 vols., London with the socialism of his day, he was too deeply1903). Under the influence of her more realistic rooted in old traditions for a complete conver-attitude toward the social problem Webb col- sion. The Fabians regarded themselves as com-laborated with her in a detailed study of the pleting the work which he had begun and thus actual organization of the working class; and the found further cause to emphasize their conti-fruits were seen in her book on The Cooperative nuity with older liberal thought. Movement (London 1899) and in their joint Fabian socialism differed from the currentworks on The History of Trade Unionism (Lon- Marxian socialism not only in doctrine but still don 1894, rev. ed. 1920) and Industrial Democ- more in spirit and in its conceptionof the influ- racy (2 vols., London 1897; rev. ed.,vol., 1920), ences making for socialism.At bottom whatwhich fully recognized the vital part which matters in Marx is not his theory of valuebut hisworking class organization was bound to play in emphasis on the class struggle as the sole effec- the making of socialism. Although these writings tive instrument of progress. Marx believes thatmade a profound impression, it is doubtful if socialism will come not only because itis athe Fabian Society as a whole fully absorbed better system than capitalism but because theretheir lessons. It began, indeed, to woo the work- is behind it a rising class led by economic condi-ing class movement on behalf of socialism, but tions to achieve it. Fabian literature, on the otherits endeavors, like those of the Independent hand, seems often to be unconscious of the rele-Labour party, were directed rather toward draw- vance of class distinctionsand shows no belief ating the trade unions into socialist politics than all in a class struggle as the instrument of change. toward working out an industrial socialist policy. The Fabians are essentially rationalists, seekingFabianism remained predominantly rationalist to convince men by logical argumentthat social-and collectivist, merely adding an appeal to trade 48 Encyclopaedia of the Social Sciences unions to its appeal to the general public. In noCouncil. Fabianism was inclined to regard the sense or degree did it adopt at any stage a class Labour party rather as the working class wing of point of view. the political socialist movement than as coexten- The reform of English local government insive with that movement, an attitude not wholly 1888 and 1894 called the attention of Fabianextinct today. leaders to the possibilities of the local authorities In international politics the Fabians have al- as agents both of social reform and of construc-ways been on the Right wing of the socialist tive socialization. They began to work for themovement. At the time of the South African return of socialists as members of local authori-War they alienated much support by refusing to ties and for the development of municipal trad-join the opposition and contending that it was in ing as the complement to nationalization, thusthe interest of civilization that the South African winning great prestige and influence in the mu-republics should be annexed to the British Em- nicipal field and making their policy widelypire. Bernard Shaw was the chief exponent of known among local working class leaders. Againthis view, as he has been on principle opposed to the Webbs were the leaders; and their history ofnationalist movements and in favor of the unifi- English Local Government (9 vols., London 1906- cation of the world into larger economic and 29) marked their sense of the importance of apolitical units. Similarly in 1914 the majority of realistic and scientific approach to every practi-the Fabians, unlike the Independent Labour cal problem. party, followed the Labour party in its support When the Fabian Society began its work, theof British participation in the war. Repudiating only important socialist body was the Marxianthe class war, the Fabians have usually recog- Social Democratic Federation, led by Henrynized their loyalty to their own state as coming Mayers Hyndman, which held aloof from thebefore any loyalty to the international working new trade union movement. In 1893 the Inde-class movement. This, however, did not prevent pendent Labour party was created as a predom-them from working out detailed plans for the inantly working class socialist body to build upprevention of war and the evolution of inter- an independent party on a class basis and to de-national economic and political cooperation. L. tach the older trade unions from Liberalism.S. Woolf's International Government (West- The new body had at the outset no very clearminster 1916), proposed in the Fabian Research policy, and the Fabians set out to provide it withDepartment, was one of the most important one. Their doctrines fitted in well with the im-documents leading up to the creation of the mediate demands of the new movement, andLeague of Nations. their ably written Tracts enabled them to exert In every field the characteristic Fabian policy great influence. has been that of permeation. In accordance with From the first the Independent Labour partytheir doctrine of continuity the Fabians set out regarded itself as only the forerunner of an in-to develop existing institutions by permeating clusive working class party in which trade unionswith this or that element of their doctrine those as such should directly participate. The Fabianswho had power to influence policy, e.g. the civil helped in the effort to create such a party, whichservice, the political parties, the professions, the came to fruition in the Labour Representationadministration of business, and local govern- Committee in 1900. They were from the outsetment. It was part of their creed that no sharp a constituent body of the Labour Representationline could be drawn between socialists and non - Committee and the Labour party. Thus whilesocialists and that many who would not call Fabianism was not a working class movement itthemselves socialists could be persuaded to help helped to bring an independent working classwith particular reforms making for socialism. party into being and gave that party its collectiveThis policy was most successful in the campaign support. But, characteristically, the society con-which followed the Reports of the Royal Com- tinued to include members who sat in Parlia-mission on the Poor Laws of 1909. Mrs. Webb ment or on other public bodies as Liberals, andembodied in the minority report a host of semi - saw no inconsistency in encouraging its mem- socialistic schemes, and a great national cam- bers to work inside the older parties even after itpaign of propaganda was organized by the Na- had helped to bring the new one into being. Intional Committee for the Prevention of Destitu- London the Fabians, headed by Webb, largelytion, a special Fabian body. supplied the brains of the Progressive party During the first decade of the twentieth cen- which for a period controlled the London Countytury the Fabian Society grew rapidly. Between Fabianism-Faction 49 1906 and 1915 it went through four serious GOVERNMENT OWNERSHIP; SOCIALIZATION; REFORM- crises. A group of members headed by S. G. ISM. Hobson, later prominent as a guild socialist, Consult: Pease, E. R., History of the Fabian Society (2nd ed. London 1925); Fabian Essays (new ed. by G. tried to lead the Fabians into a socialist partyB. Shaw, London 1931); Shaw, G. B., The Fabian which would be more militant than the Labour Society, Its Early History, Fabian Tract no. 41 (Lon- party, which was at that time inclined to work asdon 1892); Arnot, R. Page, History of the Labour Re- the Liberals' subordinate ally. Later a consider- search Department (London 1926); Beer, Max, History of British Socialism, 2 vols. (London 1919 -20) vol. ii, able body of younger members desired to expelch. xiv; Laidler, H. W., History of Socialist Thought all members who were not supporters of the (New York 5920) ch. xviii; R. P. D. (R. Palme Dutt), Labour party and to commit the society to work- "Notes of the Month" in Labour Monthly, vol. x ing wholly in and through the Labour party. (1928) 387-411; Trotsky, L. D., Whither England? Both these movements were heavily defeated by (New York 1925) ch. iv. the "Old Gang," led by Shaw and the Webbs. A similar fate befell H. G. Wells' program of en- FACTION. The term faction is commonly used larging the society's membership and setting upto designate any constituent group of alarger a network of branches throughoutthe country.unit which works for the advancement of par- The failure in 1914 -15 of a group which in-ticular persons or policies. The faction arises in cluded G. D. H. Cole to induce the society to the struggle for power and represents a division abandon active politics was followed by the se-on details of application and not onprinciples. cession of the Fabian Research Department and The position of the faction is that of the qualified its reorganization as a Labour Research Depart-dissenter who embraces collective goals subject ment based mainly on trade union support.Thisto reservations upon the tactics appropriatefor department, both before and after the secession,their realization. Thus a faction presupposes was the leading research organizationof thesome measure of unity infundamentals. The Labour movement. Out of it arose indirectly theterm itself drops out of usage when certainlines research departments subsequently set up by the of cleavage have become rather permanent Labour party and the Trades Union Congress. features of the political life of a group; these In 1931 the New Fabian Research Departmentdivisions are accepted as parties. was constituted. The struggle for power within a group ex- From 1915 onward the history of the Fabian hibits itself in the struggle for office or for un- Society was for the most part tranquil. The oldofficial influence. Unless the controlling per- leaders continued at the head, and the old activ-sonnel is selected by lot or by some fixed prin- ities were pursued. Relations with the Labourciple of succession, rival ambitions furnish the party became much closer after 1918, whenthefoci about which factional alignments arise. Not party adopted its new constitution andacceptedall individuals participate in asserting their own an essentially Fabian policydrafted by Webbclaims to political power. Political power has no under the title Labour and the New Social Ordersignificance for some. Others consider their (London 1918). Indeed, the Fabian policy andchances for success to be entirely unfavorable. attitude were adopted almost in their entirety bySome of those who do not press their own claims Labour after the war; and the recent comparativespontaneouslyidentify themselves with the inactivity of the society is largely due to the factaspirationsof theirfriends. This primitive that the Labour party is a larger reincarnation ofalignment rests on no deep calculation of per- Fabianism. The society thus no longer standssonal interests. Emotional relations of varying for a distinct or clearly defined policy of itsdegrees of intimacy are already established, and own and its members nolonger use it as thethe crisis of personnel selection provides but a chief agent for the expression of their policy. Itspecial occasion for their expression. Differences now functions as a home forintellectual discus-among those who make activebids for power sion of socialism, a research and propagandaoften grow out of elementary antagonisms, al- publication agency and a body through whichthough such factors are occasionally nullified by membership in the Labour party can be securedan individual who maintains anunquestioned by socialists, chiefly of the middle classes, whoascendancy over his fellows. Divisions fre- do not wish to connect themselves actively withquently occur for other than personal reasons, the Independent Labour party. perhaps over divergent interpretations of the G. D. H. COLEcommon goal or the efficacious strategy. The possibility of factionalism is increased sf See: SOCIALISM; LIBERALISM; LABOR PARTIES, BRITISH; 5o Encyclopaedia of the Social Sciences when large changes occur in the life situationsaside, anti- authoritarian drives are released and of members of the group. Even when changesfactions champion more drastic measures, as are welcomed they may produce strains withinthey did during the French and the Russian the personalities of those affected. A sudden in-revolutions. The old authority reenforced the crease of wealth creates difficulties no less thanindividual's conscience, which forbade him to sudden poverty. New calculations of interestsviolate the conventional and moral standards of arise, new objects may be . chosen for senti- the society. When the outer evidences of author- mentalization, and factional movements are one ity perish, the conscience is no longer supported result. from without, and the asocial impulses within Divisions within the group are profoundlythe personality may assert themselves with de- affected by the external relations of the group.cisive strength and lead to wrecking expeditions When it has an assured supremacy, divergent against the whole social order. interests and sentiments are no longer held in Viewed in the perspective of history factions check by the external threat to the whole valuewere the predecessors of the modern parties. scale. The southern Democrats and the Phila-When authority was in a few hands and active delphia Republicans are sorely rent by intra-politics was the private affair of a limited circle, party difficulties, since they face no effective factional cleavages occurred over the advisers of opposition. There is also a type of factionalismthe sovereign. As rivalry for power widened the which appears when the group has no chance ofproportion of the community which actively power in the immediate future. Such radicalparticipated in political life and electoral prac- minority movements as have sprung up in thetises developed, self- conscious groups under- United States have been notably fissured bytook to maintain their organization from one dissension. Intellectual radicals gain part of theirelectoral crisis to the next and to present candi- notoriety by distinguishing themselves fromdates in their own names for the available posts. others, and the field is open for the elaborationUnder such conditions the factions became of dialectical differences when decisive thrustsparties. Within each party new factions ap- for power are out of the question. The intensivepeared occasionally breaking away and forming study of individual case histories has demon-new parties. In some states a two or three -party strated that when aggressiveness toward the out-system became the rule. Whenever a change of side world is thwarted it is turned back againstthe effective executive, as distinguished from the the self or against external objects more closelyceremonial or formal executive, involves a direct associated with the self. When the opportunitiespopular vote or a new parliamentary election, a open to the group with which the individualpremium is placed upon the maintenance of the has identified himself are limited, the persontwo or three -party system, which involves the may direct some of his aggressiveness againstsubordination of factionalism to party unity. other members of the group. This is one of theIn the United States it requires a tremendous deeper psychological bases for dissension amongelectoral organization to win a presidential elec- the unsuccessful. Whenever effective oppositiontion, and the hope of a majority or a substantial appears or an opportunity arises for immediateplurality keeps the factions from secession. The success, factional strife subsides spontaneously,importance of the machine lies in the fact that compromises are made and active measures for active popular interest is essentially episodic and the suppression of persistent dissenters are putthat the winning of an election depends on into effect. stimulatingapatheticvoterstoparticipate, In periods of acute crisis, when revolutionary except in those rare moments when a sense of changes are in progress, the integration and dis-crisis prevails. During the intercrises the pres- integration of political factions may occur withtige and the machinery of the old parties are baffling rapidity. The first break with the es-enough to deter factions from carrying their tablished order may be ushered in under thedivergences to the point of separation. Even united blows of all its antagonists. The collapse under the multiple -party system, where effective of the old fabric may bring into prominenceexecutive authority can usually be changed with- those factions which remain loyal to a circum-out running the risk of a parliamentary dissolu- scribed program, and even the more aggressivetion or of a direct popular vote, minute parties elements may temporarily concur in the presencelabor under many handicaps and show a high of a strong counter -revolutionary danger. Butmortality rate. once the moorings of old loyalties are swept A superior international organization like the Faction-Factory System 51 Communist International or the Catholic church factory system, but it is not true of the factory. can discourage factionalism byconferring aLittle is known of the organization of textile pro- sense of importance upon nationalunits and byduction in ancient Egypt, Assyria and Phoenicia, utilizing various weapons of inducement andbut it is clear that in those early civilizations coercion. Wherever the state creates a monopolytextile production was not merely a domestic of legality for one party, which is the presentindustry. The term factory is applied to three position of the communists in the U.S.S.R. anddifferent kinds of establishment which existed of the Fascists in Italy, an unusual deterrentbefore the eighteenth century. Princes and rich exists from carrying factional struggles to themen at different times and in differentplaces point of withdrawal, although internal tensionset up great establishments in order to provide may be acute. for their own needs and those of their courts The term faction has been employed as anand households. Well known examples are the opprobrious epithet in the political field sincefactories in Constantinople which supplied Jus- Roman days: the word arose from the nametinian's palaces with silk and the factories of given to the divisions into which Roman chari-Louis xtv which supplied Versailles, St. Ger- oteers were separated. A ruling group findsitmain and Manly with tapestry and other decora- convenient to stigmatize its rivals within thetions. Side by side with such establishments and organization, and the epithets which are mostsometimes developing from them there existed effective convey the innuendo of wilful self - factories producing not for a domestic estate or seeking. Those who are in power have the bene- household, but for sale. There were such fac- fit of the assumption that they represent thetories in the Roman Empire producing glass, collective interests in substance as well as inpottery, articles of bronze and other commodi- form. A faction seems to subordinate the publicties for export. In the Middle Ages Antioch and good to private gain, and thus the term takes its Tyre had great silk factories, and when silk place in the dialectic of the political struggle, production was acclimatized in Europe factories especially as a means of defense and counter- were set up at Genoa and other places.In Eng- attack by those in power. The epithet is quickly land factories were not quite unknown in the taken up by those who concur in the established days of Henry vit; a rich cloth merchant, John policies or who are loyal to the ruling personnel, Winchcomb of Newbury, who collected work- and hurled against the dissenters. The intensivemen carding, spinning and weaving woolin a study of individuals has repeatedly demon- large establishment, made so strong an impres- strated the ambivalent attitudes which charac-sion on the imagination of his time that his terize so many human relationships. Those whoexploits were described in a popular poem. acquiesce in any authoritarian regime repressFrance had factories created and fostered by more or less successfully their ownhostilityColbert, but they were dependent on the sup- against that regime. If authority is challengedport of the state and declined under Louis xv. from without it tends to reactivate a struggleIn the third place the term factory was applied within the personalities of the loyal, who seek toto establishments of a kind differing from both protect themselves from this struggle by attack-of those already mentioned: to the houses and ing the dissenter. Casting opprobrium on thesettlements built by European companies in the challenger is a protective reaction which ex-seventeenth century for the protection and con- ternalizes the individual conflict and hastens thevenience of traders with Persia, Japan, India and removal of the disturber from the environment.the islands. The commercial rivalry between the HAROLD D. LASSWELL European peoples took the form of a struggle over these factories. In the Spice Islandsthe See: POWER, POLITICAL; PARTIES, POLITICAL; IN- TRANSIGENCE;COMPROMISE; REVOLUTION; GROUP; Dutch got the better of the British; in India the SECTS; DUAL UNIONISM. British gained the advantage, and their few fac- tories on the coast of Hindustan marked the FACTORY LAWS. See LABOR LEGISLATION. beginning of their eastern empire. Thus there were factories before the factory FACTORY SYSTEM. Most persons wouldsystem. What is more, there were factories using describe the factory system as a modern form ofwater power to economize and supplement hu- production which developed in western Europeman labor. In the fourteenth century there were in the eighteenth century and has since spreadspinning mills in Bologna and paper mills in over the world. This description is true of theNuremberg driven by water power. If capital 52 Encyclopaedia of the SocialSciences had been more plentiful and markets larger andsignificant history of factory developmentbe- easier of access, a factory system in the modern gins with the inventions that revolutionized sense might have grown up at that time. But the cotton industry half a century later. When Ark- these conditions were not fulfilled until afterwright patented a water frame in 1769, the discovery of the Atlantic routes. That the dis- decisive step in making the spinning ofcotton covery brought fresh markets within the reacha factory process was taken. In 1785 Watt's of Europe; it led to a great increase of wealth; steam engine was used for the first time ina it stimulated invention and organization. Hence cotton mill, and as steam power graduallyre- it created the conditions under which the factory placed water power all the spinningprocesses ceased to be a rare and interesting example ofpassed into the mill. The change in weaving human ingenuity and became a normal featurewas slower. But although these first steps of social life. The factory in the modern were sense all taken in England, the first factory inwhich was the response of industry to the new demandsall the processes involved in the manufactureof made by commerce. It was the organization ofgoods were carried on bypower in one estab- effort on a plan which applied the principle oflishment was set up in the United States. This the division of labor in such a wayas to makewas the factory at Waltham, Massachusetts, the fullest use of the resources of science. built in 1814. The new opportunities of industry and the The story of the spread of the factorysystem general spirit of the time had given inventionathroughout Europe and the East belongsto the great stimulus, and it was natural that the earlyhistory of the industrial revolution (q.v.). With observers of the factory system should regardthe introduction of railways the factorysystem the use of machinery as its distinguishing feature.developed on the continent of Europe. Toward "The Factory System," says Ure in his Philoso- the end of the nineteenth century it spreadto phy of Manufactures (London 1835), "designatesthe East, and the World War gave a great stimu- the combined operations of many orders oflus to its expansion in Japan, China, India and work -people, adult and young, in tending withthe countries of South America. The construc- assiduous skill, a series of productive machines,tion on a large scale of factories grouped in continuously impelled by a central power." federations occupies an important place in the On the other hand, a definition was given byeconomic plans of the Soviet Union. Carroll D. Wright in his report on the factory The factory system spread not only from system of the United States in 1883, whichcountry to country, but from industry to indus- concentrates on the economical organization oftry. During most of the nineteenth century the effort without reference to machinery. "A fac-textiles, especially cotton, were the character- tory is an establishment where several workmenistic factory products. Gradually leather goods, are collected for the purpose of obtaining greater metal goods, machinery, furniture, food and and cheaper conveniences for labor than theymost of the other products of modern society could procure individually at their homes; forhave been drawn within the orbit of the factory producing results by their combined effortssystem. Moreover, methods of work and prin- which they could not accomplish separately, and ciples of organization and management devel- for preventing the loss occasioned by carryingoped in the factory are being widely adapted articles from place to place during the severalto the extractive industries and even to agri- processes necessary to complete their manufac-culture. ture." But the economies described by Wright Concurrently there have been changes in the were of course immensely aided by machinery.nature of the factory itself. Thus the improve- Although factories which were essentially as-ment of the early factories led first to a great sembling plants using little machinery were notincrease in their size. Between 1860 and 1890, uncommon at one stage, the history of factoryfor instance, the number of cotton factories in development is largely the history of progressivethe United States declined from 1091 to905, economies rendered possible by the develop-but the value of their products increased by 179 ment of machine production. percent and the number of spindles per mill by The earliest English factory in the modern227 percent. Such growth depended, however, sense is believed to have been a silk mill set upon local conditions. Thus in Germany, where in Derbyshire about 1718 by a merchant namedthe domestic worker held his ground much Lombe who had secured employment in a milllonger than in Great Britain,as late as 1882 in Italy and brought back its secrets. But theonly 38 percent of the factory workerswere in Factory System 53 factories employing more than 5o persons andhoused his workpeople, kept shops for their 42 percent of all textile workers were in estab-needs and provided apprentice houses for the lishments employing less than five persons. Inpauper children who worked in his mill. The general the trend has been toward increasingextreme example of this type of community in size of plants especially in industries using heavy the modern world is the mill village in the south- machinery, but smaller units have persisted inern states of America, where the mill owner many types of operation. Concentration hasowns the village, the dry goods store and the gone furthest in the United States, where incinema and pays not only the parson, the doctor 1923 one half of the wage earners in the countryand the school teacher, but the policeman. Many were employed by less than 4 percent of all theof the factories in China, Japan and India, espe- industrial establishments. cially those owned by foreign capital, have been What is perhaps the most characteristic fea-and are the center of similar mill villages. Such ture of modern factory production also had itsa system provides opportunities both for op- beginning and has had its greatest developmentpression and benevolence. One of the evils of in the United States. In 1851 visitors to thefactory life has been the frauds practised by great exhibition in London were struck by theemployers in paying their workpeople not in exhibits from the United States, and two yearsmoney but in goods from their shops in spite later a report on American factory methods wasof laws forbidding such practises. It has been drawn up for the British government by com-still more difficult to restrain the power which missioners who made a tour of the industrialthe employer wields as a result of owning the districts. The commissioners noted as a noveltyhouses where his workpeople live. On the other the production in large numbers of standardizedhand, this power was used sometimes for benev- articles on a basis of repetition in factories char-olent purposes even in the early days of the acterized by ample workshop room and admi-system. Robert Owen, the Ashtons, the Strutts rable system. Mass production of standardizedand other early Lancashire families were able articles, so conspicuous a feature of modernto raise the standard of social life in their neigh- industry, had already begun. The World Warborhood by providing schools, libraries, play- stimulated the development of new methods ofgrounds and other amenities. When the factory factory organization both in the United Statespassed into the town it ceased to be a self - and elsewhere. The introduction of automaticcontained society, but to some extent this tradi- machinery had already made possible the elimi-tion survived. Factory owners have often been nation of many processes and many workers.pioneers in the provision of services later sup- War demands encouraged the further develop-plied by the public authorities. The extension ment of the production of standardized articlesof welfare activities was greatly stimulated by or parts. This was accompanied by a wide-most governments during the World War, both spread development of the principles of scien-in establishments, such as those of the British tific management (q.v.), a new attention to themunition industry, which had been taken over importance of cost accounting systems and fur-by the government and in those still in private ther study of the technical efficiency of the hands. The use of the factory as a center of social factory set up. life has been developed most fully in Soviet In earlier days there was a movement toward Russia, where the government uses all its powers concentration of all processes under one roof,of organization and discipline to create a par- but in many industries today it is found to beticular type of community. more economical to separate processes and to Certain other social consequences of the fac- employ different factories for the production oftory system can be indicated only briefly. The different parts. Thus the factory tends more andfactory system may be said to have abolished more to be a unit in vast organizations,the unitthe problem of famine and to have substituted representing all that science and method canfor it the problem of unemployment. Under the accomplish toward making one particular proc-factory system as it exists in capitalist countries ess as efficient and economical as it canbe made.production is frequently ahead of consumption, The early British factories using water powerand man's facility in making boots or window were built beside streams in countryplaces. frames or motor cars has created a problem that These country factories, like the collieries andhuman ingenuity has not mastered or even ex- ironworks of the time, were the center of theplained. The factory has brought with it changes social life of the district. The capitalist oftenin the nature of work: some agreeable, others 54 Encyclopaedia of the Social Sciences the reverse. Critics of the factory system pointat the present day the whole industry may be to the loss of pleasure in work consequent uponcovered by organizations of employers and em- the change from handicraft to mechanical rou-ployed. In recent years there have grown out of tine. The individual worker puts less of himself,the relations of these originally hostile bodies his taste and his character into his task. Thismethods of consultation and even of self- govern- has given a special force and importance to the ment, which bring employers and employed demand for shorter hours. The shorter workingtogether in the conduct of industry. day has led in turn to greater attention to the Not the least important of the changes created amusements of life and the organization ofby the factory system is the change in the posi- leisure. A peasant people works long hours andtion of women, for whom it has provided em- finds its interest in its farm work, enjoyingployment on a large scale. Critics of the system saints' days and festivals as diversions. A fac-in its early days denounced the employment of tory population works short hours and finds itswomen as one of its chief evils, laying stress on interests in the occupations of its leisure. Thetheir ill treatment but arguing also that such factory then begins to provide for those occu-employment took them away from their homes pations; gramophones and wireless sets are pro-and their natural occupations. When the worst duced by mass production; and leisure, likeabuses of the early factories were suppressed by work, becomes standardized. law a different view began to prevail. Women The rise of the factory system and the disso-gained in independence, they earned higher lution of older forms of social regulation createdwages than in other occupations, and in time a number of problems calling for new typesofthey took their place by the side of men workers national and international regulation. Womenin the trade unions. and children were ruthlessly exploited in the In the western world there has been a partial early factories. But public opinion was moreadjustment to the dissolution of the older family easily drawn to abuses in factories than to abusesties involved in this change. In the East, where in domestic workshops and hence parliamentsthe family basis of social organization has been and governments were persuaded to intervene.more essential, the factory system remains a The first effective, although not the earliest,disruptive element and its possible future social factory act in any country was that passed byeffects can hardly be estimated. the British Parliament in 1833, which provided JOHN LAWRENCE HAMMOND for factory inspection. All industrial countries See: INDUSTRIAL REVOLUTION; INDUSTRIALISM; OR- have followed the example of Great Britain. GANIZATION, ECONOMIC; PUTTING OUT SYSTEM; HAND- Even a late comer like Japan has a factory act ICRAFT; HOMEWORK, INDUSTRIAL; CAPITALISM; MA- for all factories employing more than fifteen CHINES AND TOOLS; POWER; ELECTRIC POWER; LARGE persons or engaged in dangerous andunhealthy SCALE PRODUCTION; STANDARDIZATION; RATIONALIZA- TION; SCIENTIFIC MANAGEMENT; LABOR;INDUSTRIAL industry. A factory code has spread from coun- RELATIONS; COMPANY HOUSING; COMPANY TOWNS; try to country, much as the Code Napoléon WELFARE WORK, INDUSTRIAL; LABOR LEGISLATION spread a century ago. The establishment of the AND LAW; HOURS OF LABOR; SOCIALINSURANCE; International Labour Office under the League WOMEN IN INDUSTRY; CHILD LABOR; TRADE UNIONS; of Nations made it easier to watch, record and LABOR MOVEMENT. stimulate this progress. It is less difficult to Consult: Mantoux, P. J., La révolution industrielle au regulate conditions of employment inside fac- xvzrze siècle (Paris 1906), tr. by Marjorie Vernon (rev. tories than outside; the factory thus introduced ed. London 1928); Weber, Max, Gesammelte Aufsätze zur Sozial- and Wirtschaftsgeschichte(Tübingen 1924), new opportunities for improvement.Factory tr. by F. H. Knight (New York 1927) chs. xii,xxvii; legislation, which began a century ago for the Sombart, Werner, Der moderne Kapitalismus, 3 vols. protection of women and children, has devel-(6th ed. Munich 1927) vol. i, p. 785-836; Hammond, oped into a system of law for the protection ofJ. L. and B., The Town Labourer, 176o-1832 (London 1917); Ure, Andrew, The Philosophy of Manufactures all factory workers, and it has been followed in (3rd ed. London 1861); "Report on the Factory Sys- recent years in certain countries bylegislation tem of the United States" by Carroll D. Wright, in for the protection of workers in agriculture and United States, Census Office, Tenth Census 188o, vol. ii, p. 527 -61o; Taylor, R. W. C., The Modern Factory domestic industry. System (London 1891); Held, Adolf, Zwei Bücher All observers have pointed out that the fac- zur sozialen Geschichte Englands (Leipsic1881) p. tory system made combination amongworkmen536-686; Unwin, George, "The Transition tothe much easier and thus led to a great developmentFactory System" in English Historical Review, vol. of trade unions. In a highly organized industryxxxvii (1922) 206 -18, 383 -97; Lincoln, Jonathan Factory System - Faidherbe 55 Thayer, The Factory (Boston 1912); Clarke, Allen, and after discharging duties at Guadeloupe and The Effects of the Factory System (3rd ed. London in Algeria that fitted him for a colonial career he 19r3); Price, G. M., The Modern Factory (New York went to Senegal in 1852 and was made governor 1914); Meakin, Budgett, Model Factories and Villages (London 5905). at the request of the colonists. He became gov- ernor of Senegal in 1854, serving until July, FAHLBECK, PONTUS ERLAND (1850- 1865, except for an interval of eighteen months. 1923), Swedish political scientist, sociologist and When he reached Senegal European occupation statistician. Fahlbeck studied at the Universityof tropical Africa was still largely confined to of Lund, where he subsequently taught history,declining trading posts on the coasts. Colonial political science and statistics. From 1903 to 1911 policy was dominated by a spirit of indifference he served as a conservative member of the Riks-or even retreat. The French possessions on the dag. In 1897 he founded the Statsvetenskapligwest coast comprised the city of St. Louis at the tidskrift (Journal of political science), which hemouth of the Senegal and the isle of Gorée, near edited from 190o to 1918. In 1918 he estab-Cape Verde. For the right to trade with the lished the Fahlbeck Foundation for the studynatives of the interior France paid a tribute of political science, statistics and economics. called custom (coutume) to a certain number of Fahlbeck began his scientific work with achiefs, who failed to maintain the peaceful obligations they had undertaken under an in- historical study of the social and political struc- treaty making policy adopted by ture of the earliest Frankish kingdom. Insubse-effective quent studies in political science he used theFrance. Faidherbe determined to put a stop to historical and typological methods to discoverthis situation and to establish French authority the realities in the various types of constitu-throughout Senegambia. By force of arms or tional government. In Sveriges författning ochnegotiations he subjugated the left bank of the den moderna. parlamentarismen (Lund 1904; tr. Senegal River, a key to the continent, as far as into French as La constitution suédoise et leMedina, the head of navigation. He subjugated parlementarisme moderne, Paris 1905) he pointedsimilarly Cayor, a region that extends along the coast from St. Louis to Cape Verde. Visualizing out contrasts between the Swedish andEnglish a French empire in the interior he made prepa- systems and some interesting analogies between the constitutions of Sweden and the Unitedrations for linking the upper Niger with the Senegal and for acquiring the Sudan. The extent States. Falhbeck introduced modern statistics as in Sweden. His mostof the subject territories when he left Senegal an independent science almost equaled that of France. The foundations important work was a study of the noble families of French West Africa, a vast territory whose of Sweden and Finland, Sveriges adel (2 vols., coast line France shares with other powers, had Lund 1897 -1902; German ed. Jena 19o3). His first contribution to sociology was Stand ochbeen laid. He put into effect a broad program of colonial improvements, transformed the city of klasser (Orders and classes) (Lund 1892), inSt. Louis, established a port at Dakar and which he criticized socialist doctrines and advo- village settlements for liberated slaves, endowed cated a positive program of social reform similar chair. His the colony with schools to train natives to aid the to that of German socialism of the French in governing, with post and telegraph last and unfinished work, Klasserna och sam- hället (The classes and society) (Stockholm offices, hospitals and even a museum. He urged 192o; German ed. Jena 1922),maintains thatthe policy of native proprietorship which France has adopted in west Africa. He accomplished differentiation accompanies andisa social this work with the aid of but few troops: there product of the development of culture. Fahl- soldiers beck's writings exhibit a wealth of ideas and awere never more than a thousand white at his disposition. In 1865 he returned to Algeria brilliant style. for five years. He was commander of the army GUNNAR ASPELIN of the north in 187o -71. Faidherbe became a Consult: Wallengren,Sigfrid,inStatsvetenskaplig deputy in 1871 and in 1879 a senator. He is tidskrift, vol. xxvi (1923) 211 -28; Widell, Louis, in Institut International de Statistique, Bulletin, vol.the author of numerous books on geography, xxii, pt. i (1926) 318 -2o. ethnology, colonization and military technique. CHARLES DE LANNOY FAIDHERBE, LOUIS LEON CÉSAR (1818- Consult: Brunel, I. M., Le Général Faidherbe (2nd ed. 89), French colonial administrator. FaidherbeParis 1897); Delafosse, Maurice, Histoire de l'Afrique was made a lieutenant in the engineers in 584.2, occidentale française, ed. by J. L. Monod (Paris 1926) 56 Encyclopaedia of the Social Sciences p. 197 -217; Girault, A., Principes de colonisation et de ciples, served to declare confiscatory and uncon- législation coloniale, 4 vols. (5th ed. Paris 1927 -30) stitutional an act of the Nebraska legislature vol. i, p. 274 -76, 298 -304; Roberts, S. H., History of French Colonial Policy (1870 -1925), 2 vols. (Londonreducing freight rates on a certain railway. The 1929) vol.i,p.302 -07, 319 -20, 329; Hornberg, court declared that a "fair return upon the value Octave, L'école des colonies (Paris 1929) p. 178 -99. of that which [the company] employs for the public convenience" should take into considera-. FAIR RETURN. The concept of fair return ontion such matters as original cost, cost of im- property is a compound of two variables, theprovements, market value of stocks and bonds, value of the property and the rate of interest orcost of reproduction, probable earning capacity profit. The first is the rate base; the second isunder the prescribed rates, operating expenses, the rate of return on that base. all of them "to be given such weight as may be In all the regulative opinions regarding eitherjust and right in each case." The problem of the rate base or the rate of return there is in thedetermining the rate base in accordance with background a concept which in law is the prin- the ambiguous rule laid down in this case still ciple of "a willing buyer and a willing seller" remains (see VALUATION). and in economics is the concept of a "normal" Besides the difficulty of determining the rate competitive price. The courts or commissionsbase in the face of inflation and deflation of set up the ideal of mutuality, absence of duressprices there is another complexity in the concept and stability of expectations, which is substan-of fair return introduced by the methods of tially the individualistic ideal assumed by thefinancing corporations. If the rate of return classical and hedonic economists in their notions allowed by a commission is 7 or 8 percent on of natural law, liberty of the individual, privatethe rate base and if in a hypothetical financial property, marginal utility and normality. Whenstructure one half of the money is represented this normality is disturbed by the substitutionby bonds paying 5 percent and one quarter by of corporations for individuals or by the expan- preferred stock paying 6 percent, then the rate sion of "natural" monopolies or by the extraor-of return allowed on the risk bearing common dinary circumstances of war or by the generalstock is 12 or 16 percent. inflation or deflation of prices, then not only do This indicates the importance of certainty of the public or the property owners demand butreturn in reducing the rate of return. This is legislatures, commissions and courts attempt to especially true of public utilities where the in- enforce some kind of standard of fair return.vestment is large compared with sales income Such a standard is at first sought in the preceptsand where therefore interest is a large part of of the common law, derived from the customsthe cost of service. It is for this reason that in of the time or from the ideals of free competition providing for fair return in public utilities both among equals on which economists based theirthe states and the federal government have en- theories. But with the modern concepts of "go- deavored to reduce or eliminate competition and ing value," "going concern value" and the bar-to give to the companies a legal monopoly free gaining power of concerted action, along withfrom competition or even threats of competition. the controversial testimony of engineers andIt is altogether unlikely that the idea of a fair accountants, the wide and fluctuating differencesreturn can be reduced to administrative meas- between prices, risks, rates of interest, and be- urability if actual or potential competition is tween bonds, common stocks, preferred stocksallowed to interfere in the calculations. Because and "watered" stock as well as the extremelyof the complexity of corporate securities and the long term periods of investment, the simplerups and downs of business cycles there is noth- ideas of the common law and free competitioning that can be said to be a fair return in normal call for revision in the midst of nationally con-circumstances in a competitive business. Some- flicting interests and the urgency of fitting thething can be said of changing averages but noth- early ideas to the high complexity of the newing of norms. Of approximately 70,000 manu- capitalism. facturing corporations in the United States the One of the first encounters of the old sim-average net income for common stockholders as plicity with the new complexity appeared in thecalculated by the writer from the Internal Reve- decision of the Supreme Court in the case ofnue Statistics on Corporate Taxable Incomes Smyth v. Ames [169 U. S. 466 (1898)] relativehas ranged from about 7 percent profit on sales to the rate base. That decision, notwithstandingin 1919 to 3 percent loss on sales in 1921. This its ambiguity and contradictory economic prin-includes individual corporations whose rate of Faidherbe-Fair Return 57 profit may have been 5o or more percent. Therestructure of the past, which failed to take into is evidently no possibility of figuring out a nor-account obsolescence as a factor in the rate base, mal rate of return in competitive business to bethereby reducing the amount of capital instead used as a standard for fair return in the regu-of maintaining it on the books. Or, if cost of lation of public utilities. Yet by eliminating com- reproduction is used as the measure of the rate petition and by the investigation of each utilitybase, the same factor of obsolescence is not on its own merits something of an approach toadequately considered in reducing the estimate the idea of a fair return may be calculated. of capital required to the point where a fair The first principle developed in these inves-return upon it can be maintained. Barring this tigations is the "capital inducement" principle.factor of obsolescence, the method of writing A rate of return is fair if it will induce investorsdown capital in a competitive economy is the to transfer their capital from other enterprisesmethod of bankruptcy or reorganization; but to the particular utility in sufficient quantitiesincluding this factor, the method of writing to serve the public convenience. With securitydown capital in a regulated economy is an ad- for bondholders the rate of inducement on thatministrative process of controlling the accounts, class of capital may be reduced. So with thethe sales of stock, the allowances for deprecia- rate of inducement on preferred stock. Theretion and obsolescence and the like. remain for common stock, when relieved of the In whatever way the rate base is calculated risks of competition, only the risks of efficientthere emerge the concepts not only of fair return or inefficient management. but also of excess return and inadequate return. Here the problem of a fair return slips intoThree methods of dealing with excess returns the realm of immeasurable opinion, for the capi-have been adopted in the United States, de- tal inducement principle becomes also a prin- pending upon the social interest involved. If the ciple of managerial inducement requiring theexcess return derives from ordinary competitive prospects of a return adequate to reward effi-business under exceptional circumstances, such cient management and discriminating againstas war, then the "excess profits tax" is adopted inefficient management. To the extent to whichas a means of distributing to all taxpayers the common stock is found on investigation to rep-excess in the form of lower taxes on the others. resent actual investment the capital inducementIf the excess return derives from a natural or principle may be applied by reference to thelegal monopoly then it is distributed to con- rate of yield on the market value of bonds; butsumers in a reduction of prices. But if the excess to the extent to which common stock representsreturn develops from the public policy of fixing management the highly variable and fluctuatinguniform rates for a small number of competing managerial inducement is a matter of opinion. companies, as in the case of competing railways, To meet this uncertainty a sliding scale hasthen the excess is loaned from a revolving fund been adopted in a few cases, the principle beingto the companies whose returns are inadequate that a given reduction in price to consumersat the rates fixed by law. shall be accompanied by a specified increase in The latter method is exemplified in the "re- dividends to stockholders. Under such arrange-capture clause" of the Transportation Act of ments the fair return to managerial capital (the 1920. Evidently the amount of excess recaptured voting stock) is calculated in advance as a pre-depends on the rate base; and the O'Fallon case cise sharing of increased efficiency between man- turned on this point, the Interstate Commerce agement and the public. Commission adopting the split inventory ap- The sliding scale has not been adopted gen-praisal, or modified prudent investment theory, erally, although it might be further extendedwhich at that time yielded a larger excess profit where competition is wholly eliminated. But inthan the reproduction cost theory adopted by many cases competition cannot be eliminatedthe Supreme Court [124 I. C. C. 3 (1927) 279 owing to alternative inventions. These are evi-U. S. 461 (1929); I. C. C., Finance Docket 3898, dent in the increasing competition of the motorRichmond, Fredericksburg and Potomac R. R. bus and the automobile with railways and streetCo. (1931)]. cars. A fair return on the capital investedin Evidently the intricacy of the problem of fair railways and street cars cannot usually be main-return has emerged in the change of the consti- tained if the public is to have the advantage oftutional meaning of property which the United the new inventions. The reasons here, however,States Supreme Court introduced in 1890 (C. are partly historical, going back to the financialM. and St. P. Ry. Co. v. Minn., 134 U. S. 418), 58 Encyclopaedia of the Social Sciences and which gave the Supreme Court jurisdictiondifferences between fairs and ordinary daily or over the issue. Confiscation of property afterweekly markets are that fairs take place at much that date became the "taking" of property bygreater intervals and last for longer periods, that reducing prices; and since fair return dependsthey are of importance to buyers and sellers over partly on prices charged, the Supreme Court ina far greater area and that, although retail trade Smyth v. Ames included as one of the factorsis by no means excluded from them, they mainly in its definition of fair return "the probableserve for wholesale trade. They are considerable earning capacity of the property under particu-events in the life of the districts where they take lar rates prescribed by statute." place, for people come to them from remote On account of the judicial supremacy in theregions to buy and sell and to visit the various United States the practises of countries havingside shows which accompany them. Fairs differ legislative supremacy include little or nothingfrom the modern produce exchanges in that they which is parallel to the American effort to ascer-are occasional rather than daily and in that the tain a fair return on capital. The legislaturesgoods to be sold are brought to fairs and ac- adjust the rates of public utilities according toquired there after preliminary inspection to other principles of public policy; or, as in theascertain quantity and quality, whereas on ex- case of cartels, the matter of obtaining a rate of changes goods are dealt in on a basis of samples return is left to the concerted action of privateor defined grades of given wares usually set in parties. Fair return is not a major issue. conformity with established standards. In the Nor is it in the various schemes proposed orcourse of time, however, transactions at fairs practised for the nationalization or socializationhave also come to be effected on the basis of of public utilities. At the one extreme is thesamples, so that goods need no longer be trans- public policy of distributing the benefits to the ported to the fair. Trading at fairs, however, wage earners or consumers (as in the form ofhas never come to be based on standards, since post offices or free highways) with no returnthe goods dealt in are chiefly finished products whatever to the taxpayers as investors who fur-to which the standard system cannot readily be nish the funds. At the other extreme is theapplied. policy of using the public monopoly as a profit Fairs also have some points in common with making enterprise to relieve the taxpayers at the expositions and sometimes expositions are called expense of consumers. In neither case does thefairs. The main distinctions between them are issue of fair return arise. that expositions generally take place at far greater JOHN R. COMMONS intervals than fairs, last longer and are intended See: VALUATION; RATE REGULATION; PUBLIC UTILI- more as a mode of advertisement to acquaint TIES; RAILROADS; PROFIT; INTEREST; PROPERTY; CON- people with the latest technical achievements FISCATION. and industrial progress rather than for imme- Consult: Glaeser, M. G., Outlines of Public Utility diate trading. In recent times special sales of Economics (New York 1927) ch. xix; Bauer, John,individual business concerns in Europe have Effective Regulation of Public Utilities (New York 1925) ch. x; Lyndon, Lamar, Rate- Making for Public been called fairs, but properly speaking a fair Utilities (New York 1923) ch. vii; Wu, Shao -Tseng, is a large scale enterprise involving numerous Railroad Valuation and Fair Return (Philadelphiainterests and under some form of public or 1930) pt. ii; Vanderblue, H. B., Railroad Valuation group regulation. The American or English (Boston 1917) ch. vii; Whitten, R. H., and Wilcox, county fair is not a fair in the technical sense D. F., Valuation of Public Service Corporations, 2 vols. (2nd ed. New York 1928), especially vol. ii, ch. xxxiv; but rather a produce and livestock exposition Brandeis, Louis D., "How Boston Solved the Gas combined with public amusements. Problem" in American Review of Reviews, vol. xxxvi Fairs arose not only because they offered spe- (1907) 594 -98, reprinted in Business -A Profession cial facilities for trading but also because trade (Boston 1914) p. 93 -108; New York (State), Commis- sion on Revision of the Public Service Commissions when still little developed could not be carried Law, Report, Legislative Document (1930), no. lxxv on continuously but only at such times as quan- (Albany 1930) pt. iii. tities of goods had accumulated. Although the origin of fairs goes back to remote times, it is FAIR VALUE. See VALUATION. difficult to use the term to characterize the ex- change of property in primitive society, which FAIRS are institutions established to centralizeusually took place incidentally on festive occa- supply and demand of merchandise at a par-sions to which neighboring tribes came with ticular place and a particular time. The maintheir goods. Borderland markets were adopted Fair Return--Fairs 59 by some North American Indian tribes and weretection. Bargains were concluded in the presence sometimes comparable to fairs. of a royal official and of witnesses, as ordered by In the ancient world annual fairs as well asthe capitularies of Charlemagne. To those who boundary markets were held at neutral sites, intraded in these places the protection of the king or near temples at a time of religious feasts andand of the church (hence "king's merchants ") under the control of priests, chiefs or officialswas vouchsafed anywhere within a mile of the in order to guarantee security of exchange.market place (the so- called Bannmeile) and on Many of the religious feasts of Syria, Palestine, the road to the market ( "king's roads ") as long the Mesopotamian valley, Egypt and Arabiaas the market lasted and for a fixed time, usually were visited by caravans of Phoenician mer-forty days, after its close. Every infraction of chants. In ancient Greece, besides the daily,the rules was immediately and severely punished weekly or monthly boundary markets mentionedby the judge there present. by Demosthenes and sacred because they were Fairs came into existence at some local mar- under the protection of market gods, there werekets- those, for instance, situated in places held once or twice a year fairs closely connectedwhere merchant caravans had to halt to change with the feasts celebrated in honor of the prin-their means of transportation or those where cipal gods. Merchants coming to them weremultitudes of people assembled at particular regarded as protected by these gods and thustimes, as for religious feasts. The very terms security was guaranteed them during travel andemployed (fair and foire from feriae, Messe from for the duration of the fair. Pausanias describesmissa, dult from indultum) bear evidence of the the spring and autumn fairs held at Tithoreaclose connection between fairs and the Christian during the feasts in honor of Isis. On the secondchurch. Similarly, in the Arabian world pil- day of the feast merchants opened their woodengrimages and commercial traveling were closely booths and stalls and on the third traded inconnected; such places as Mecca to which people slaves, cattle, garments, gold and silver. Theflocked for the sake of relics there preserved Olympian and Isthmian feasts were similar. In became centers for fairs. the Roman era fairs connected with feasts and The fair of St. Denis near Paris was chartered multitudinous gatherings took place on thein 629 and soon became important; in the elev- Aventine hill, near the temple of Voltumna inenth century the Easter fairs of Cologne flour- Etruria and in the holy grove of Feronia. ished. The oldest Italian fair was that of Ferrara. Among the ancient Germans trade seems to Fairs of merely local significance (the German have been largely an exchange of gifts by kings,yahrmarkt) at which trade was to a large extent popes, bishops and abbots. Before the eleventhretail must be distinguished from those where century in so far as trade went on it was effectedtrade was chiefly wholesale (the German Mes- by the wandering merchant or peddler (mercatorsen). The latter concentrated the trade of large cursorius) and presented the characteristic fea-areas and sometimes were of internationalsig- tures of boundary trade (commercium in ripa). nificance. Some fairs, while mainly for wholesale Under Charlemagne markets were held on thetrade, served a small area like retail fairs. This limes. Denizens seldom took to trade, and origi-type, however, differed from both other groups nally the bulk of the trade of these countries wasin that merchandise of only one or two types in the hands of Arabs, Jews, Saxons and otherwas dealt in, as at the English clothfairs in foreign merchants. Exchanges were effectedLeeds, Exeter, Halifax, Bradford and Wakefield. either in or before churches (ecclesia forensis,In England and France the same term (foires) ecclesia mercatorum), under the protection of thewas used to designate all types. peace of God (pax Dei) or the king's peace(pax From the middle of the twelfth until about regis), at particular times (constituta mercata)the middle of the fourteenth century the most when the usual animosity toward aliens did notimportant fairs were those of Champagne. In display itself, as on days when divine servicethe county of Champagne, situated on the bor- was celebrated, especially Sundays, or ondaysders of Germany, France and Italy, converged when merchant caravans (manus negotiatorum)the main roads leading from the Mediterranean arrived. This practise found symbolic expressionup the Rhone valley to Germany and England. in the cross (or some other object, as a sword, a Still more important, Champagne was politically flag or a glove) displayed on the opening of theneutral, being independent of France, and did market (mercatus) and left there till its close tonot suffer from the prevalent and devastating indicate that it was under royal or divine pro-wars. In this neutral zone six annual fairs were 6o Encyclopaedia of the Social Sciences held, two at Troyes and the others at Brie,duke of Savoy to the Geneva fair, but by the Provins, Bar -sur -Aube and Lagny. Here mer-close of the fifteenth century Lyons had the chants from Italy and southern France offeredupper hand. to those of northern Europe the drugs, spices Although the bulk of the trade formerly and perfumes of the Orient in exchange foreffected at the Champagne fairs was thus dis- Flemish and, later, English cloths, the linen oftributed among many places and merchants now south Germany, the furs and other raw products traveled much more than formerly, most fairs of Russia. The prosperity of the Champagnestill had but local significance. In France the fairs was largely due to the policy of the countsmost important after that of Lyons were those of Champagne, who did much to regulate trade, of Rouen, Châlons -sur- Marne, Nimes, Tou- to assure the merchants security and to guaran-louse and, particularly, Beaucaire at the mouth tee the rapid settlement of commercial disputesof the Rhone. The most important local Flemish by a special court. The latter, composed of thefairs were those of Messines, Lille and Ypres. custodes nundinarum (gardes des foires) recruited The largest German fairs were at Frankfort, by the counts' officials among the heads of theNördlingen, Strasbourg and Bozen. In Italy the merchant corporations at the fairs, was highlyfair of Ferrara was declining and the great fairs respected and its judgments on the payments ofwere those of Piacenza, Pavia and Milan. One debts concluded at the fairs did not, as wasof the chief Swiss fairs was held at Zurzach. frequently the case in that day, remain on paperThe most important English fair, that of Stour - but were strictly enforced. Towns whose mer-bridge, attracted Italian, Spanish and Flemish chants did not yield to these judgments weremerchants; other large fairs were those of West- officially banned from visiting the fairs; suchminster and Winchester. proud and mighty towns as Florence, Lucca and Since the essential features of a fair -the peri- Cologne had at times to submit to this measure. odic accumulation of wares, the temporary gath- From the beginning of the fourteenth centuryering of merchants and the granting of special the Champagne fairs began to decline. Cham-privileges to them -were withheld by Venice pagne, now a part of the French kingdom,and the Hanseatic towns, which wanted to play shared in the devastations of the wars with the an active trading role, these towns cannot be Flemish dukes and with England. These warssaid to have had fairs, although trade went on also prevented Italian (Lombard) and German and merchants were assembled in them through- merchants from visiting the Champagne fairsout the year. as regularly as before. Moreover, the royal tolls The main grants given to foreign and native and dues imposed on foreign, especially Italian,merchants at fairs consisted in permission to merchants were much heavier than those levieddeal among themselves (von Gast zu Gast) and previously by the counts of Champagne, andto sell at retail, practises strictly forbidden at the Italians were now repeatedly banished or ex-ordinary times. In the course of time a code of propriated. Trade between northern and south-international merchant law gradually adopted ern Europe therefore largely shifted to the seaby all fairs grew up. According to this law fairs route leading from Italy through the Straits ofwere an asylum where no one was liable to Gibraltar. In 1314 the first Venetian galleyprosecution for offenses committed elsewhere. safely arrived at Antwerp, and soon regular voy-Hence debtors could not be arrested at fairs ages were made between Italy and Flanders.nor their merchandise be seized. Moreover, the Antwerp, Bergen op Zoom and Bruges all be-so- called right of reprisals was abolished at fairs; came important centers of trade and held fairs.i.e. merchants at fairs were not responsible for In the fourteenth and the early fifteenth cen-debts contracted or offenses committed by their turies the Geneva fair, first mentioned in 1234,countrymen elsewhere. The most important partly replaced those of Champagne. Genevaprivilege granted merchants was that their dis- benefited from its favorable geographical situa-putes were expeditiously settled by a special tion near the borders of France, Italy and Ger-court without observance of the usual compli- many where the routes from Basel, Constance,cated procedure. In England this court was northern Italy and England converged. In 142ocalled the court of Piepowder (cour des pieds a fair was established at Lyons which soon be-poudrés, curia pedis pulverizati) from the dusty gan to compete sharply with Geneva. Any privi- feet of traveling merchants. lege which the French king granted to the Lyons As merchants met at fairs regularly, the pay- fair was balanced by some favor given by thement of debts even if contracted elsewhere was Fairs 61 usually set for fair time. Money changers andfifteen wholesale fairs of national importance, bankers (cambiatores, campsores, bancherii, tabu -the principal of them being held at Stourbridge larii), mostly Italians, gathered there to conduct and Bristol in England, at Beaucaire, Bordeaux, a business as lucrative as it wasdifficult andRouen and Lyons in France, at Leipsic, Frank- intricate because of the chaotic state of cur-fort on the Main, Frankfort on the Oder and rency, the repeated debasement of money, theBozen in Germany, at Novi and Senigaglia in variety of coins circulating and the quantity ofItaly. The fairs of Antwerp and Geneva still false money issued. Frequently exchange didprospered and important fairs were held at not take place on the spot (cambium manuale),Puerto Bello, Vera Cruz and Havana whenever but payment was effected at another time andships arrived from Spain. The local, retail fairs in another place (cambium per litteras). The fairs were much more numerous. thus stimulated the use of the bill of exchange Of all fairs held during the seventeenth and as an important currency instrumentin inter -eighteenth centuries the most important were local trade. At the Champagne fairs strict rulesthose of Stourbridge and Leipsic. The latter were set up for the presentation, acceptanceandwere established in 15o7 and held threetimes payment of bills of exchange. In the sixteentha year. At Leipsic the main roadsof central century credit operations became prevalent atEurope converged; Hungarian, Russian and Po- Lyons, Medina del Campo in Castile and somelish merchants came there to meet Italians, other fairs. They formed the bulk of businessDutch, English and Greeks. In the eighteenth at the "Genoese fairs" (so named because theycentury even Frankfort on the Main, an impor- were mainly visited by Genoesebankers) heldtant fair center since the thirteenth century, was four times a year from the beginning of theeclipsed by Leipsic, chiefly because of the reali- sixteenth century at Besançon and Chambéryzation of principles of freedom of trade and (Savoy), later at Rivoli and Asti and finally atequal treatment for natives and aliens, who were Piacenza and Novi. The credit operations ef-even allowed to trade in theintervals between fected at these and at the Castilian fairs werethe three annual fairs. An annual fair trade of chiefly concerned with Spanish royal finances.between 5,000,000 and 8,000,000 thaler was Large sums were paid out by the kings' bankers,done. At Leipsic credit operations were but an who were repaid in Spain when the silver flo-auxiliary of merchandise dealings, while at tillas arrived from America. In dealings amongFrankfort they were the chief item. themselves the bankers made use of "clearing" Especially in the eighteenth century much or riscontro (scontro) by simplymaking bookbusiness formerly done at fairs was diverted transfers, a method already used in Champagne.from them by the increase of peddling through By the close of the eighteenth century per-the countryside; the rise of settled urban retail manent, non -periodical trading centers (shopstrade; the growth of new forms of wholesale and markets) especially in manufactured warestrade, such as the purchase of raw and manu- rapidly increased, chiefly through the develop-factured goods direct from the producer's store- ment of canals, regular posts and other im-houses; and by the establishment of auctions. provements in communications. Nevertheless,The latter were similar to fairs in that they took periodical concentration of trade in particularplace at fixed times and in regular places but places and at fixed times remained necessary,differed from them in that the time was not as only thus could supply anddemand be con-set long in advance but according tothe arrival centrated on a large scale, the situation of theof goods for sale. Moreover, late in the eight- general market be investigated and prices fixedeenth century commercial travelers began to in accordance with it. Besides, such mediaevalvisit towns and villages carrying samples with restrictions as those on the carrying on of tradethem and offering to deliver wares to the home by aliens, by craftsmen not belonging to localor shop of the buyer, thusmaking a trip to a guilds and by peddlers were still enforced exceptfair unnecessary. With the development of mod- at fair times. Thus the fairs, where everyone,ern industry, modern roads andrailroad systems denizen or stranger, might sell wares of any kindthe purchase of goods after a preliminary exami- and origin, at wholesale or retail, appeared asnation was more and more replaced by contracts supports of freedom of trade and in every townbased on the examination of samples of standard of importance were held once or twice a year. goods to be delivered by railroads. With the During the seventeenth and eighteenth cen- development of postal communication, tele- turies most European countries had from ten tograph and telephone fairs declined more and 62 Encyclopaedia of the Social Sciences more. Moreover, in the course of the nineteenthBut by 1914 it had entirely lost its former im- century the restrictions which made fairs appearportance for the cotton, sugar and iron trades, as asylums of freedom of trade were abolishedwhile dealings in tea, silk and tobacco were and free competition became universal. rapidly decreasing. The average general turn- Fairs soon lost importance for credit opera-over of this fair dropped from 220,000,000 rubles tions, which began to be performed at stock ex-between 1875 and 188o to 204,000,000 between changes, banks, clearing houses and post offices. 1906 and 1910. Of the other Russian fairs those A rapid decrease in merchandise trading fol-of Irbit, Orenburg, Kiev, Kharkov, Poltava and lowed and many fairs ceased to exist, until byof Ishim and Tyumen in Siberia were impor- the end of the nineteenth century the only im-tant. At the Irbit fair, established in 1643, the portant fairs of the traditional type were to bebulk of the business was in tea, metals, leather, found at Hardwar in India, Tanta in Egypt,wool and furs; for the last named ware it re- Mecca in Arabia and in Russia. mained important even after the building of the In Russia, which had a slow economic devel-Trans- Siberian Railway, and Leipsic and Lon- opment, the numerous fairs remained importantdon obtained their fur supplies there. longer than in other European countries. In the During the nineteenth century the fair in west- seventeenth century important fairs were heldern Europe underwent a change. The wholesale at Archangel, when English and Dutch vesselsdivision became increasingly important and the arrived to exchange their cargoes for Russianpractise of bringing to the fair samples rather products. The ancient fair originally held at thethan a store of goods for immediate sale became cloister of St. Makariev and transferred togeneral. Only the Leipsic fair remained impor- Nizhni Novgorod in i817 became the center oftant and this only for a limited number of wares Russian internal trade as well as of trade be-(chiefly furs and leather) requiring preliminary tween Russia and Asia. Originally and for a longexamination and as a sort of permanent exposi- period tea brought by caravans from Kiakhtation of vast collections of samples, drawings and on the Siberian highway appears to have beenmodels where orders might be placed. As such the principal object of trade at this fair. Laterit was an important instrument of German com- textiles became prevalent. Moscow manufac-mercial expansion, drawing several hundred tures were sold at wholesale and retail and largethousand visitors, many from abroad, each year. transactions were made by dealers in flax, hemp,In 1894 the Leipsic fair became definitely an wool, leather, feathers, horsehair and the prod-international sample fair (Mustermesse). During ucts of artisans working on the "domestic sys-and just after the World War a renaissance of tem." At the close of the nineteenth centuryfairs occurred throughout Europe because of these fairs were still prospering, the bulk ofthe wartime goods shortage and the difficulties business being in textiles, furs, cotton, silk, of communication. The Leipsic fairs, suspended leather and wool. With the first development ofin the first years of the war, recovered their railroads the volume of Russian fair trade in-former prosperity and smaller fairs were held at creased and the fair of Nizhni Novgorod con-Kiel and other German cities. To fight Germany tinued to be the "fair of fairs," supplying localon the economic front and to foster new indus- fairs. Gradually, however, the development oftries, mainly those for which the Entente states the railroad system and the rise of commercialformerly depended on Germany, fairs were travelers brought about steady trade of the mod-established during the war in London, Birming- ern type and the fairs of Nizhni Novgorod beganham, Glasgow, Lyons, Paris, Bordeaux (largely to dwindle. Dealings began to be effected onfor colonial trade) and elsewhere. Thus the the basis of samples, and goods were purchasedWorld War among other ways compelled a re- at the place of production or at the center ofturn to the economic system of bygone days by trade, Moscow. Nevertheless, the reluctance ofresuscitating the once typical fairs, which again provincial merchants to give credit to new cus-appeared as asylums of free trade due to the tomers enabled numerous small local fairs torelaxing of the innumerable wartime prohibi- grow up and preserved for the fairs of Nizhnitions and restrictions imposed on trade, the Novgorod some importance as a center whereright of residence of foreigners and the like. buyers and sellers met to cement existing com-All these fairs were chiefly sample expositions. mercial relations and to establish new ones.For dealings in such standardized, half finished Moreover, the fair remained a center for theand finished products as could be sold on a delivery of goods and the clearing of accounts.sample basis they replaced or supplemented Fairs 63 traveling salesmen. The prolonging of manyway as to avoid conflicts, and to facilitate and trade restrictions after the war, the fact thatreduce rates on shipments of goods to fairs. until 1924 or later commercial treaties were con- In Soviet Russia after a three -year interval cluded for short periods only and the necessity(from 1919 to 1921) fairs, especially that of for renewing old commercial connections brokenNizhni Novgorod, were again held; but their by the war as well as establishing new ones ledutility was slight in a system in which private to the continuation of these fairs; during or justtrade plays a small part in comparison with state after the war there were three such fairs intrade, and in 193o all Russian fairs were abol- England, six in France, three in Italy, seven in ished. Germany, seven in Austria -Hungary and others In most European countries today fairs are in Sweden, Belgium, Switzerland, Holland, Po-managed by a bureau of public or semipublic land, Czechoslovakia, Finland, Spain and Ru-character. The Leipsic fair, for example, is rec- mania. In 192o the French industries held aognized by law, governed by an official bureau sample fair in Basel to attract foreign trade. and financed by contributions from the federal Some fairs have been transformed into exposi-and state governments and the Leipsic Chamber tions limited to particular merchandises andof Commerce and by fees paid by exhibitors. accessible only to visitors concerned with theIn addition to providing technical management given industry. There are today about 16o suchfor the fairs such bureaus undertake publicity fairs in Europe, of which that in Leipsic remainscampaigns to attract both exhibitors and visitors. the most important. The German Ostmesse es-The publicity of the Leipsic fair is perhaps the tablished in Königsberg in 1920 has the specialmost extensive. In addition to issuing several aim of building up German trade in easternpublications the fair bureau utilizes all the forms Europe and of helping to maintain German con-of modern advertising in every important com- trol of East Prussia. Outside Europe few fairs,munication center both in Germany and abroad. in any strict sense of the word, are held, althoughSeveral foreign offices are maintained to distrib- special trade fairs (for tobacco products, auto-ute publicity and assist foreign manufacturers mobiles, radio materials, textiles and the like)in making arrangements to send exhibitions to are common in the United States. The Royalthe fair. These offices are supplemented by the Easter Show of Sydney, Australia, and the Ca-services of honorary officials throughout the nadian National Exhibition of Toronto, bothworld. The latter are business men of standing annual events, are in part sample fairs. Fairsin their communities, generally persons in the are held annually at Bandung, Batavia and Sura-employ of a German business firm or engaged baya in the Dutch East Indies. in exporting to Germany, who volunteer to push As a result of the revival of fairs there arosethe interests of the fair. a number of pressing problems concerning the National governments have recently lent their application of tariff regulations to internationalassistance to the development of fairs. Whereas shipment of fair samples, the conflict of fairthe English Fairs acts passed between 1868 and dates and an overabundance of fairs, which was 1871 provided machinery through which useless threatening to become a burden on trade. Infairs might be abolished, the Department of order to rationalize exhibition practises an agree-Overseas Trade now contains an Exhibitions ment was drawn up by an international con-and Fairs Division which is interested in pro- ference in 1928, ratified by Albania, France,moting fairs wherever possible. Similarly the Germany, Great Britain, Italy, Rumania, Swe- German government has established the Reichs- den and Switzerland and put into force onkommissariat für das Ausstellungs- and Messe- January 17, 1931. While this agreement doeswesen and in 1920 it cooperated in a conference not regulate fairs, because of the attitude of theof fair officials and representatives of chambers International Chamber of Commerce, whichof commerce which endeavored to systematize opposes government interference with what itfair practises. Numerous other countries have regards as purely economic markets, the Inter-either official fair bureaus or national associa- national Committee for Exhibitions and Fairstions established by commercial interests to has made proposals for regulation and the cham-promote and regulate fairs. ber is attempting to facilitate voluntary inter- JOSEPH KULISCHER national action to rationalize the holding of fairs. See: MARKET; MARKETING; COMMERCE; COMMERCIAL In 1924 and 1925 Latvia, Lithuania, Finland ROUTES; TRUCE OF GOD; LAW MERCHANT; COURTS, and Poland undertook to fix fair dates in such a COMMERCIAL; TRANSIT DUTIES; BANKING, COMMER- 64 Encyclopaedia of the Social Sciences CIAL; BILL OF EXCHANGE; AGRICULTURAL FAIRs; AUc- "Die Leipziger Messe" in Wirtschafts - Jahrbuch für TIONS; EXPOSITIONS, INTERNATIONAL. Industrie und Handel, vol. i (1928 -29) 244 -52; Arqué, L., "La foire de Leipzig a l'époque actuelle" in Consult: GENERAL WORKS AND HISTORICAL STUDIES: Science sociale, vol. xxv, pt. ii (5950) 13 -96; Flach, Kulischer, Joseph, Allgemeine Wirtschaftsgeschichte Walter, "Die deutsche Ostmesse" in Wirtschaftsin- des Mittelalters und der Neuzeit, Handbuch der mittel- stitut für Russland und die Oststaaten, Königsberg, alterlichen und neueren Geschichte, pt.3, z vols. Schriftenfolge osteuropäischer Aufbau, vol. xii (5927) (Munich 5928-29); Sombart, Werner, Der moderne 1 -91; Hoffherr, René, La politique d'une foire d'échan- Kapitalismus, 3vols. (Munich 1921 -27); Huvelin, tillons: la foire de Lyon (Lyons 1925); Herriot, Edou- Paul, Essai historique sur le droit des marchés et desard, Une offensive économique: la foire d'échantillons foires (Paris 1897); Walford, Cornelius, Fairs, Past de Lyon (Paris 1916); also periodicals published by and Present (London 1883); Schulte, Aloys, Geschichte the governing bodies of the Leipsic, Breslau, Frank- des mittelalterlichen Handels und Verkehrs zwischen fort, Lyons and other current fairs. Westdeutschland und Italien, z vols. (Leipsic 1900) vol. i, p. 156 -68; Allix, André, "The Geography of Fairs" in Geographical Review, vol. xii (1922) 532-69, FALLMERAYER, JACOB PHILIP (179o- and "Les Foires: étude géographique" in Géographie, 1861), German historian. Fallmerayer traveled vol. xxxix (1923) 521 -63; Alengry, Charles, Les foires extensively in the Orient and devoted himself de Champagne (Paris 1915); Bassermann, Elisabeth, chiefly to the study of the history of the Near Die Champagnermessen: ein Beitrag zur Geschichte des East. His Geschichte des Kaiserthums Trapezunt Kredits (Tübingen 1911); Brésard, Marc, Les foires de Lyon aux xve et ivre siècles (Paris 1914); Borel, (Munich 1827) laid a firm foundation for the F. A., Les foires de Genève au xve siècle (Geneva 1892); study of the Trebizond empire and revealed Sée, Henri, "Notes sur les foires en France . au many interesting social problems which have XvIIIe siècle" in Revue d'histoire économique et sociale, not yet been satisfactorily solved. His famous vol. xv (1927) 366 -85; Hasse, Ernst, "Geschichte der Leipziger Messen" in Fürstlich jablonowskischeFragmente aus dem Orient (2 vols., Stuttgart Gesellschaft der Wissenschaften zu Leipzig, Preis- 1845; new ed., 1 vol., 1877) presents a charming schriften, vol. xxv (Leipsic 1885); Kroker, Ernst,picture of the life, customs and manners of many Handelsgeschichte der Stadt Leipzig (Leipsic 5925);countries of the Near East. The most important Geschichte des deutschen Buchhandels, 5 vols. (Leipsicwork of Fallmerayer is his Geschichte der Halb- 1886 -1923) vols. i -ii; Markgraf, Richard, "Der Ein- fluss Juden auf die Leipziger Messen in frühererinsel Morea während des Mittelalters (2 vols., Zeit" in Archiv für Kultur- Geschichte, vol. v (5907) Stuttgart 1830 -36). In this work he advanced 216 -48, 363 -76; Dietz, Alexander, Frankfurter Han- the astounding theory of the complete extermi- delsgeschichte, 4 vols. (Frankfort 1910 -25); Wutke, nation of the ancient Greeks in the Middle Ages K., Die Breslauer Messe, Sammlung gemeinverständ- licher wissenschaftlichen Vorträge, n.s., vol. x, no. and their replacement by new and alien ethno- 23o (Hamburg 1895); Kulischer, Joseph, Russische graphic elements chiefly of Slavic and Albanian Wirtschaftsgeschichte, Handbuch der Wirtschaftsge-origin. He stated that "the Hellenic race in schichte, vol. i (Jena 1925); Clernow, G., Der grosse Europe is completely exterminated" and that Jahrmarkt von Nislznij- Nowgorod (Erfurt 1925); The "not a single drop of pure Hellenic blood flows Russian Year -book, 6 vols. (London 1911 -16); Simson, Oscar, "Die russischen Jahrmärkte mit besondererin the veins of the Christian population of mod- Berücksichtigung der Messen von Nishnij- Nowgorod ern Greece." Fallmerayer's work aroused a storm und Irbit" in Jahrbücher für Nationalökonomie und of discussion chiefly because it was published Statistik, vol. lxiv (1895) 571 -93; Anon., "Die Messe at a time when all Europe was watching, with zu Nishnij- Nowgorod" in Russische Revue, vol. vi of the (1875) 34 -69; Johnstone, H. A. M. B., A Trip up thea sympathy which was largely a result Volga to the Fair of Nijni -Novgorod (Oxford 1875). belief in the racial identity of the Greeks with MODERN SAMPLE FAIRS: United States, Bureau of the ancient Hellenic peoples, the struggle of the Foreign and Domestic Commerce, "Internationalmodern Greeks to maintain their independence. Fairs and Expositions" by K. von Junkin, TradeFallmerayer's theory as a whole cannot be ac- Promotion Series, no. 75 (1929); Jähnl, Wilhelm, Diecepted. Its importance rests on the fact that it Entwicklung und Bedeutung des Handelsmessen (Leipsic 1922); Modlinger, J., Neue Mustermessen (Frankfort called the attention of many scholars for the first 1923); Zadow, Fritz, Die deutschen Handelsmessentime to the Slavic penetration as well as to the (Berlin 1929); Gothein, Eberhard, Die Handelsmessen later vast Albanian immigration into Greece. und der Wiederaufbau der deutschen Volkswirtschaft These new ethnographic non -Greek elements in (Frankfort 1921); Warren, Hans, Die Grundlagen undGreece have considerably affected the local con- verkehrswirtschaftlichen Funktionen des deutschen Mes- sewesens (Hamburg 1923); Pröpper, Kurt, Konzentra- ditions and created new problems concerning tion im Messewesen: ein statistischer Rückblick auf das the social and economic intercourse between the deutsche Messejahr, 1925 (Leipsic1926);Leipzig ancient local population and the newcomers. Messamt für die Mustermesse, Die Leipziger Messe A. A. VASILIEV und ihre Organisation (and ed. Leipsic 1929), partly tr. as pamphlet (znd ed. Leipsic 1929); Voss, Paul, Consult: Molden, Ernst, Introduction to Fallmerayer's Fairs-Family 65 Schriften und Tagebücher, 2 vols. (Munich 1913) vol. i, from among the anthropoids, Briffault draws p. ix- xxxii; Vasiliev, A. A., History of the Byzantine Empire, Wisconsin University, Studies in.the Socialheavily in support of his thesis from conflicting Sciences and History, nos. xiii -xiv, z vols. (Madison data on anthropoid behavior which supplied 1928 -29) vol. i, p. 213 -16. evidence for the existence of horde life andno permanent unions. FAMILY All of these attempts to reconstruct the earlier PRIMITIVE. The organization of the familyforms of organization of the family remain at best among primitive peoples has usually been stud-only elaborate hypotheses. Contemporary refu- ied with the primary objective of reconstructingtations of these hypotheses rest upon criticisms forms which are antecedent to existing types.of the evolutionary position with its arbitrary Hypothetical sequences have been developed by postulation of stages and upon a methodological the use of three principal lines of inquiry; therefusal to admit the discussion of a question Christian monogamous family has been regardedupon which there is not and can not be any valid as the end product and ideal type and otherevidence. Customs previously considered sur- existing types of family organization have been vivals are not interpreted as evidence of previous scaled and dated chronologically according toand vanished states of social organization but the degree to which they differ from this ideal;are studied as functioning institutions. Evidence analogues from the animal kingdom have beenfrom animal behavior is not judged as conclusive made with special reference to the mating be-concerning human behavior on the ground that havior of the anthropoids; and by the use ofhuman beings as a distinct species may have peculiar and anomalous aspects of contemporary developed or discarded any part of the instinc- primitive social organization as clues reconstruc-tive equipment of cognate species. tions have been attempted of early stages of There is no such institution as the "primitive family organization which are without existingfamily"; many and diverse types of family or- representative examples. Lewis Henry Morgan,ganization exist, some of them close analogies with the theoretical naïveté of the early evolu-to modern forms. Realistic contemporary dis- tionists, constructed an evolutionary schemecussions of the family among known primitive according to which promiscuity was followed byand civilized peoples have assumed that the group marriage, group marriage modified intobiological family -father, mother and children polygamy in which matriliny preceded patriliny,-has been the fundamental unit, overstressing and monogamy was the final stage. Westermarck the conspicuous importance of this unit in an in refuting Morgan's position argued that manattempt to refute the early views which regarded was originally monogamous, relying for proofthe clan not as extensions of the primary family upon selected examples of monogamy among thegroup but as a primary group from which the anthropoids and the fact that hunting and foodfamily had become differentiated. This point of gathering peoples, whom the social evolutionists view has resulted in such analyses of social consider most primitive economically, were pre-organizations as Malinowski's treatment of the vailingly monogamous. Briffault, who has re-aboriginal Australian family, in which he ignores cently revived the discussion, uses all threecompletely the class systems regulating mar- methods of inquiry to produce a scheme lessriage. Lowie's discussions also assume the omni- crudely evolutionary than Morgan's but open presence of the biological family as a social unit. to the same fundamental objections. He utilizesMaterial from Mentawei and Aua shows that this the evidence of survivals, arguing that such in-is not completely justified. The most articulate stitutions as the sororate, the levirate, sex hos-balance has been achieved by Radcliffe- Brown, t--" pitality and the exchange of wives point to anwho regards the biological group, with primary early stage of group marriage upon which matri-emphasis upon the parent -child relationship, as archal institutions were superimposed, that duethe chief point of reference in any discussion of to the exigencies of property rights patriarchalsocial organization but gives due weight to the institutions followed and that finally monogamy importance of the more complex developments was established as a matter of religiously sanc-characteristic of many primitive societies. He tioned morality. He dismisses monogamic in-has also made the most distinguished contribu- stitutions found among economically simplertion to the hypothesis that forms of social or- peoples as different in kind by explaining themganization develop tendencies toward particular as economically, not morally, determined. Asdénouements and compromises, and that these Westermarck selected evidence of monogamyare dictated not by the exigencies of individual 66 Encyclopaedia of the Social Sciences psychology but by the nature of the social formsfunction is to produce sons. In contrast to such themselves. From this point of view a classa patrilineal system is a matrilineal system like system, as in Australia, with its peculiarlyarti-that of the Zuñi, where the important relation- ficial regulation of family composition is seen asship is that of mother to daughter. Here women a formal compromise betweenmatrilineal anddesire not male but female children; the house is patrilineal forms, an interpretation which is inowned and administered by women, the residen- marked contrast to Malinowski's psychologicaltial unit is a group of women and their more or treatment in which analogous formal compro-less transitory husbands, who become even less mises are viewed as the result of conflict betweeninstitutionalized as members of their spouses' mother right and father love. households than do wives under a system of wife The family has also been regarded primarilypurchase. Patrilineal and matrilineal emphasis as a status giving group, adevice by whichmay be combined in various ways;conditions society defines the social affiliations of the mem-under which an individual's status is twice de- bers born into it. This aspect of the institu-fined, once in terms of the mother and differ- tionalized family is particularly marked in sys-ently in terms of the father, result in class tems like that of the Mentawei, where achildsystems like those of Australia and the New is formally adopted by the maternal grandfatherHebrides. A different result obtains when the and economically supported by the maternaloriginal modification is made within the family uncles until the biological father, who hithertogroup and the relationship of one parent tochil- has assumed no responsibility, upon his mar- dren of both sexes is made the subject of formal riage in middle life adopts his own children andelaboration. This is a familiar condition in gives them their final status in the community.Oceania, where instead of wife purchase there The family as a functioning group in the Men -are exchanges validating marriage and amarried tawei community is often therefore actually awoman remains an important andfunctioning pair of grandparents, their sons, their daughtersmember of her father and brother's kin group. and their daughters' children, while many mat-If the system has a patrilineal emphasis, as in ing couples have no social existence as a familyTonga, Samoa and Manus, the father's sister group. has an important role; or if the system has a The interest in forms of marriage as the cluematrilineal emphasis, as in the Trobriands and to the historical development of thefamily hasin Dobu, the married man is permitted to play led to an overemphasis upon the marriage rela-a more extensive social role in hissister's house- tionship and to discussions of the polygamous,hold, especially in regard to her children, than polyandrous, matriarchal or patriarchal aspectshe could play among the Zuñi. Ramifications of of the family. The different forms of the familythis system in west Africa spring from the inclu- can be viewed somewhat morecomprehensivelysion of children of both sexes in the relationship by considering which of a series of possibleto a parent of one sex and after thedeath of that relationships is made the basis for familial andparent appear as a social expression ofbrother social organization. These relationships are thoseand sister solidarity. Among the Dobuans the of father to son, mother to daughter, father tobrother disciplines his sister's children, while children of both sexes, mother to children ofthe father of the children plays a less permanent both sexes and the relationship which followsrole in their lives than in the lives of his sister's from these last two at the death of the parents,children. Conversely, among the Tongans the brother to sister and that relationship whichfather's sister exercises a different type of au- lays emphasis not upon kinship but upon a merethority in the lives of her brother's children alliance of husband and wife who are membersthan she does in the case of her own children. of different kin groups. All the familiar forms of All of these developments are in contrast with primitive social organization can be derived bythe type of family in which there is a strong the elaboration of one or more of these relation-emphasis upon the husband -wife relationship. ships. In a strict patrilineal system, such as isSuch institutions as the sororate, in which a found in parts of Africa, the primary emphasis isman marries his wife's sister orsisters either upon the relationship between a manand hisbefore or after his wife's death, and the levirate, male children. Wife purchase is particularlyin which a man inherits his brother's widow, congruent in such a system, for the statusof aor the form of fraternalpolyandry in which a woman is stressed neitherin relation to hergroup of brothers share one wife do notempha- father nor to her husband; her primary socialsize the conjugal relationship; they rely rather Family 67 upon the important ties within the group whichperts, as in Samoa and among the Maori. Some make it possible to substitute one member forsocieties rely heavily upon the family group to another primarily as a function of intrakin soli-dispense economic and social instruction to the darity, whether in making good a bride price orchildren; others rely upon age groups, special in caring for a brother's widow. Polygamy is notceremonies or formalized instruction. The family so much an elaboration of the husband -wifemay comprise almost the entire social world of relationship as the reflection of rank or wealththe child, as among some particularly nomadic in a system which puts little emphasis upon thegroups. The biological family may be obliterated husband -wife relationship. by a much larger group, so that the child is A primary stress upon the husband -wife rela-required to adjust itself to a group of some tionship results in a bilateral kinship system andfifteen or twenty persons. Male club houses may a very simple kinship structure which lacks theresult in boys leaving home at an early age and continuity of descent groups. Each family comesin the realignment of old and young along sex into existence from the alliance of adults wholines. Social institutionalizations of the old may are themselves without the definite and binding give the grandparent generation a decisive part ties of unilateral societies. This condition isin the training of the young, as among the Plains , foundamong many of the very simple peoples,Indians. Residential exclusiveness of parents such as the Indians of interior Canada, andand minor children, coupled with an educational paradoxically in modern industrial society. Inconvention whereby adults devote time to the both cases the societies have to rely upon othercare and training of young children, may result types of social groups for permanent form, asin making the child's character and tempera- the family founded upon the husband -wife rela-ment dependent upon that of one or both tionship is too unstable and discontinuous aparents. In Manus, where the father plays the /form of organization to provide the type of firmmost important part in the life of young chil- \J structure which is given by social groups baseddren, the temperament of the boys corresponds upon blood relationship. It is possible to showto that of the fostering male, whether he is the in the case of modern society that the conjugaltrue or adoptive father. Under conditions of stress and bilateral kinship grouping has devel- diffused family life, as in Samoa, where the child oped from more complex kinship forms basedis reared as one member of a large household upon blood groupings. For the simplest humanand is cared for not by adults but by the older societies, however, there is no evidence of any children, the family plays a less determining role such historical background and it is more correctin the development of specific personality traits. to explain the similarity of form between such MARGARET MEAD family forms and contemporary forms on the basis of a similar emphasis upon the husband - SOCIAL ASPECTS. The word family has been wife relationship. taken over into modern European languages As the contemporary family is often discussedfrom Roman law, where it denoted the commu- from the standpoint of loss of the functions nity of producers and consumers formed by the which the family discharged in earlier periodslargely self -sufficing household which included of western European history, it is worth notingslaves and other servants as well as members that in primitive society there are also veryconnected by common descent or marriage. The different degrees of dependence upon the family family tends to reach beyond blood relationship, as a focusing point of social, religious, political either in the form of adoption or otherwise, and and economic activities. There are societiesto embrace more than one unit of monogamic where the men take meals entirely outside theparents and their children in the form of the home; others in which religion is entirely social-so- called "large" or "joint" family. Both tend- ized; others in which the economic unit is farencies are rooted in social conservation, eco- larger than the biological family. The degree tonomic division and union of labor. In so far as which the family serves as the transfer point ofthey prevail, the boundary between the family civilization differs depending upon whether re-as the narrower and the sib or clan as the wider instruction is given by the father to thegroup of blood relationship may be fixed by the /ligiousson, as among the Omaha Indians, or is madeexternal difference of living together in a house- a group function with formal initiation cere-hold rather than in a settlement or grouping monies; whether children learn crafts from theirconsisting of more than one household. On the parents or receive formal instruction from ex-other hand, the tendency toward monogamy, 68 Encyclopaedia of the Social Sciences even when in the form of the polygyny of one coherence. The continuous reemergence of con- husband or the polyandry of one wife, makescubinage as the expression of the limitation strongly for the limitation of the family to thewhich differences in wealth and standards of small unit of parents and children. This, theliving especially impose upon normal social in- chief social nucleus of occidental Christian civi- tercourse proves that there has been no direct lization in the Middle Ages, in modern times development away from the family. still resists the dissolving forces brought to bear The waning of the authoritative elements in on it by the ever increasing separation and mar-the family is very probable in the light of eco- ket organization of the processes of production nomic changes which have occurred since the and consumption. advent of capitalistic society. Production for the The hostility shown to the family by somemarket instead of for the household tends to modern socialists is based chiefly on its allegedremove the center of production outside the character as the social and jurai upholder offamily -from the artisan's workshop to the fac- private property and consequently as an indi-tory, from a desk in the home to an office. The vidualistic if not antisocial body. Its more im-far more persistent union of living and working portant functions, however, are as the seat ofamong farming populations leads the family to parental authority and as the most tangible in- play a different role in rural society. Capitalistic carnation of the succession of generations. It haseconomy, furthermore, is not satisfied with the thus served as the most persistent factor in theproductive services of merely the father or some education of mankind for the national com-other leading and responsible member of the munity. household; it attracts the labor of all adults and The nature and development of the familyin many cases of the children. In Soviet Russia have deep roots in the physiological conditionsthe creation of the five -day working week, as a of human mating, reproduction and education.result of which different family members often The exceptional prolongation of infancy as ahave a different rotation of workdays and holi- state of helplessness and immaturity is one ofdays, is undermining the family in a manner the most distinctive features of mankind gener-comparable with that of industrialization in all ally. Through it the role of the parents as wellmodern civilized countries. The social and eco- as of other relatives in nourishing, protectingnomic changes of modern society are likewise and educating offspring is of the utmost impor-militating against the practise of domestic cook- tance for the individual and for society. How-ing as well as the family ritual of joint meals ever fixed the inherited traits and gifts of theconnected with it. German "house music" and individual may be, the child's necessary socialthe pastimes of the English drawing room are equipment is doubtless acquired only through agiving way more and more to amusements out- circumstantial and long continued process ofside the home that unite each generation instead artificial training and adaptation. The family has of the family. Although there have always been been the chief bearer and medium of this proc-powerful community centers competing with ess, which also vitalizes the relations betweenthe family, from the men's clubs of primitive the parents and in a wider sense between all thesocieties down to the political and social clubs members of a blood relationship, for they areand coffeehouses of modern Europe, it is not connected from generation to generation by theuntil recently that leisure time activities as well awareness of this social tradition. Parents andas work have been quite generally transferred relatives remain together not only because thefrom the family to the larger social units. Civic physical necessity that the female be protectedor community centers in the United States ap- and assisted under the peculiarly difficult con-pear to typify this transition. ditions of human pregnancy, childbirth and Changes in the family have been accelerated child rearing is transformed into social customsby movements growing out of modern indi- and into laws of responsibility but also becausevidualism and socialism. Feminism is one of of the mental and moral bonds arising fromthem; social work as a concept comprehensive common propagation. The delicate structure ofof all action for social reform is another. The this complicated net of relations has often beenprogram of the female emancipation movement lost sight of since modern individualism beganof the nineteenth century was directed only pleading for freedom from social limitations ofagainst the dominance of men in society at large choice in mating and, through increasing facili-and especially in the family. The movement, tation of divorce, from legally enforced familyhowever, while it improved the status of wives Family 69 and mothers and especially of the spinster, whoyielding to the resistance of the rising generation. had had a very precarious place in the family, Revolutionary socialism believed the family could not but generate criticism, aloofness and to have developed out of sexual promiscuity and hostility toward the traditional family. In theseeconomic communism. In reality the family as respects it was assisted by the extension of thethe last stronghold of the precapitalistic self - slogan of emancipation to include the position ofsufficient and patriarchal household offered a children in the family, through such books asmodel to communism, just as the family was Ellen Key's The Century of the Child (1900). the pattern on which such forms of common life The revolt of children against the old time fam- as the monasticism of the churches and the ily became particularly insistent as the accelera-brotherhood of the sects were molded. At pres- tion of social change before, during and afterent the European- American family is vigorous the World War united the younger generationsnot only in the Roman Catholic world, where against the authority and standards of the olderthe sacrament of holy orders is the counterpoise generations in the consciousness and organiza-of the sacrament of matrimony, but also in the tion of youth movements, which are especiallyProtestant denominations, where the family life prominent in Germany. of the clergy has been intended to set a stand- The emancipation of women and the manifoldard for the rest of the community. Even in Is- objectives of child welfare work will put the lamic and Buddhistic countries recent economic modern family to a definite trial. The more ra-changes have frequently led from polygyny to tional and specialized methods of education formonogamy. A conservative attitude with refer- societies that have an ever growing division ofence to the family is only partly due to the power labor were very early taken over from the familyof political and ecclesiastical domination and by the modern state and its subordinate corpo-consequently its doom was not pronounced by rations. This applied at first primarily to thethe transference of marriage and divorce from upper rather than the lower classes of society,clerical to secular jurisdiction. Modern French but with the advent of the industrial communi-jurisprudence, even since the restoration of di- ties public action was evoked by the neglect,vorce in 1884 (it had been abolished in 1816), distress and delinquency of the children of therecognizes the family as an institution instead lower classes. The real force of neo- Malthusian- of as a mere contract relationship. In spite of ism lies not in the rationalistic individualismthe disintegrating forces operating in capitalist of birth control which is provoking resistanceeconomy and mentality, counterforces toward on the part of churches and governments, butfamily coherence assist the common household; in its challenge to these institutions to providefor example, the voluntary labor and pecuniary economic and cultural living room for the pass-contributions of grown up children. In Europe ing prolific family. The system of social welfareduring and after the World War the voluntary promotion with its subdivisions of public edu-relief of relatives alleviated at least partially the cation, sanitation, housing, relief and recreationeconomic distress and dismemberment of the hems in and detracts from the social status andmiddle classes who were suffering under the authority of the family. But there are indicationsburden of inflation and taxation. that as the older and more revolutionary ideas Some of the earlier programs of social reform of emancipation from the family and of sub- relating to the family appear not to be applicable stitutes for it are followed and partly replacedto present day conditions. Contemporaneous by intensive efforts to combat its modern dis-with the development of lucrative female occu- eases and degenerations, its natural foundationspations the fight of the feminists for the limita- and positive beneficent influences will moretion of the husband's lordship and guardianship clearly reemerge. Such indications come in thein the family is being extended to prevent the shape of reactions of the working classes. Thehusband's appropriation of current earnings, superiority of their family spirit over that of awhich, whether a regime of separate marital large part of the so- called higher classes doesproperty exists or not, often takes place. Adop- not appear to be a mere residuum of an oldertion, which formerly functioned chiefly as a social order, but rather a persistent habit ofmeans of legitimizing children and of equalizing comradeship and cooperation which is funda-the burden of education between different social mental for the modern labor movement. Thereclasses, is now frequently being commercialized is also evidence that in Soviet Russia the originalas an instrument for the acquisition of titles or government policy of eradicating the family isother social good will. Marital status and the 7o Encyclopaedia of the Social Sciences number of children in the family, formerly pri- Growing up in New Guinea (New York 193o), and vate and individual responsibilities, are now Social Organization of Manua, Bernice P. Bishop Mu- seum, Bulletin 75 (Honululu 5930); Fortune, R. F., made the subjects of elaborate government poli- Sorcerers of Dobu (London 1931); Deacon, A. B., "The cies, especially in countries with a declining Regulation of Marriage in Ambrym" in Royal Anthro- birth rate. Prizes and tax reductions are awarded pological Institute of Great Britain and Ireland, to encourage childbearing; special taxes are oftenjournal, vol. lvii (1927) 325-42; Pitt- Rivers, G. H. L. levied on celibates. Public and private policies F., "Aua Island: Ethnographical and Sociological Features of a South Sea Pagan Society" in Royal of salary and wage fixing are now also partlyAnthropological Institute of Great Britain and Ire- determined by family status; family bonuses areland, journal, vol. lv (1925) 425-38; Grinnell, G. B., offered. Prostitution, which has been regarded The Cheyenne Indians, z vols. (New Haven 1923) vol. not without reason as a social by- product of i;Boas, Franz, "Das Verwandtschaftssystem der strict family regulation, can no longer be inter- Vandau" in Zeitschrift für Ethnologie, vol. liv (1922) 41 -51. preted merely as another obvious form of ex- FOR SOCIAL ASPECTS: Hobhouse, L. T., Morals in ploitation of the lower classes by the higher, forEvolution (4th ed. London 1923) ch. v; Lippert, J., it has cropped up in the very midst of the de-Die Geschichte der Familie (Stuttgart 1884); Engels, generate plutocracy of the capitalistic countries. F., Der Ursprung der Familie, des Privateigenthums Illegitimacy, which was regarded as the mostund des Staats (8th ed. Stuttgart 1900), tr. by E. Untermann (Chicago 1902); Müller -Lyer, F. C., Die unjust, if unavoidable, corollary of the legalFamilie (Munich 19Iz), tr. by F. W. Stella -Brown family, appears to be on the decline in Germany,(London 1931); Howard, G. E., A History of Matri- although legislation has been passed to softenmonial Institutions, 3 vols. (Chicago 5904); Parsons, its disadvantages. E. C., The Family (New York 5906); Thurnwald, R., "Familie" in Reallexikon der Vorgeschichte, vol.iii CARL BRINKMANN (Berlin 1925) p. 169 -80; Calhoun, A. W., Social His- See: SOCIAL ORGANIZATION; MARRIAGE; CONCUBINAGE; tory of the American Family, 3 vols. (Cleveland 1917- WOMAN, POSITION IN SOCIETY; MARITAL PROPERTY; 19); Groves, E. R., and Ogburn, W. F., American DIVORCE; DOMESTIC RELATIONS COURTS; ADOPTION; Marriage and Family Relationships (New York 1928); GUARDIANSHIP; ILLEGITIMACY; CHILD; FAMILY DE- Lefebvre, C., La famille en France dans le droit et SERTION AND NON - SUPPORT; FAMILY ALLOWANCES; dans les moeurs (Paris 192o); Bonnecase, J., La philoso- MOTHERS' PENSIONS; BIRTHS; BIRTH CONTROL; EDU- phie du Code Napoléon appliquée au droit de famille CATION; EDUCATION, PRIMITIVE; HOME OWNERSHIP; (Paris 1925); Elnett, E., Historic Origin and Social HOME ECONOMICS. Development of Family Life in Russia (New York 5926); Flügel, J. C., The Psycho -analytic Study of the Consult: FOR PRIMITIVE FAMILY: Briffault, R., The Family (2nd ed. London 5926); Niemeyer, A., Zur Mothers, 3 vols. (London 1927); Westermarck, E., TheStruktur der Familie (Berlin 1931); Reed, Ruth, The History of Human Marriage, 3 vols. (5th ed. LondonModern Family (New York 1929); Mowrer, E. R., 1921); Morgan, L. H., Systems of Consanguinity andFamily Disorganization (Chicago 1927); Family Life Affinity of the Human Family, Smithsonian Contribu- To -day, ed. by M. E. Rich (Boston 1928); Hamilton, tions to Knowledge, vol. xvii, art.ii (Washington G. V., A Research in Marriage (New York 1929); The 187o), and Ancient Society (New York 1877); Stern, New Generation, ed. by V. F. Calverton and S. D. B. J., Lewis Henry Morgan (Chicago 1931) p. 154-75;Schmalhausen (New York 1930); Das Familienleben Lowie, R. H., Primitive Society (New York 1920); in der Gegenwart, ed. by A. Salomon and M. Baum Radcliffe- Brown, A. R., "Three Tribes of Western (Berlin 193o). Australia" in Royal Anthropological Institute of Great Britain and Ireland, journal, vol. xliii (1913) 143-94, "A System of Notation for Relationships" in Man, vol. FAMILY ALLOWANCES. The system under xxx (1930) 121 -22, and "The Social Organization ofwhich the workers' wages are supplemented by Australian Tribes" in Oceania, vol. i (1930 -31) 34 -63, sums proportional to the size of the family is 206 -46, 322 -41, 426 -56; Malinowski, B., The Family known as the family allowance system. Such a among the Australian Aborigines, University of Lon- don, Monographs on Sociology, vol. ii (London 1913), system may replace or modify the system of The Father in Primitive Psychology (New York 5927), wage remuneration according to output by the Sex and Repression in Savage Society (London 1927), principle of remuneration according to need. and The Sexual Life of Savages in North - Western The supplementary payments may be made Melanesia (London 1929); Loeb, E. M., "Mentawei voluntarily by employers as individuals or in Social Organization" in American Anthrolopogist, n.s., vol. xxx (1928) 408 -33; Rattray, R. S., Ashanti (Ox- groups, compulsorily as contributions to state ford 1923) p. 21-85, 219 -37, and Religion and Art in systems or by the state itself entirely out of its Ashanti (Oxford 1927); Kroeber, A. L., Zuili Kin and revenues. Of the systems operating at present Clan, American Museum of Natural History, Anthro- in more than twenty countries and affecting pological Papers, vol. xviii (New York 1917) p. 39- over ten million workers those of continental 204;Gifford, E. W., Tongan Society, Bernice P. Bishop Museum, Bulletin 61 (Honolulu 1929); Mead, Europe covering workers in private industry are Margaret, Coming of Age in Samoa (New York 5928), mainly voluntary employers' schemes, with state Family-Family Allowances 71 paid allowances applying only to public em-ever, the practise declined in importance in ployees. private industry. The supplementary payment may be re- By 1921 in the Scandinavian countries and garded by the worker as an integral part of his in Switzerland it was almost entirely abandoned wages and therefore due to him as his right;by private industry but was continued in some this view isusually expressed incollectiveof the public services. In the central European agreements embodying family allowance sys-countries of Czechoslovakia, Austria, Poland tems such as exist in Germany. These payments and Germany, even though currency stabiliza- may, on the other hand, be considered as thetion was followed by a pronounced decline in right of the parent, particularly the mother inthe extent of application of the system, it was return for her services to the state in bringingcontinued by collective trade agreements in up her children, in which case the paymentvarious industries, particularly coal mining and should be made directly by the state. Althoughmetal trades and for clerical workers in com- the assumption by the state of the obligationmerce and banking. By 1929 family allowance thus to supplement wages involves a compara-clauses were included in collective agreements tively new and extremely controversial prin-covering about 3,000,000 workers in private in- ciple, the state has in other and various formsdustry in Germany. In all of these countries and assisted in the economic burden of maintainingin Italy, Holland, Latvia, Estonia, Hungary a family. A tax on bachelors and graduationand several other countries the system is in of taxation according to the number of theeffect for all or some of the persons employed taxpayers' dependents are negative forms; ain the public services. In France and Belgium positive form is the encouragement of largerit developed steadily during the decade after families by bountiesincountries such asthe war. In France in 193o approximately 4; France, where decline in population is viewedz6o,000 persons in private industry and public with concern; other public benefits in moneyservices, central and local, were employed in en- or in kind are mothers' pensions, additionalterprises which paid family allowances. In Bel- social insurance benefits based on the numbergium the corresponding number for 1929 was of dependents, free education, housing subsidiesover 800,000. In both these countries legislation and the like. requires employers engaged on state contracts to The allowance may be regarded not as a right pay family allowances. of the worker and an obligation of the employer An important post -war application of the but as an act of Christian social justice; thissystem has been in Australia and in New Zea- motive has somewhat influenced the introduc-land; in New South Wales particularly it de- tion of the scheme in countries influenced byveloped out of the difficulties arising in com- the Catholic social doctrines. Or the employerpulsory arbitration over the definition of a living may regard the payment of the allowance as awage and in distinguishing between the wages gift on his part and use it without consultingpaid to women, to unmarried men and to the workers as a form of welfare activity tomarried workers. Women's wages were influ- reduce turnover. enced by the fact that here as elsewhere women On the whole, the family allowance systemwere considered to be without dependents. is a post -war method of wage remunerationMoreover, there was considerable controversy in industrial establishments. Isolated instancesover the size of the "average family." In Aus- on a small scale existed in the factories of social tralia allowances paid directly out of state reve- Catholic employers in France prior to 1914.nues had been made to the lower paid grade of In agriculture supplementary allowances in kind federal officials since 1920. In New Zealand are a common practise of long standing in manyunder the act of 1926 allowances are paid for countries. The extensive application of the sys-each child under fifteen years from the third tem in industry developed from the practisechild onward in families of small incomes; in of meeting the wartime rise in prices by sup- 1928 -29 there were 3763 families benefiting and plementing wages with cost of living bonusesallowances totaled over £54,000. New South varying in amount according to family needs. Wales introduced a system in 1927 based on a This mitigated the worst effects of the fall intax on employers; in 1929 the scope of the sys- real wages during the period of inflation with-tem was extended, and in 193o the tax was out any admission of the necessity for adjustingreduced to 1 percent of the annual wage bill. basic wages. Subsequently to stabilization, how-Extension of the system to all states of the com- 72 Encyclopaedia of the Social Sciences monwealth with coordination between the basicances are paid only for children after the second wage and the allowances has been a burningor third; less frequently they are paid for the question for several years, but after a detailedfirst two, three or four children but not for investigation a majority report of the Royal Com- succeeding children. Often, especially in France, mission early in 1929 recommended against itsthe allowance for families with two or three general compulsory adoption. children represents an addition of 4 to 10 per- Since the advocates of the family allowancecent to the worker's wage. For some grades of urge it as a method of redistributing the amount public servants and banking officials, especially available for wages according to need, thusin Germany, the addition to the wage or salary eliminating the poverty which is serious amongis considerably higher, sometimes as much as workers with large families and low earnings20 to 3o percent. under a system of uniform wages, it is relevant To meet the problem of discrimination in to raise the question of what effect the systemfavor of the worker with few or no children has-first, on the total wage bill; second, on the equalization funds have been established in actual allowances paid to the married workers; France and Belgium. These are funds for the and third, on the possibility of discriminationpayment of allowances established by employers against the worker with a family. of a given industry or district into which each The payment of the allowances may involveemployer pays at regular intervals amounts an increase in the wage bill or perhaps merelybased on some criterion other than the number a redistribution so that those with large familiesof the children of his employees, the most usual receive a greater proportion, or it may be socriteria being the total wage bill and the total introduced that the total wage bill is reduced.number of workers. In 193o there were in The effect of the introduction is closely relatedFrance 232 funds covering 1,8zo,000 employees. to the sponsorship and administration of the In Belgium in 1929 there were 40 funds covering system. When the system was adopted during600,000 workers. The equalization fund system periods of severe inflation in certain Europeanhas also been tried in one or two other countries, countries, there was an actual reduction of theparticularly in Holland. total wage bill, which gave the employers a The question of the effect of family allow- competitive advantage over their rivals whoances on the birth rate is highly controversial. increased the wages of all their workers. Work- The fact that it is introduced in some countries ers with largefamiliesreceived allowancesas a definite incentive to that end and the belief which compensated for the increase in the costthat the allowance system of the poor law relief of living, but those with few dependents lagged of the nineteenth century resulted in an increase behind and consequently the total real income have led to opposition in those countries al- of the workers was reduced. This is less likelyready sufficiently populated. French and Bel- to occur in more normal times, especially ifgian statistics seem to show some tendency the fixing of scales and allowances is part oftoward an increase in the birth rate among a system of negotiation between trade unionsfamilies receiving allowances and a definite and employers or where the allowances arediminution in child mortality among families paid by the state. Recently in New Southcovered by equalization funds, probably as a Wales, where the state fund is created by com-result of the advice of doctors and visiting pulsory employers' contributions, there has been nurses, for which many funds provide. But acute controversy as to whether the adoption ofthis effect will vary not only with the size of the system should be accompanied by a reduc-allowances and the kind of scale but with the tion of the basic wage of all workers. extent to which family limitation is a conscious On the whole, the amounts of allowances,policy. the scales of which differ both in type and When the system was first introduced into amount, have rarely been adequate for the fullprivate industry in France and Belgium it was maintenance of the children for whom theystrongly opposed by the socialist unions, who have been paid. In France and Belgium theyconsidered it a means of withholding increases are usually paid only for children but, mainlyin wages which should have accompanied the because of the definite purpose of increasingrise in prices. There was also the fear of dividing the birth rate, on an ascending scale, i.e. withthe interests of the workers. But as the system a larger amount for each succeeding child.spread, the unions found it difficult to prevent Descending scales are rare. Sometimes allow-its acceptance by the rank and file. Neverthe- Family Allowances-Family Budgets 73 less, they demanded instead a compulsory stateReport, Proceedings and Evidence ... upon the Ques- system to be paid out of revenues or from jointtion of Granting Family Allowances As Ordered by contributions of employers and the state. At- the House on the r3th of Feb., 1929 (Ottawa 1929). tempts to make the payment of allowances compulsory for industry in France have beenFAMILY BUDGETS. Interest in family budg- unsuccessful. Similarly, in various central Euro- ets had its beginning in England at the close of pean countries the socialist unions oppose al-the eighteenth century and followed the indus- lowances on a privatebasis; the Christiantrial revolution across the channel to the conti- unions, however, are not hostile to the system. nent. Beginning as a study of poverty and social In Great Britain, where the subject isa distress, with an immediate aim of modifying or matter of considerable interest, most of thejustifying existing poor laws, schemes of taxation proposals are for the introduction of such aand the like, it gradually became wider and more system by the state. Although generally theobjective, especially after the development of British trade unions seem to prefer other meth- the science of index numbers, sought to include ods of compensating for inequalities in wage more social classes and today tries to make itself remuneration, the family endowment scheme a tool of general social investigation. has considerable support among the group The first attempts were rudimentary. Thus interested in the application of the principleArthur Young (Farmer's Letters, London 1767, of equal pay for equal work between men and3rd ed., 2 vols., 1771, especially Letter v), intent women. Those proponents of the scheme whoupon showing that the wages of the agricultural consider the matter one primarily of communitylaborer actually permitted a surplus over subsist- interest suggest payment out of state revenues.ence needs, drew up a budget based upon "the Joint contributions of employers, workers andactual outgoings" of four families. On the other the state are also proposed to create a form ofhand, the rector of Barkham, David Davies, col- social insurance against need, although the ap-lected a number of actual budgets from his own plicability of the term insurance is a matter ofand other parishes to prove that wages were in- doubt. There has been evidenced even less pub-sufficient and that "it is but little that ... the lic interest in the family allowance system inbelly can spare for the back" (The Case of La- Canada and the United States, where neitherbourers in Husbandry, London 1795). Sir Fred- trade unions nor employers have espoused theerick Eden, anxious to prove in the years of system. distress which attended the high price of corn J. H. RICHARDSON that increases in the poor rate were not neces- See: WAGES; POVERTY; FAMILY BUDGETS; SOCIAL IN- sary, gathered his returns on a large scale and SURANCE; MOTHERS' PENSIONS; BIRTHS. with the beginnings of a scientific technique. Consult: Vibart, Hugh H. R., Family Allowances in He collected more than one hundred estimated Practice (London 1926); United States, Bureau of La- bor Statistics, "Family Allowances in Foreign Coun- budgets from many English counties, sending tries" by Mary T. Waggaman, Bulletin, no. 401 (1926); about at his own expense "a remarkably faithful International Labour Office, Family Allowances (Ge-and intelligent person" to obtain the "exact in- neva 1924); "Family Allowance System: a Survey formation" according toa schedule. Eden's of Recent Developments" in International Labour Review, vol.xxi (193o) 395 -416; Cohen,J.L., schedule in addition to a great deal of miscella- Family Income Insurance (London 1926); Douglas, neous information called for the "usual diet of Paul H., Wages and the Family (Chicago 1925);labourers" and "earnings and expenses of the Rathbone, Eleanor F., The Disinherited Family (3rd labourer's family for a year: distinguishing the ed. London 1927); Gray, Alexander, Family Endow- number and ages of the family and the price ment, a Critical Analysis (London 1927); Bonvoisin, G., and Maignan, G., Allocations familiales et caissesand quantity of the articles of consumption." de compensation (Paris 1930); Leener, G. de, Les The most significant pioneer contribution, caisses de compensation des allocations familiales en however, and one which influenced many sub- Belgique (Brussels 1929); Clark, M. R., "Organizedsequent budget studies both extensive and in- Labor and the Family Allowance System in France" in Journal of Political Economy, vol. xxxix (1931) 526- tensive, was that made by the French engineer 37; Great Britain, Trades Union Congress and Labour Le Play, who after twenty years' study of indi- Party, Joint Committee, Family Allowances (London vidual working class families scattered over many 193o); Dieudé, Charles, Les allocations familialesEuropean countries published the budgets of (Louvain 1929); Fallon, Valère, Les allocations famili- thirty -six of them in his monumental Les ouvriers ales en Belgique et en France (Louvain 1926); Canada, Parliament, House of Commons, Select Standing européens (Paris 1855). Le Play carefully selected Committee on Industrial and International Relations, his families after consultation with local clerical, 74 Encyclopaedia of the Social Sciences educational and other authorities so that theyschedules were returned but only 199 later might be "typical" and then lived with eachproved usable. Ducpétiaux' study was thus de- himself for months at a time. He wished to dis-cidedly limited. Moreover, he himself gave his cover what were the conditions that made for results in francs only, content to show how much the famille souche and what were some of thepoorer was the Belgian worker's standard than factors in its disintegration. Hence his limitation that of the soldier, sailor or even prisoner. to a purely monographic method and his em- It remained for the German statistician Ernst phasis upon the whole configuration of eachEngel, a disciple of Quételet and originally of family's economic life -its treasured possessionsLe Play, to evolve a statistical basis which would quite as much as its income, its working habitsrender comparable budget studies made at dif- and the collaboration of the members with oneferent times and places, despite variations in the another as well as their physical consumption.composition of the family in age, sex and num- He believed that every act of a family's life canber. In 1857 he had reduced 199 of Ducpétiaux' be expressed in an income or an outgo, andbudgets and thirty -six of Le Play's to a per- each item of his budgets was most carefullycentage and per capita basis. From his results, computed as to quantity and price. In the secondwhich he confirmed by later investigations, he edition of his work (6 vols., Paris 1877 -79) Lededuced the law of consumption which bears Play added twenty -one additional budgets. Inhis name: the greater the income per family, the the meanwhile the Société Internationale des smaller the proportion spent on bare subsistence Études Pratiques d'Économie, founded by himnecessities; or, stated somewhat more fully, as in 1856, pursued similar studies, publishing the family income increases, a smaller percentage family monographs periodically and serving asis spent on food and the expenditure for clothing the center for European students who later car- remains approximately the same, as does the ried on the work begun by Le Play. In 1890percentage for rent, fuel and light, whereas a appeared the "Budgets comparées de cent mono - constantly increasing percentage is expended for graphies de familles" (in Institut Internationaleeducation, health and other "cultural" items. At de Statistique, Bulletin, vol. v, 189o, p. 1 -157), this time he was content to differentiate between in which two of his disciples attempted to treat children and adults, as Ducpétiaux and others had comparatively a hundred of the highly diversedone before him, by merely calling a child equiv- budgets amassed by Le Play and his school. alent to half an adult. Somewhat later as chief of Meanwhile the first of the extensive govern-the Prussian statistical bureau interested in cal- mental budget studies, instigated by admirers ofculating the incidence of Bismarck's social in- Eden, had been begun on the continent. Follow-surance program Engel sought a more exact scale ing the years of distress, 185o and 1851, theof measurement. In Der Werth des Menschen Belgian central statistical bureau, of which Qué-(Berlin 1883) he drew up a scale for measuring telet was a member, hastily improvised a study family composition in terms of consumption for the consideration of the first internationalunits, Gliedeinheiten, in which he took as his statistical congress held in 1853, for which itunit (later named the "quet" in honor of Qué- secured the auspices of the government and thetelet) the hypothetical costs of the child at birth direction of Édouard Ducpétiaux, whose reportand on the basis of Quételet's height -weight appeared in the same year as did Le Play's work tables increased these costs by annual incre- (Budgets économiques des classes ouvrières, Brus- ments of o.1 up to the age of twenty for women sels 1855). In order to make its data comparable, and twenty -five for men, at which times they the bureau had sought what it considered therank at 3.o and 3.5 respectively. This quet scale, typical family -a man, wife and four children,which he employed in further studies, is still two wage earning, aged sixteen and twelve, and widely used on the continent (as in the Swiss two dependent, aged six and two. Its schedules, survey of 1912, the Hungarian of 1917 and the distributed through the medium of local statisti- Belgian of 1921). Engel believed in combining cal bureaus, attempted to distinguish betweenwith the extensive method the technique of the "material necessities," "cultural goods" and carefully supervised account book (see Das Rech- "luxuries and waste" and required quantity asnungsbuch der Hausfrau, Berlin 188z). The most well as cost estimates. It demanded that in each successful continental surveys of later years have locality families be selected at three economicfollowed this plan. levels: the dependent, the barely self- supporting Equipped with the tools of comparison pro- and those with a little saving. Over a thousandvided by Engel, European governmental statis- Family Budgets 75 tical bureaus undertook a number of extensiveearners' Budgets, New York 1907). Although budget surveys in the eighties and nineties, most her survey was in the main extensive, Mrs. More of which were, however, rather perfunctory. An attempted some approach to the monographic outstanding exception was the study undertaken method of Le Play through the oft repeated by the Danish governmental statistician Marcus visits of charity visitors, nurses, teachers, clergy, Rubin in 1897. Unofficial investigators, on theetc. for the period of a year or more. Comparing other hand, confined themselves for the mosther work with previous American studies Mrs. part to limited monographic studies in the Le More showed some modifications of Engel's law. Play manner. In Germany especially the gather-An even more valuable study was that made by ing of individual household accounts went onR. C. Chapin for the Russell Sage Foundation apace. The leaders of the movement were Gott-of New York (The Standard of Living among lieb Schnapper -Arndt of Germany and Carl Workingmen's Families in New York City, New Landolt of Switzerland. York 1909). Chapin placed more reliance upon In the United States unusually extensive gov-the single interview, but combined it with an ernment surveys were begun at an early dateunusually full and well organized schedule and (1874 -75) by Carroll D. Wright, then head ofworked up his material in excellent comparative the Massachusetts Bureau of Statistics of Labor. form. Later as federal commissioner of labor in his Later American studies of living standards annual report for 1891 Wright, who was appar- have added further refinements of computation. ently ignorant of the quet scale, developed oneAn unusually accurate study was that under- of his own, avowedly arbitrary, to represent both taken by the Philadelphia Bureau of Municipal food and general consumption at different ages.Research under the direction of William C. In the surveys made by the United States Bu-Beyer (Workingmen's Standard of Living in Phil- reau of Labor in 1890, 1891 and 19ot Wrightadelphia, New York 1919) in the midst of the emphasized, as had Ducpétiaux, the "normal"wartime rise of prices. It not only successfully family, but he reduced it to an average of threecombined the agent schedule method with the children (one to five allowed), none of them check up furnished by supervised account books, wage earning. These surveys, the last of whichbut it succeeded in separating out the quantita- covered more than z5,000 families, over 11,000tively expressible material in its returns in the of which were "normal," were all carried on bysimplest form for future recalculation. In its field agents using the single interview method. final quantity cost standard budget this "speci- Early in the twentieth century a number offied" portion amounted to four fifths of the total useful studies of the poverty line and aboveexpenditure. The remaining "unspecified" fifth were undertaken by various non -governmentalwas then assumed to vary in price in the same agencies in England and America. Outstandingproportion as the specified. among these was the work of B. S. Rowntree of In Europe today budget study has progressed England, who, beginning with his survey offurthest in Germany, Belgium, Holland and the York (Poverty, A Study of Town Life, LondonScandinavian countries. With the one outstand- 1901) sought to follow out and deepen the linesing exception of the study by the Institut Solvay laid down by Booth (Labour and Life of thein Belgium (Slosse, A., and Waxweiler, E., En- People, 3 vols., London 1889 -91) a decade ear-quête sur l'alimentation de zoóó ouvriers belges, lier. Whereas Booth in the first volume of hisBrussels 1910) the surveys have all been under- survey had incidentally used some budget mate- taken by national or municipal authorities. In rial of an outline sort, Rowntree stressed it andall of them actual family accounts were secured, began a system, continued in his subsequentrunning for from two weeks to two years and publications, of introducing detailed actual ascarefully supervised; in many cases the studies over against standard budgets, carefully gath- included under separate classification lower mid- ered by field agents, in the body of his work. Indle class groups as well as wage earners. the United States Mrs. L. B. More working Outstanding among this continental group through the medium of a settlement house madehave been the German studies of 1907 -08 and a survey of the Greenwich section of New York,1927 -28. They not only covered an unusually covering some Zoo families, by supervised sched- large number of cases with a high degree of ules, which were supplemented by a number ofaccuracy by the long time account book method, more or less successful actual household ac-but they included two significant groups, public counts kept for brief periods by families (Wage- officials and salaried employees (the earlier study 76 Encyclopaedia of the Social Sciences included school teachers), and gave their resultsstatisticians in Russia as a means of casting light in comparative tables arranged carefully for eachon the condition of the liberated peasantry (see group by size of family as well as by incomeespecially the work of F. A. Shcherbina, Kresti- class. In England, on the other hand, the methodanskie budgeti, St. Petersburg 1900); and various of collecting returns appears to have been rela-continental countries had made extensive sur- tively casual. The British Board of Trade evenveys. In the United States, however, it was not in its extensive 1904 and 1918 surveys dependeduntil 1922 that the Department of Agriculture largely upon unsupervised answers to question-in conjunction with a number of land grant naires, which were distributed by friendly soci-colleges, particularly Minnesota and Iowa, be- eties, secretaries of trade unions and the like.gan to make a series of farm budget studies, In Ireland the distribution was by school teach-highly suggestive although of an uneven statis- ers and in Australia apparently largely by mail;tical value (see Kirkpatrick, E. L., The Farmer's as a result only a small proportion of the returns Standard of Living, New York 1929). Agricul- were usable. tural county agents were used to supplement The period of the World War brought aboutthe work of the special budget personnel. Most an extensive movement for budget surveys inof the studies divided the families according to all the leading countries to establish cost of liv-their property status, as owners, tenants or share ing indices, followed in the immediate post -war croppers, but in a survey of Virginia urban and period by a widespread move to resurvey (seefarm communities the division was kept on a COST OF LIVING). Not only England and thepurely income basis for the sake of compara- continent, the United States and Canada, Aus- bility. tralia and New Zealand (where budgets of one The accounting side of farm budget study sort or another had long been used for wagepresents special problems. Here the family is arbitration), but Japan, India and the Dutchboth producer and consumer, and the budget East Indies began to publish budget data. Thegatherer has not only to disentangle net income 1918 -19 survey by the United States Bureau offrom production costs but to allocate to the lat- Labor Statistics of over 12,000 families was es-ter a proportion of what would ordinarily be pecially valuable. The schedules were greatlyaccounted household expenditure (e.g. the tele- elaborated, handled by experienced agents andphone, the automobile). On the other hand, checked to within 5 percent accuracy or elsehome grown food although in large part a by- discarded. The survey, however, continued toproduct of production for the market takes the concentrate upon one class only, the "typical"place of retail purchases that would otherwise industrial workers in each selected community.have to be made and so is usually assessed at Middle class and rural families were not touched.its retail purchase price. Some experimental Indeed the only noteworthy attempt so far inwork has been done in the farm surveys to esti- America to deal with middle class budgets in-mate the relative value of the agent schedule as ductively has been by certain private groups inover against the account book method. Here as university centers, which have undertaken smallelsewhere in American experience the weight of scale studies of professors' expenditures. Otherevidence is in favor of the interview method lesser studies by the bureau and by private agen-when properly applied. Short time supervised cies, especially by trade unions, have dealt withaccounts can then be used as a check up. The special occupational groups. Special surveys forcorrect technique in the case of farm families of health purposes have also been undertaken. Ancourse requires an interview with the farm oper- extremely exact as well as extensive study wasator as well as with the housewife. The schedule that made by the United States Public Healthmust be extremely detailed. Service in 1916 -17 in seven South Carolina mill In attempting to set up "standard" budgets villages; it covered 4000 persons and had as itsfor any group the statistician is confronted by point of departure the question of the relationthis dilemma: shall he simply portray "average" of income to pellagra incidence (United States,existing conditions, or shall he cut loose from Treasury Department, Public Health Reports,those moorings here and there to portray con- vol. xxxv, pt. ii, 1920, p. 2829 -46). ditions as he would have them -e.g. such as One of the latest steps in American post -warwould be required for good health? Usually the development has been the beginning of the studyresult is a compromise with its direction deter- of farm family budgets. Intensive study of farmmined by the purpose for which the budget is families had long ago been developed by zemstvodrawn. Thus during the war, with labor greatly Family Budgets 77 in demand and the government pledged to pre- In the realm of expenditures other than food serve industrial peace, the content of Americanthe one outstanding scale arrived at inductively standards was distinctly scaled up. Standardsis that of Sydenstricker and King, devised in originally considered "subsistence plus" werethe course of the United States Public Health now accounted merely "subsistence," while be- Service study in 1916 -17. Seeking to classify low them came "poverty" and above, "healththe population of cotton mill villages by per and decency" and even "comfort" -the lastcapita income -the only significant standard for a conception new to the cost of living world.health purposes -and having to take all the pop- Government agencies actually drew ideal budg-ulation as it came they first built up a food ets adjusted to these levels (see STANDARDS OFexpenditure scale in adult male units. This so- LIVING). called "ammain" scale differed slightly from the A constantly recurring problem in budgetAtwater scale, particularly in the case of aged study is that of devising the best unit of meas-persons. They then segregated the major items urement of individual consumption by sex andof individual expenditure other than food - age. Engel's quet scale was abandoned in Ger-clothing, education, amusements, health, etc. - many as long ago as the 1907 -08 study, for itby sex and age of the individuals and found this was considered, when applied to items otherscale to run far lower for women, children and than foods, to run too high for children. Anthe aged than the corresponding food scale. arbitrary scale of sharper inclination was there-Finally, combining the two, they secured a gen- fore chosen to combine the hypothetical effects eral "adult male maintenance," or "ammain," of food and other costs. In the 1927 -28 study scale that still fell off far more sharply than the this was in turn abandoned in favor of two sepa- Atwater for age and sex. In less poverty stricken rate scales -a food scale and another, far lowercommunities these differences, particularly in one for other items. In the United States theregard to women, would certainly prove less even more arbitrary Wright scale continued tomarked. be used by the Bureau of Labor Statistics for Once a series of satisfactory scales for suc- general purposes, although for food require-cessive income levels has been built up, it should ments it had early been replaced here as in Eng-prove possible to leave behind the restricted land by the Atwater scale. The latter, drawn upfield of the "normal" family and to test out the in 1895 by W. O. Atwater, was based on theexpenditures of actual family groups as they number of calories found to be required at dif-occur in the general population -young wage ferent periods of physical development andearners and aged dependents included. More- under varying requirements of muscular activity over, it should be possible to trace out induc- in varying types of occupation. Still another,tively what Engel and Rowntree long ago sug- simpler scale of food requirements was that de-gested, the moving costs of a family from the vised by Professor Lusk of Cornell in 1907,birth to the death of its members. adopted by the Inter -Allied Scientific Food DOROTHY W. DOUGLAS Commission and used in the British family See: COST OF LIVING; STANDARDS OF LIVING; CON- budget inquiry of 1918, the Egyptian inquiry of SUMPTION; HOME ECONOMICS; POVERTY; MINIMUM 192o and the Bombay inquiries of 1921 -22. All WAGE; FAMILY ALLOWANCES; SOCIAL SURVEYS; LA- these later scales take the adult male as the unit BOR, GOVERNMENT SERVICES FOR. of consumption. Consult: Russell Sage Foundation, Cost and Standard The use of different requirement scales natu-of Living, Bulletin no. 90 (New York 5928), a bibli- ography for 1923 -28; Winslow, E. A., "Contributions rally produces widely varying results. Thus the from Budget Studies to the Construction of a Statis- investigation of the Agricultural Wages Board tical Index of the Purchasing Power of Consumers in in Great Britain in 1919 disclosed that its "stand-the United States" in Berridge, W. A., and others, ard" family of five contained 3.8 units when Purchasing Power of the Consumer (Chicago 1925) bk. ii, containing also a bibliography of American and calculated according to a modified Atwater scale foreign material; International Labour Office, Meth- and 4.4 units under the scale of the Inter -Allied ods of Conducting Family Budget Enquiries, Studies Relief Commission. A more recent attempt to and Reports, ser. N, no. 9 (Geneva 5926), containing improve on these scales of food requirements is complete list of governmental surveys after 1900; that devised by Edith Hawley ( "Dietary Scales"Fourth International Conference of Labour Statis- ticians" in International Labour Review, vol. xxiv and Standards for Measuring a Family's Nutri- (1931) 1 -23; League of Nations, International Eco- tive Needs," United States, Department of Ag- nomic Conference, Report on the Standard of Living riculture, Technical Bulletin, no. 8, 1927). of Workers in Various Countries, C.E.I. 26 (Geneva 78 Encyclopaedia of the Social Sciences 1926), especially pt. iii; National Industrial Confer- desertion is largely a phenomenon found among ence Board, The Cost of Living an Foreign Countries the low income groups, not necessarily because (New York 1927); "Ergebnisse der amtlichen Er- hebungen von Wirtschaftsrechnungen vom Jahredesertion as such is mainly due to economic 1927 -28" in Wirtschaft und Statistik, vol. ix (1929) pressure, but more probably because men in 818 -24, 902 -07, 978 -82, and vol. x (1930) 38 -43, this group choose the informal freedom of de- 78 -81,170 -78, 266 -71, 310 -18; Suhr, Otto, Die sertion rather than the more conclusive and Lebensaushaltung der Angestellten (Berlin 1928); Al- expensive methods of formal separation or di- brecht, Gerhard, Haushaltungsstatistik (Berlin 1912); Porte, Marcel, "Budgets de familles et consomma-vorce when family discord has reached the tions privées" in Université de Grenoble, Annales, breaking point. The extent to which such deser- vol. xxiv (1912) 459-80, vol. xxv (1912) 201 -S5; Bow - tion finally culminates in legal separation or ley, A. L., and Hogg, M. H., Has Poverty Diminished? divorce varies according to a number of factors, (London 1925); United States, Bureau of Labor Sta- tistics, "Cost of Living in the United States," Bulle- among them the provisions in the various states tin, no. 357 (1924); Houghteling, Leila, The Incomeregarding desertion as a cause. and Standard of Living of Unskilled Laborers in Chi- There is little accurate information as to the cago (Chicago 1927); National Industrial Conference extent of desertion in the entire population. Board, "Family Budgets of American Wage- earnersMany deserted wives do not resort to the courts -A Critical Analysis," Research Report, no. 41 (New York 1921); Sydenstricker, Edgar, and King, W. I., or to charitable agencies and those who do "The Classification of the Population According tofrequently conceal their true state by calling Income" in Journal of Political Economy, vol. xxix themselves widows. On the other hand, the (1921) 571 -94; Gee, Wilson, and Stauffer, W. H.,statistics of desertion and non -support of wives Rural and Urban Living Standards in Virginia, Uni- as a basis for divorce are no accurate index, as versity of Virginia, Institute for Research in the Social Sciences (University 1929); Zimmerman, Carle C., this allegation may be a convenient cloak for "Incomes and Expenditures of Minnesota Farm and other reasons. City Families, 1927 -28," University of Minnesota, Several studies have been made of all aspects Agricultural Experiment Station, Bulletin, no. 255of desertion in the United States by the agen- (St. Paul 1929); University of California, I- Ieller Com- mittee for Research in Social Economics, Cost of cies which over long periods found that the Living Studies, nos. i -iv (Berkeley 1928 -31); Russia, burden of caring for deserted families formed Tzentral noye Statishcheskoye Upravleniye, Kresti- a considerable percentage of their entire task. anskie budzheti 1922 -23 i 1923 -24 (Peasant budgets Early attempts to study the causes of desertion 1922 -23 and 1923-24), 3 vols. (Moscow 5926-27); are numerous and there exist elaborate tables Burma, Labour Statistics Bureau, Report of an En-which attempt to fix the preponderance of one quiry into Standard and Cost of Living of the Working cause or another. In later years such attempts Classes in Rangoon (Rangoon, Burma 1928); Bombay (Presidency), Labour Office, Report on an Enquirywere abandoned. In their stead were listed the into Middle Class Family Budgets in Bombay Citycausal factors found or explanations of desertion (Bombay 1928). given by the clients themselves, and with the more searching study of the family as a social FAMILY DESERTION AND NON -SUP-institution desertion has been recognized as only PORT. Family desertion as a problem of theone of the possible results of behavior patterns court and of the social agency is generallywhich relate to the much wider problem of accepted to mean desertion by a husband offamily discord and disorganization. his wife or by a father of his children in cases From these studies it is safe to say, however, in which the question of support arises. Thethat desertion, like other manifestations of fam- two aspects are always linked together, so thatily disorganization which come to public atten- cases of non -support under separation or di-tion, is preponderantly a problem of the city. vorce agreements or decisions which do notThis seems true as well of countries other than involve desertion are rarely included in thethe United States. Desertion increases with the term. On the other hand, desertion by the wifeincreased mobility of the head of the family or mother or even desertion of aged parentsas a wage earner. Although it is not markedly is excluded because of the absence of the ele- affected by racial origins or by religious affilia- ment of support. In most countries there is ations, in this as in other types of family discord distinction between the rights of legitimate and"mixed marriages" in either of these particulars illegitimate children to support, and familyhave been shown to yield a high rate of deser- desertion usually covers only the former. tion and divorce. In one study recently made In so far as it becomes known to courts ofin Boston it was disclosed that contrary to the domestic relations and social agencies familypopular impression the native born population Family Budgets--Family Desertion and Non -Support 79 formed the largest single group of disorganizedilies dealt with in non -support or desertion families; these figures do not, however, indicatecases involving children between the ages of ten the race of the native born group. In the immi-and twenty 230, or 17 percent, had one or more grant group desertions are probably high inchildren known to the municipal court at some comparison to the rate of desertion in the "oldtime because of delinquency or crime. Of a group country "; the quicker adjustment of the hus- of 284 families with children to which divorces band to certain American manners and stand-were granted in Philadelphia during a period in ards is often a cause for discord, while, on the1923 and 1924 selected for study 13 percent other hand, American standards of femininewere known to the municipal court almost en- freedom are slow to be accepted by immigranttirely through its domestic relations division husbands. Families left behind in the "oldduring the year in which applications for divorce country" arefrequently deserted, and thiswere filed; and 47 percent had been known in causes special legal and social difficulties. that year or previously. Conclusions as to the effect of economic Figures obtained by the United States Chil- factors must be similarly qualified. For instance, dren's Bureau showed that of 5286 families dealt while it is true that the cases which come towith in Cincinnati in 1923 by the courts and by the attention of the court and social agency fallthe Ohio Humane Society (with or without court in low income groups, a positive correlationaction in the municipal or other court) covering between desertion and periods of economiccases of desertion, divorce, non -support and de- depression is hard to establish and the figureslinquency 13 percent involved more than one of of the (Jewish) National Desertion Bureau showthese types of case during the year. Among the that in neither 1914 nor 1921 was there anchildren's cases dependency and neglect were unusual increase in new cases. The period ofmost likely to occur in combination with other depression did bring additional applications fortypes of case; 41 percent of the families known relief from self- supporting deserted wives who in dependency or neglect cases were known also had previously needed no assistance, but, onin cases of other types, usually non -support or the other hand, in several instances, particularlydesertion or divorce; 28 percent of the families where adultery had been the cause of desertion,dealt with in cases of non -support or desertion unemployment and hard times caused a returnwere dealt with in cases of other types also -for of the husband to the home. the most part children's cases or divorce cases; More positive statements can be made ofand 26 percent of the families dealt with in di- financial and social costs to the communityvorce actions were known in cases of other types, which result from desertion. The studies madechiefly non -support or desertion. show a surprising uniformity in the ratio of Juvenile court statistics compiled by the Chil- deserted families to the entire load of dependentdren's Bureau for children dealt with in de- families carried by family welfare agencies.pendency and neglect cases by fifty -three courts Figures presented by E. E. Eubank in A Studyduring 1928 show that only 28 percent of the of Family Desertion (Chicago 1916) show thatchildren were living with their two legitimate up to that year they formed about io percentparents. Not only the lack of proper support of the burden. According to the more recentand care but the failure of parental companion- Boston study, covering the period from 1918ship and guidance, the shocks of family discord, to 1928, the load still remains fairly constant.the fear induced by abandonment, are here The latest attempt to estimate the financial costapparent. of desertion to the social agencies of a city was The various family welfare agencies inter- made in Cleveland in 1929, when a carefulested in the problem in the United States have statistical study was made of all deserted fam-devoted considerable attention to its remedial ilies coming under the care of social and healthaspects as well as to the matter of immediate agencies, courts and institutions during a six -monetary relief. As a result of their efforts month period. The total cost of assistance ren-considerable progress has been made in improv- dered, including direct relief, cost of serviceing the laws on desertion and non -support. and institutional care for 533 families, wasProbably because it represented a startling de- estimated at $158,000 annually. parture from previously maintained family Of greater significance is the relation betweenstandards in their group and because of the non -support or desertion and juvenile delin-complexities involved in desertion among im- quency. Of a group of 1323 Philadelphia fam-migrants the Jewish social agencies were among 8o Encyclopaedia of the Social Sciences the first to institute studies of the problem.it may be necessary to proceed on the more As a result of persistent study and agitation byserious charge. the National Conference of Jewish Charities Other discrepancies are found in many states the National Desertion Bureau was established on such questions as the length of time that in 1919. It has prosecuted vigorously the workmust elapse before the wife may take out a of locating and apprehending deserters, pre-warrant, the right of a childless wife to sue for venting fraudulent actions for divorce and rep-support, the status of the pregnant wife and resenting in this country the interest of Jewishthe child in utero as to support. There is great wives and children abandoned in Europe. Itvariance among the states in their willingness handles about 2500 cases annually. William H.to extradite for desertion and much confusion Baldwin, a member of the Board of Managers as to whether the wife may sue in the state of the Washington, D. C., Associated Charities,where she happens to be, in the state where her between 1905 and 1921 published a number ofhusband is or in the state where the desertion pamphlets dealing with various phases of non-took place, if these happen to be different. In support law, particularly with the injusticessome states no satisfactory court decision has and inequalities in the interstate and interna-ever been rendered as to whether desertion is tional extradition laws and treaties and withor is not a "continuing offense "; that is, whether the desirability of making allowances for thea man who has been arrested and has served support of the wives and children of men im-a sentence for abandonment can be rearrested prisoned for non -support. after release if he persists in failure to support. The common law recognizes only the civil There isalso wide variation in the legal right of tradesmen to recover from the husbandtreatment of cases of desertion and in the kind debts contracted by the wife for reasonableof courts to which they are assigned. The ordi- living expenses and does not recognize a rightnary procedure, when court action is to be by the wife to sue her husband for failure toresorted to, is for the wife to make the com- support her and her children. The statutes ofplaint. In some states a social agency which the several states do recognize this right buthas assisted her is allowed to enter the com- appear with some exceptions to be based onplaint. States which permit mothers' pensions the premise that the abandoned wife and chil-to be paid to deserted wives usually insist that dren are "likely to become public charges,"the wife appear as complainant as a prior con- although in no case is it demanded that theydition to granting the allowance. If the husband shall have become such before suit for supportis in the city he is summoned to appear; a can be started. warrant for his arrest is not usually issued unless Nevertheless, there is still a great variancehe fails to answer summons or has left the in the laws of the various states as to the degreejurisdiction. If his whereabouts are not pre- of criminality involved in desertion or non-cisely known, most enforcement officers will support and even more variability in their ad-customarily take no steps toward his apprehen- ministration. In 1910 the Commissioners onsion, placing upon the woman or the social Uniform State Laws developed and recom-agencies interested in her the task of locating mended for adoption by the several states ahim before steps are taken for his arrest. There Uniform Desertion and Non -Support Law.is often further official inertia to be overcome This has been adopted in part by several states,on the ground that it will cost the state too but its terms are necessarily quite general andmuch to send for him, or that if convicted it does not make a clear pronouncement onand sentenced he will be of no more use to his several troublesome points; for instance, whetherfamily than if he remains at large. This argu- desertion should be classed as a misdemeanor orment is of less avail in states which have a a felony. provision for payment to the families of im- The decision whether a man shall be prose-prisoned men of sums earned or saved during cuted for non -support, which is usually classedthe period of their sentence. When released as a misdemeanor, or for child abandonment,on probation the man is often placed under which is usually a felony, may rest on the ex-court order to pay an inadequate amount as traneous consideration of whether he has or hasalimony toward his family's support, on the not left the jurisdiction of the state. Althoughground that if forced to give up too much of the offense would seem of equal magnitude inhis earnings he will break probation and leave either case, in order to obtain his extraditionthe jurisdiction. Pressure is often exerted in Family Desertion and Non -Support - Family Law 8i courts to bring about a reconciliation as thebranch of private law. An independent system quickest and easiest way of disposing of theof family law does not exist. The individual and case. Experience has taught social workers thatnot the family is the basic unit of the legal order. these coercive reconciliations are not likely toIn truth, however, the continuous operation of be durable. All this has discouraged socialthe forces of individualism in western society agencies from relying on legal procedure excepthas produced a system of family law which is where a good court of domestic relations is inwithout any consistency of conception, and it is operation. now private law, now public law. The modern The problem of desertion is an extremelyfamily thus has no organic law. However much difficult one for the social agencies. A highits legal constitution is intended to realize indi- percentage of deserters (39 in the Boston study) vidualistic ends, the interest of the state always cannot be located; a very small percentage sup- remains paramount. port their families. The necessity for relief is In a sense there never existed a family law. likely to begin soon after desertion -in theThe ancient patriarchal family, which in the Boston study referred to, four out of five fam- historical period may be considered the general ilies deserted had to seek aid before the end oftype of family among the Indo- European races the first year -and it has frequently to be con- in the West, was a law unto itself. Family law tinued over long periods. existed only in the sense in which international JOANNA C. COLCORD law does today. It was an interfamily law. The political organization embraced the families, but See: FAMILY; DIVORCE; DOMESTIC RELATIONS COURTS; WOMAN, POSITION IN SOCIETY; CHILD; JUVENILE DE- the head of each was sovereign. The pater- LINQUENCY; POVERTY; SOCIAL WORK. familias was a benevolent despot. He was the Consult: Mowrer, Ernest R., Family Disorganization priest of the family cult. So exclusive was the (Chicago 1927); Richmond, Mary E., "Married Vaga- family bond that the solidarity of the family was bonds" in The Long View (New York 193o) p. 69-recognized as the basis of the criminal law. The 76; Eubank, E. E., A Study of Family Desertionearly patriarchal family was not simply a bio- (Chicago 1916); Colcord, J. C., Broken Homes (New York 1919); Brandt, Lilian, Five Hundred and Sev-logical family composed of husband, wife and enty-four Deserters and Their Families (New Yorkchildren, but a larger multiple family or family 1905); Smith, Zilpha D., Deserted Wives and Desert- community variously called domus, Hausgenos- ing Husbands (Boston 1901); Zunser, Charles, "Family senschaft, maisonnée or household, in which were Desertion" in American Academy of Political and Social Science, Annals, vol. cxlv (5929) pt. i, p. 98-included the married children of the head to- 104; National Conference of Jewish Charities, Family gether with their descendants and domestic Desertion (New York 1912); Bucklin, D. R., "Studies slaves. Such a group represented a defensive and of Breakdowns in Family Incomes; Broken Fam- offensive alliance. ilies" in Family, vol. xi (193o -31) 3 -13; Patterson, In both the Latin and Germanic languages S. H., Family Desertion and Non -Support: a Study of Court Cases in Philadelphia (Whittier, Cal. 1922); the supreme authority of the house lord was Baldwin, W. H., "The Present Status of Familyexpressed in terms of the most obvious symbol Desertion and Non -Support Laws" in National Con- of power, the hand. The Roman manus and the ference of Charities and Corrections, Proceedings,Germanic munt -later Latinized into mundium vol. xxxviii (191 I) 406 -13, and "The Canadian Ex- tradition Treaty and Family Deserters" in Journal-were the basic concepts of family law and of Criminal Law and Criminology, vol. xii (1921 -22) custom. They embraced not only the descend- pt.ii,199 -212; United States, Children's Bureau,ants but all members of the household. In "Child, Family and Court" by B. Flexner and others, Roman law the term manus later became re- Publication, no.193 (1929), and "Juvenile Court stricted to the power over the wife, and patria Statistics, 1928," Publication, no. zoo (193o), and "Analysis and Tabular Summary of State Laws Re-potestas is now commonly used to express the lating to Jurisdiction in Children's Cases and Caseswhole authority of the head of the Roman of Domestic Relations in the United States," Charthousehold. series, no. xvii (193o). In the early history of Rome birth did not create the right of membership in the family. A FAMILY ENDOWMENT. SeeFAMILY AL- newborn child had to be ceremoniously acknowl- LOWANCES. edged by the paterfamilias, who if he chose could expose the child. The wife in manu was FAMILY LAW, or the law of domestic rela-completely under the control of her husband; tions, as itis more usually called in Anglo-in fact, in contemplation of law she was a sister American law, is in all modern legal systems aof her own children in her own household. The 82 Encyclopaedia of the Social Sciences paterfamilias held the power of life and deaththis view has little to support it. In early family over all the members of the household, and he law rights are generally without reciprocal duties could sell or enslave any one of them or yieldand are intended to profit their holder. Traces any wrongdoer in noxal surrender. Not only theof the possession of the power of exposure, sale family goods but the members of the familyand life and death are indeed to be found in the were property. Only the paterfamilias was suivery early Middle Ages. Nevertheless, it is true furls; all the other members of the family werethat in the historical period the German house alien juris. Not even sons became emancipatedlord was never as absolute a master as the Ro- when they reached majority. They might thenman paterfamilias. Doubtless Christian influ- acquire civil and political rights but they couldences had their due effect. Indeed the power of not hold property or found a new household.the church must be reckoned as the most im- For it was the most fundamental rule of theportant factor in the development of western Roman family organization that the patria po-family law as late as the nineteenth century. testas endured as long as the paterfamilias lived. Until then family law was largely a branch of The later history of the Roman family lawcanon law. A weakened mundium can be traced under the stress of a growing individualism is ofin the Germanic laws in the early recognition particular interest to the westerner because theof family joint ownership but especially in the modern family in a general way has only re- fact that it did not endure during the whole life peated it. The dissolution of the ancient Romanof the father. While majority did not itself eman- patriarchal family, begun under the republic,cipate, a son could by leaving the household was fairly complete by the time of Justinian.establish a new one. On the other hand, with Custom had long interdicted the absolute rightssome interruption toward the end of the Middle of the paterfamilias before imperial rescriptsAges sex guardianship of adult women pre- restricted domestic rights to powers of chastise-vailed. Still the mother with the growing recog- ment. Caracalla forbade the sale of childrennition of cognate relationship often became at except in case of extreme poverty. The lex Julia,least the assistant of the father in his role of de adulteriis, abolished the husband's power offamily head. In the Anglo -Saxon period in Eng- life and death over his wife. When Justinianland the wife thus occupied a far more favorable suppressed noxal surrender the last causa man -position than she did later under the classic cipii disappeared. Marriages sine manu werecommon law. made possible through the device of the tri- Despite the general reception of the Roman noctium abesse. The wife sine manu could reserve law in western Europe, the Germanic family independent property rights -the parapherna- law was not greatly affected. To be sure many and the dotal system protected the property aRoman family law doctrines made their way in wife brought in marriage. Although the patriathe process of "early reception" which was rep- potestas remained perpetual it was underminedresented by infiltration through the canon law - through a number of devices, such as a fictitiousfor instance, the rule consensus facit nuptias- sale by mancipation which made the son freeand, while the Roman law influenced the family altogether, or through other devices which madelaw of persons hardly at all, it did to a measur- it possible for the son to hold property, suchable extent affect the family law of property, as the extension to the professional classes ofparticularly in adding the dotal system and im- the peculium castrense, originally property to posing almost the whole law of guardianship. In which the son was independently entitled be-France in the pays du droit écrit, which were the cause it was acquired in consequence of militaryregions of the Roman law, the result was that service. A long development in favor of cognatesons had to be expressly emancipated. It is sig- relationship was completed by the Novels 118 nificant that if Roman law ideas were received and 127 of Justinian. When the paterfamiliasthey were often such as tended to strengthen lost the right to constitute the family as hethe unity of the family. Nevertheless, the grow- wished, it was plain that the ancient patriarchaling individualism of Europe toward the end of family had become simply a legal family. the Middle Ages was also soon reflected in the The modern western family is descendedacceptance of rules of a contrary character. more directly from the Germanic than from The general tendencies in the history of the the Roman, and it has sometimes been con-family law in the orbit of Germanic -Romanic tended that the German mundium implied a con- civilization may be summarized as a movement ception of protection rather than of power; butfrom the patriarchal household, based upon a Family Law 83 rigorously held concept of the solidarity of thecoverture -a polite euphemism -her legal per- family, to the modern biological family whichsonality became absolutely suspended. The re- is legally protected because it rears the citizenslaxation of this system, however, was soon ac- of the state. In this process agnatic relationshipcomplished through equitable channels by means has first given way to bilateral relationship. Re-of the trust and the married women's separate straints upon alienation of the family propertyestate, which substantially procured for the mar- have generally tended to become increasinglyried woman of the wealthier classes all the rights attenuated, but here perhaps change has leastof property that women generally secured in followed any single pattern and family propertycommon law jurisdictions considerably later systems have shown great variety. The inter-through the married women's property acts, the vention of feudalism alone for a long time ar-foundation of the extreme individualism of the rested the effects of individualism. Childrencommon law of domestic relations. became emancipated before wives, finally simply On the other hand, the civil law countries by reaching majority, and powers of correctionstill retain more of the early Germanic legal over even minor children became very mild. Anconceptions of the family. More than any other exception is to be noted in the oldest of theEuropean code, perhaps, the French Code civil, great modern codes, the French Code civil,which was inspired by Napoleon, attempts to which has retained although in a milder formrealize the idea of the solidarity of the family a father's power to cause the imprisonmentof aand also, perhaps more than any other, it has recalcitrant child, a power that was notoriouslyemphasized filial duty. European codes have exercised under the ancien régime. The moderngenerally retained the old institution of the fam- wife has not yet achieved everywhere completeily council, but except under the French code legal independence of person and property butits functions are now practically confined to the is rapidly doing so under the impulse of theguardianship of minors. The systems of dotal feminist movement. Under the French civil code and community property in European countries the wife is still incapable of exercising parentalundoubtedly help to maintain the integrity of power. Under the more recent Germanandfamily life, but on the other hand it must be Swiss civil codes the husband is still the legallyremembered that the codes generally allow the recognized head of the family, but the motherordinary property system to be varied by con- shares the parental power and upon the hus-tract. Under the law of western countries family band's death may exercise it exclusively. Therights are thus sometimes based upon the idea post -war German constitution declares that mar-of contract, sometimes upon the idea of status. riage shall rest upon the concept of equal rightsCommon law courts too, while they say that for both sexes but the provision still remainsmarriage is based upon contract but is itself a programmatic. status, often allow its incidents to be controlled. Thus the progress of individualism has not Perhaps some importance attaches to the fact always been either continuous or uniform. It isthat in European countries the family law exists in the nature of individualism to breed a mul-in codified form, which makes it easier for the tiplicity of forms. On the whole, the individuali-jurist to formulate its rules al-id conceptions. zation of the family law has been carried fartherUnlike the French civil code the German and under the common law than under the civil lawSwiss codes have separate books of family law. despite the generally more individualistic pri-The Anglo- American law of domestic relations vate law conceptions of the latter. The originalhas not really been authoritatively stated since implications of status in the very term domesticBlackstone. There is room for debate in this "relations" has for a long time had no reality. Asthird decade of the twentieth century as to who far as husband and wife are concerned the classic is the legal head of the American family. It is common law abandoned almost completely allnot the husband merely because the law gives ideas of relation. Its most marked characteristichim the right to determine the matrimonial became the rigorousness with which it workeddomicile. The husband also has this right under out the conception of the unity of husband andthe continental codes, but the headship of the wife and made it the basis of the family relation.family is separately defined. The family law, It was applied not only in the fields of contract which is of great popular interest, might well be and tort but in the criminal law. The wife wasmade available in clear, compact and definite not merely subordinated to the husband, as wasform. From this point of view the codification generally the case in civil law countries. Duringof family law has much to recommend it, al- 84 Encyclopaedia ofthe Social Sciences though this is not to imply that the family codenized, as in Anglo- American law, the practise should become every matrimonial couple's vadeof the middle classes approximates it. The family mecum. The particular advantage of a codified customs of the immigrant are not the same as family law is that it proceeds from the normal,those of the native. Indeed it is no more possible not the abnormal. It states positive rules ofto secure a real insight into the familial institu- family obligation under the conditions of familytions of any given society by referring to its harmony. On the other hand, the fact thatfamily law than it is possible to judge a man's Anglo- American law is only precipitated in con-character from the inscription on his tombstone. troversial decisions has tended to make it a lawTo the old fashioned jurist family law was as of breach -an emphasis that is too predomi-disagreeable a subject as constitutional law was nantly negative. to John Chipman Gray, the great authority on Of course it must be recognized that in athe law of property. Family law particularly great many family situations the law is reallyrequires the sociological approach. It offers an powerless to restore harmony. Family law is immense opportunity for an anthropology of the particularly a law of imperfect obligations andcivilized races. imperfect sanctions. In theory all family rela- Doubtless under popular political institutions tions are subject to the legal regulation of thefamily law and customs tend to coalesce, but state. But even as to those rules that are com-the process must always remain far from com- pulsive and exclusive the state must often pur-plete. Certainly enormous obstacles still stand sue the policy of laissez faire which obtainedin the way of any international assimilation of in the early law. Norms of family law often fitfamily law, with the result that the solution of ill into any analytical scheme of jurisprudenceproblems of the conflicts of laws in this field is which places the emphasis upon the state as the particularly difficult. Even in a federal nation creator of law. Austin himself was driven to thesuch as the United States uniformity in family extremity of holding that the head of a familylaw has not been possible. The adherence to the fulfilled a semipublic function which made theprinciple of nationality in determining incidents commands he gave precepts of the positive law. of status in continental countries has made it Family law, which is an admixture of the law ofimpossible to work out any basis of agreement property and the law of persons, fails particu-with Anglo- American countries which adhere larly in regulating personal relations. The state,to the principle of domicile. alas, cannot always compel a wife to love her In the East the joint household may still be husband or a child to respect its parents. Oldobserved, but already it has begun to disinte- codes may be found which contain many a piousgrate in many places, repeating the experiences but futile maxim. The French civil code decrees of the West, even as the Germanic races have that "A child at all ages owes honor and respectrepeated the experience of Rome. Particularly to his father and mother." The German and toin Japan, which has adopted a code built upon a lesser extent the Swiss civil code has, how- western models, a compromise between ancient ever, avoided all exhortations to domestic felicity ideas and modern needs is taking place. The and connubial hiss. Japanese house, or iye, is not legally ended even In the last analysis family law remains less awith the death of its head, and a successor is product of legislation than of custom. Althoughprovided; but within the house the occidental legislation is paramount in modern law it isbiological family is recognized since parents as almost as true now as in the Middle Ages thatsuch exercise an authority independent of the family law is par excellence customary law. It head of the house, and property rights are vested succeeds best when its roots are deep in national in the individual. Nevertheless, an even wider character and feeling -when it gives expressionfamily than the household exists, consisting of to customary modes of living and the alignment persons related by blood or marriage within of classes. Family law in its first stages as a law certain definite degrees, and through a family of the state tends to embody only the notionscouncil it exercises powers that are very wide of the wealthier classes and to impose them aswhen compared with those of European family the law of all classes. This tendency often be-councils. comes weakened but it never ceases to be oper- In the West the "socialization" of family law ative. Many divergencies between family lawis frequently urged. But such legislation as has and custom may be observed. Even where nobeen adopted indicates rather that it is not so legal system of community property is recog-much the family itself that is being legally so- Family Law-Famine 85 cialized as that family obligations are beingin Family Law, z vols. (New York 1930), and Cases and Materials on Family Law (New York 1929); transferred directly to the state, which decreas- Smith, Munroe, "The Japanese Code and the Fam- ingly relies upon the family to rear its future ily" in his A General View of European Legal History citizens. Duties rather than rights had for a long (New York 1927) p. 365-97. time been emphasized in family law, but the duties, particularly those of parents toward chil- FAMINE is a state of extreme hunger suffered dren, remain largely unfulfilledParticularlyby the population of a region as a result of with regard to children has the state come tothe failure of the accustomed food supply. It is interfere more and more in order to secure forto be distinguished from the more or less con- them adequate development and protection. Instant undernourishment of chronically poverty the United States special domestic relations orstricken districts. Famine may be the conse- family courts have even been created to dealquence of drought, prolonged winters, cold sum- with family problems. But such legislation, farmers, floods or plagues of locusts or rodents. from strengthening the family as a legal andThe ravages of war and the devastation of rural social unit, tends to do the opposite. It proceedsregions during periods of upheaval may prevent from the failure of the family and carries to itsadequate food production, and the breakdown logical conclusion the individualization of family of systems of distribution may affect regions de- law. The family preceded the state. But in itspendent upon importation for food. Other less political organization the family now tends todirect factors may contribute to famine. De- repeat the structure of the state. forestation may increase the danger of floods. WILLIAM SEAGLE Overpopulation in some regions may reduce the acreage per farm until it is barely sufficient to See: FAMILY; MARRIAGE; COMMON LAW MARRIAGE; BREACH OF MARRIAGE PROMISE; DIVORCE; ALIMONY; afford miserable sustenance in good years, pre- MARITAL PROPERTY; INHERITANCE; PRIMOGENITURE; cluding the storage of surplus for lean seasons. DOMESTIC RELATIONS COURTS; WOMAN, POSITION IN Except in tropical regions the peril of famine SOCIETY; CONFLICT OF LAWS; DOMICILE. in primitive society has always been great be- Consult: Howard, G. E., A History of Matrimonial cause of crude methods of foodproduction and Institutions, 3 vols. (Chicago 1904); Glotz, Gustave, the absence of adequate methods of storage. La solidarité de la famille dans le droit criminel en Grèce Early civilizations were also subject to famine. (Paris 1904); Buckland, W. W., A Text -book of Ro- Egypt was afflicted with both drought and lo- man Law from Augustus toustinian (Cambridge, Eng. 1921) chs. iii -iv; Baudry- Lacantinerie, G., and cust plagues. In ancient China and India primi- others, Traité théorique et pratique de droit civil, 29 tive agriculture and inadequate transportation vols. (3rd ed. Paris 1905 -09) vols.iii -v; Brissaud, combined to intensify the disastrous results of Jean, Manuel d'histoire du droit français, z vols. (2nd drought. The development of large urban popu- ed. Paris 1908), pt. iii tr. from the znd French ed. bylations in Greece and Rome increased the diffi- R. Howell, Continental Legal History series, vol. iiiculties of securing sufficient food in years of bad (Boston 1912) p.I -29, 8z -z66; Bonnecase, Julien, La philosophie du Code Napoléon appliquée au droit de harvests. In mediaeval Europe, when peasant famille (znd ed. Paris 1928); Rouquet, Marcel, Évo-farmers living in isolated and self -sufficing com- lution du droit de famille vers l'individualisme (Parismunities formed the majority of the population, 1909); Hübner, Rudolf, Grundzüge des deutschen pri- a crop failure in one locality meantfamine even vatrechts (4th ed. Leipsic 1922), tr. by F. S. Philbrick, Continental Legal History series, vol. iv (Boston 1918) if harvests were normal only a short distance bk. iv; Lehmann, Heinrich, Familienrecht des burger. away. The approximately four hundredand fifty lichen Gesetzbuches, Grundrisse der Rechtswissen-recorded famines from the year loon to 5855 schaft, vol. iv (Berlin 1926); Rehfous, Louis, Intro- were largely confined to small localregions such duction à l'étude du code civil suisse (Geneva 1908); These dearths Calisse, Carlo, Storia del diritto italiano, 3 vols. (2ndas Wales, Lorraine and Alsace. ed. Florence 1891 -1903), tr. by L. B. Register, Con-were caused by long, cold winters,which hin- tinental Legal History series, vol. viii (Boston 1928) dered planting, or by dry or cold summers, which p. 531-607; Holdsworth,W. S., A History of English prevented growth, and by floods, locusts and Law, 9 vols. (3rd ed. London 1922 -26) vol. ii, p. 87- war. That eastern Europe was notuntouched by 99, and vol.iii, p. 185 -97, 520-33, and vol. v, p. 309 -15; Powell, C. L., English Domestic Relations, famine in mediaeval times is indicated by the 1487 -1653 (New York 1917); Eversley, W. P., Evers - plaint of the chronicler of Novgorod. ley's Law of the Domestic Relations (4th ed. by Alex- Famine has been almost banished from the ander Cairns, London 1926); Schouler, James, Awestern world during the last century. The rev- Treatise on the Law of Marriage, Divorce, Separation and Domestic Relations, ed. by A. W. Blakemore, 3olution in agriculture has removed food produc- vols. (6th ed. Albany 1921); Jacobs, A. C., A Research tion from the list of famine factors in spite of 86 Encyclopaedia of the Social Sciences the vast urbanization which has occurred. Theare planted. Failure of rain at either time is seri- crops of a locality may be destroyed by drought,ous; failure at both times is fatal. Some of the hail and frost, but the progress which has beenrivers silt up, partly because of deforestation. made in the storage of surpluses and the increaseA break in the dikes on such rivers means floods, in facilities for transport have reduced the effectthe severity of which is increased by the slow of such disasters. Developments in food preser-drainage of flood waters from the level fields. vation such as canning, drying, pickling andLocusts plague some regions, particularly in freezing are also famine preventives. PovertyShensi, where they have caused 20 of the 162 stricken urban dwellers may starve to death, but historical famines. Although 4.7 acres are neces- ample food exists. When famines do occur insary to raise sufficient wheat for the average occidental societies the farmers are especiallyfamily in north China, 55 percent of the farms affected, as in the famine stricken area in thecontain 1.5 acres or less. The size of the indi- United States in 1930 -31, when the poverty ofvidual rice fields is also inadequate and as a the farmers made it impossible for them to pur- result the majority of families have scarcely chase sufficient food from the ample supplyenough food in normal times and cannot lay existing in the country. aside reserves. Insufficient credit, poor roads in Although famines are unusual in civilized soci-the interior, the burden of large armies, foreign eties, there have been severe famines in modernaggression and the lack of a stable government Europe and there are still chronic famine areashave aggravated these conditions and have con- in the world. The Irish famine from 1846 totributed to an economy which is peculiarly sus- 1851, which was the most disastrous in western ceptible to famine. Europe in the nineteenth century, was caused Famine in India has been defined as "only the by the potato blight. It resulted in over a millionexceptional aggravation of a normal misery." deaths and was a factor in the emigration of aDrought due to the failure of the monsoon rains million and a half people within a decade. Theis the primary cause of famine, although flood, famine was intensified by the miserable povertyhail and locusts have been occasional factors. of the people who were dependent on potatoesThere seems never to have been a country wide for sustenance. In 1841 almost one half of thedrought in India. In famine regions imported farms in Ireland contained less than three acres,food has been obtainable but the widespread making it impossible for the farmers to accumu- and extreme poverty of the rural population has late reserve supplies. made the purchase of such food largely impos- Russia was scourged by major famines elevensible. The agricultural workers, dependent on times between 1845 and 1922. Although droughtthe produce of their land for sustenance, have was the immediate cause of these crop failures,almost no reserve and are prostrated in the event the steadily increasing population and progres-of crop failure. Heavy taxes, inadequate agricul- sively smaller farms contributed. In 1905, al-tural methods, the burden of a caste system though 12.5 dessiatines (of 2.7 acres each) werecontaining large numbers of unproductive people considered necessary for the adequate sustenanceand the British drain upon Indian resources have of a family, 7o percent of the households in 47been offered as explanations of Indian poverty. regions had fewer than 1o. The peasant popu- Unless relief is unusually efficient famine in- lation suffered even in normal times from lackvolves a temporarily increased death rate due of food because of the extremely primitive agri-either to starvation or to the increased disease cultural methods, and as a result in 1890 theresulting from weakened resistance. The aggre- death rate was higher by 3o percent in ruralgate death list from famine would be as stagger- districts than for Russia as a whole. Since noing, were it carefully kept, as those of many adequate reserves could be maintained, even awars. Although the data are sadly incomplete, partial crop failure precipitated a famine. Added the greatest death toll has probably been that factors in the famine of 1921 -22 were the inter-in the widespread famines in India, China and national blockade against the Soviet Union, theRussia. Imperial Russia and India suffered fam- severe decrease in planting due to counter-ine nearly every year; from 108 B.C. to 1911 there revolutionary disorders and the opposition ofwere 1828 famines in China. The ten famines in the peasants to foodstuff requisitions. India between 186o and 1900 are estimated to In north China the scant at inches of rain fallshave resulted in fifteen million deaths, and nine in the spring, making the wheat crop possible,million fatalities were caused by the famine in and in the summer, when millet and kaoliangnorth China from 1876 to 1879. Little is known Famine 87 of the mortality of the approximately 600 re-Florence in 1347 was the forerunner of the corded famines in Europe from 6 A.D. to 1855. plague of 1348. Famines do not produce new or After his study of famine in China Mallory con-special epidemics, but under famine conditions cluded that the conditions arising from foodthe typical diseases flourish. The so- called fam- scarcity were the main checks on population.ine typhus is spotted fever, and the diseases The periodic famines in semi -arid Iran seem towhich followed the famines in Upper Silesia in have served to keep the population within the 1848 and in Finland in 1867 -68 were the malaria limits set by the environment. But in spite of theand typhus common to the region. large death rates they occasion, famines can in no Famines are reflected in religious belief and sense be considered permanent checks on over- ritual. The Hopi Indians, for example, who are population. Their temporary effects are readilydependent on corn, have a series of extremely compensated for in succeeding periods of rela-elaborate corn and rain producing ceremonies, tive plenty. of which the snake dance is the best known. When a country experiences famine only as a There is a distinction between ritual for the rare and extraordinary disaster, the effect is likelyproduction of food and rain and the ceremonies to be ephemeral; but if famine is a recurringwhich take place after famine or drought ensue. phenomenon it may leave its mark on the social,Fertility rites to prevent famine abound in prim- economic and spiritual life of the society; it mayitive and ancient religions and have their modern be a factor in epidemics, a motive for migrationcounterparts. In Biblical times famine was often and a regulator of population growth. In con-considered a sign of the wrath of God (see II sidering famine as a possible factor in migrationSamuel xxi), and the idea survives in the prayers one must distinguish between the wanderings offor rain offered by many Christian churches in small groups of people and the larger movementstimes of drought. which are more clearly migratory. Famine con- The development of some primitive social ditions in one region have often prompted acustoms may have been conditioned by food stricken population to move into more favoredscarcity. Sumner interpreted abortion and in- places. Delafosse records Wadaian depredationsfanticide to be often protective devices against in western Darfur about 1830, stimulated byfamine and other calamities arising from over- famine in Wadai. Petrie believes that the famine population. In Australia, for example, where conditions of dry years caused the pastoral raceslimited food and water made wandering neces- living in arid regions to migrate to the richersary, women with two infants were unable to lands. It is less certain that dry periods andaccompany their husbands. Cannibalism has famines precipitate larger movements of peoples. often occurred during famine, but does not seem It has been suggested that the Arab migrationto owe its existence as a regular practise to the started from a great famine in Arabia in 600 A.D. absolute lack of food. Curschmann listed the and was kept in motion by a series of dearths following socio- economic changes among the from 816 to 1072, and the prolonged droughtaftereffects of mediaeval European famines: an on the steppes about 3000 B.C. seems to haveincrease in the price of grain, a rise in rates of urged groups of nomads westward and south-interest, a general desertion of stricken villages ward into the northern plain and Hungary. Aand farms, the impoverishment of the people, series of droughts with frequent famine maythe destruction of livestock and an increase in have urged nomadic tribes to move in search ofrestlessness and disease. Other students have better grazing land, but that famine has been aseen a connection between the very prevalent significant factor in inducing the people of afamines in Europe in the Middle Ages and reli- settled economy to migrate seems open to doubt.gious exaltation and mania, group movements The agricultural regions of China and the Puebloand political and social turbulence. Occasionally culture of America have suffered countless fam-some constructive institution has risen from a ines and have passively withstood their effectsfamine situation, as did Raiffeisen's rural coop- or have developed a reasonably famine prooferative credit societies, which were organized in economy. Germany to meet the needs created by the The judgment of epidemiologists is that dis- famine of 1848. ease is the invariable consequence of famine. Where famines are frequent some attempt has The debility resulting from lack of food or fromusually been made to store food or water. In vile food substitutes paved the way for cholera,savage societies the storage of food to carry the typhus and malaria in India, and the famine intribe through dearth has been the most preva- 88 Encyclopaedia of the Social Sciences lent method of famine prevention. The Newment of man's sin and consequently ordered Zealand Maori, the Hopi and Moqui of Amer-masses said. His famine relief program included ica, for example, regularly store food as an in-the conservation of food, the prohibition of food surance against scarcity. Traces ofgrain andexport, the regulation of corn prices and the fruit stone storage rooms have been found in themaintenance of feeding stations, but this pro- Swiss lakeland prehistoric remains. The irriga-gram was not followed in later years by other tion systems of primitive cultures such as thoseprinces or by cities, save for the occasional pro- of Easter Island and the Arizona Pueblos play ahibition of exports and regulation of grain prices. role in famine prevention. The Badarian cultureThe series of bad harvests all over Europe from in lower Egypt about 12,000 B.C. used under-1527 to 1536 probably hastened the develop- ground granaries, and the storage of grain inment of poor law relief in England and on the conical structures under the supervision of acontinent, through which some social responsi- superintendent of the granaries was systemat-bility was assumed for destitute persons. ically carried out under the pharaohs. The Incas Progress has been made both in famine pre- confiscated and held in storehouses all surplusvention and in famine relief. The United States foodstuffs in an effort to maintain a three -yearand England, impelled by a humanitarian spirit, supply from which public distribution could beby political purposes or by the obligations im- made in time of dearth. The canal and irrigationposed by empire, have participated in efforts to system of Sumer (3000 B.c.), the irrigation worksalleviate and conquer famine in China, India of the Incas, the flood prevention dikes on theand post -war eastern Europe. The Russian peas- Hwang Ho (2000 B.C.), are illustrative famineant under the czarist regime had a legal claim prevention activities of ancient civilizations. Inagainst the government for famine relief, and India before the advent of English rule the na-each community was required to keep an emer- tive rulers and the wealthier farmers maintainedgency grain store and was allotted famine relief haphazard reserve supplies in good years. Prob-funds; but in practise this system usually col- ably the first to introduce vigorous famine relieflapsed. During this same period the British in India was Muhammad Tughlak, who in 1343were developing a system of famineprevention distributed six months' supply of grain to theand relief in India, where by 186o the problem inhabitants of Delhi, made grants from theof relief had become the question of how much treasury for farming and well digging and un-to pay the famine victims employed onpublic successfully attempted to introduce compulsoryworks and how to force all able bodied men to labor. Shah Jehan, who in 163o made extensivework. Famine sufferers were divided into those doles of food and money and remitted taxes,who could labor on public works, those who initiated the extension of relief to rural districts.could do light work in poorhouses and those Irrigation was the most important preventivewho were unable to leave their homes -a classi- effort against famine in this early period. fication which has since formed the basis for In mediaeval Europe occasional storage ofrelief work. In 1869 the government introduced grain was the only means used to attempt to pre-the important principle of granting tuccavee, or vent food scarcity with the exception ofscatteredcash relief, to farmers in order to enable them regulatory laws. The English government placedto remain on their farms for the following year. various prohibitions on forestalling and engross-The famine code of 1883 recommended village ing- practises closely akin to modern specula-relief in preference to the much disliked poor- tion and monopoly. The Assize of Bread issuedhouse, which was to be retained for the aid of in 1202 was an attempt to prevent speculationwandering famine victims, urged that work be in bread by varying its weight with changes in offered immediately before efficiency was im- the price of wheat. This and the later Assize ofpaired by debility and that tuccavee grants be Bread and Ale issued by Henry in in 1266 weresupplemented by tax remission. With some un-. antispeculation or antimonopoly acts rather thansuccessful modifications this plan was applied price fixing laws and were the products of anin the famines of 1896 -99 and 1899 -1900. In economy in which the monopolizingof food in1906 -07, although the food supply failed for times of dearth increased the hardship experi-nine months, the development of acute famine enced by the poor. The famine relief of thisconditions was prevented by the improved con- period was left largely to the casual alms of thedition of the farmers, extended irrigation, in- wealthy and to the church. Charlemagne con-creased loans at low interest to landowners who sidered the famine of 78o to be God's punish-employed famine sufferers and greater village Famine 89 relief. The efficiency of famine relief was in- ernment obligation to assist famine victims and creased by the growth of the railway systemthe procedure of delegating relief to private from 4255 miles in 1870 to 39,049 in 1927. agencies dependent upon uncertain individual Although spasmodic attempts at both preven- contributions is still raging. In the United States tion and relief of famine have been made in during the famine of i930 -31 the federal admin- China for centuries, determined efforts dateistration opposed the use of government funds from the participation of foreign societies. In thefor food relief to the farmers suffering from severe famine of 1920 -21 the American Reddrought, contending that there should be no in- Cross and the China International Famine Re-terference with private relief measures. lief Commission joined in a relief program which China remains the only major chronic famine expended thirty -seven million Chinese dollars,area; and the near future holds no promise of one half of which was under international aus-sufficiently widespread improvement in agricul- pices. The international committees alone fedture, limitation of population and other social almost eight million persons during the peak ofand economic changes which would prevent the famine. All able bodied members of strickenfamine recurrence. India although constantly families were offered employment on publicthreatened with local food shortage has evolved works, usually roads or dikes, under the super-a system of relief which has mitigated sufferings vision of famine commission engineers. Thein famines in which poverty rather than actual wages were placed below the normal wage scalefood shortage is the chief characteristic. The and where feasible the expenditures were re-Soviet government has made prodigious ad- garded as loans to be subsequently repaid byvances in increasing agricultural output through the community. its government farms and by the socialization of During the war and post -war years faminepeasant farms, and as a result the possibility of conditions developed in Poland, Armenia, thefuture famines in the Soviet Union is slight. Ukraine and Russia, and the governments of Population experts have predicted an increased those countries were unable to render adequatepressure of population on the margin of sub- relief. American agencies led in relief efforts,sistence which unchecked might be expected to although considerable sums of money were ex- breed increased famines in the world of tomor- pended by governments and societies in otherrow. Such prophecies, however, are based on a countries. The greatest of these famine reliefprojection of present net population increases programs was that in Russia from 1921 to 1923,and on present methods of agricultural produc- in which roughly $70,000,000 was expended bytion. They do not take sufficiently into consid- the following organizations: the Soviet govern- eration the likelihood of future modifications of ment, $11,387,000; the United States govern- population increases and of enlargement of the ment, $22,662,000; the American Relief Admin- food supply. istration, $23 ,440,000; the American Red Cross, FRANK A. SOUTHARD, JR. $3,805,000; American religious and charitable See: FOOD SUPPLY; AGRICULTURE; STORAGE; TRANS- groups, $5,017,000; European governments and PORTATION; IRRIGATION; FERTILITY RITES; EPIDEMICS; relief organizations, about $4,000,000. The dis- MIGRATION; POPULATION; DISASTERS AND DISASTER bursement of 85 percent of the funds was admin- RELIEF; IRISH QUESTION; INDIAN QUESTION. istered by the American Relief Administration. Consult: Walford, Cornelius, "The Famines of the The combined American relief organizations fed World, Past and Present" in Royal Statistical Society, a total of eleven million Russians at the peak ofJournal, vol. xli (1878) 433-526; Curschmann, Fritz, Hungersnöte im Mittelalter (Leipsic 1900); Thompson, the famine, while an additional million were fed J. W., An Economic and Social History of the Middle by other foreign agencies. The relief adminis- Ages (New York 5928) p. 762 -64; Nash,Vaughan, tration established a central organization in Rus- The Great Famine and Its Causes (London I 90o); Sun- sia, which received supplies and disbursed themderland, J. T., "The Causes of Famine in India" in to urban and rural kitchens, where relief was Canadian Institute, Transactions, vol. viii (1905 -1o) 213-39; Gill, C. A., The Genesis of Epidemics (New directly administered in the form of cooked York 1928); Loveday, A., The History and Economics food. Seed grain and medical relief were also of Indian Famines (London 1914); Karmin, O., Vier dispensed. By the latter part of 1922 relief to Thesen zur Lehre von den Wirtschaftskrisen (Heidel- adults was discontinued, and in June, 1923, the berg 1905); Scott, J. E., In Famine Land (New York American Relief Administration withdrew from 1904); Mallory, W. H., China: Land of Famine (New York 1926); Fisher, H. H., The Famine in Soviet Rus- Russia. sia (New York 1927); Golder, F. A., and Hutchinson, The conflict between the recognition of gov- L., On the Trail of the Russian Famine (Palo Alto 1927). 90 Encyclopaedia of the Social Sciences FANATICISM is the anglicized form of a wordimpinge in vain upon his adamant conviction. which in ancient times was used of priests sup-This blind obstinacy suggests monomania. It posed to be inspired by divinity. This earlysupports the opinion that fanaticism borders on religious association is still influential in currentinsanity. usage. By the sixteenth century, however, if not Combined with this intense assurance is an long before, the original meaning had expandedunyielding determination to make the fixed idea to include forms of noisy madness having notriumph over men. The fanatic is not of a religious basis . Shakespeare used the adjectivemeditative temperament. He finds it insufficient fanatical with reference to fastidiousness in pro-to make sure of the deepest truth and to order nunciation. During the sectarian agitations inhis life in harmony. He is a man of action, a fiery the seventeenth century immoderate adherentspropagandist, an unresting missionary, ready to of the sects in England were called fanatics. Theconsume and to be consumed in the cause of term was spoken of as coined for the purpose,spreading his belief. The doctrinal absolutism of and it was thought by at least one writer to havePaul, Loyola, Calvin and the rest was no more been "well cut out and proportioned to signifyinordinate than the unrelenting driving power what is meant thereby, even the sectaries of ourwith which each one of them attempted to sub- age." Extension of meaning has gone on in thisjugate the intellect, desires and will of mankind. manner until fanaticism has come to denoteNo organization or endeavor is immune from frenzied partisanship or blind zeal in any cause,fanatical exploitation. The history of political whether religious, social or political. A list ofrevolutions or of such movements as abolition, examples prepared today would include the con-prohibition, nationalism, imperialism and in- duct of religious leaders like Savonarola anddustrialism proves how real this danger may be. Jonathan Edwards, rulers like PhilipII andAnd in whatever field of action or thought the Cromwell, social reformers of the type of Johnfanatical sentiment arises, its invariable modus Brown and Carry Nation, certain practises ofoperandi is to push out and absorb other fields. ascetics, mystics and dervishes and such emo- When its origin has been religious, as in the case tionally charged outbursts as inquisitions, witch-of Joan of Arc, the Jesuit order, the abolition or craft persecutions and lynching bees. prohibition movements, it has intertwined itself Appearing in various forms fanaticism in itswith political parties and social forces and has authentic occurrence is the effect of three pas-entangled them in the destiny of a religious sional components. The peculiar combinationstruggle. If it has developed in an economic or of these distinguishes it from mental and emo-political situation, as, for example, in connection tional states -enthusiasm, faith, loyalty and thewith communism or Fascism, it has proceeded like -of which itisa perversion and fromto take over the function and authority of re- which it differs in psychological structure andligious institutions or has aimed to dominate social tendency. Of these three components thethem. Regarded solely as a manifestation of pro- most obvious is extreme narrowness and rigiditypulsive energy fanaticism is impressive. of temper. The fanatic is so excessively con- A trait no less characteristic is callousness to vinced of the truth and importance of a certainpain. The true fanatic's nature includes a quality idea or feeling that every other interest, personalof hardness which renders it uncommonly in- or social, is powerless to modify it. He maybesensitive to human suffering, often to the point teachable in some matters, but it is impossibleof cruelty. In the most developed types this in- for him to learn anything that would dislodge the sensitivity becomes a positive desire to cause fixed idea. The end which he selects as supreme,suffering. The desire is frequently introverted, the path he follows to arrive at that end andin which case it leads to self -inflicted torments; the quality of the good to be obtained are neverbut it is also turned outward, mercilessly inflict- open to question. With the declaration "Thising pain on others. In religious fanaticism this is one thing I do!" on his banner hemarches tomotivated by a decided antipathy to the satisfac- victory or defeat. Not only does he thus resist alltion of natural human desire. There is always a influences to broaden his allegiance, whetherprotestation of high purpose and a display of they come as inner promptings or demands from logic to give the suffering an appearance of without, but he makes a virtue of despising everybeing rational and right; but a more basic ex- experience which does not positively further hisplanation is the presence in the fanatic's disposi- dominating purpose. If a conflicting fact cannottion of a deep strain of misanthropy, a strong be ignored, he distorts its significance. Events despisal of human nature. With this malevolent Fanaticism 91 attribute in mind Isaac Taylor, in a book ofbecomes a coefficient of group emotion; and considerable psychological insight published awhen supported by group symbolism an indi- century ago, defined fanaticism as "Enthusiasmvidual readily drops back into ways of feeling inflamed by Hatred." and acting more primitive and wild than are Such traits operating in conjunction accom-otherwise customary with him. Typical mass plish results, not infrequently vast results. Somefanaticism -a Spanish Inquisition, a witchcraft of these are doubtless beneficial. In its totalpersecution, a raceriot -is socially irresponsible, effect, however, fanaticism is inimical to indi-ruthlessly malevolent and enormously powerful. vidual and general welfare . Its extreme narrow-An individual fanatic even of the pronounced ness of aim, inflexibility and brutal disregard oftype is relatively insignificant from the social all values that lie outside the scope of a limitedpoint of view if he is unsupported by mass goal constitute it a deeply disruptive force infanaticism. If he grows to heroic proportions as a society. The fanatic's morbid absorption impelssocial force, it is because he proves able to call him to deny ordinary life interests and to placeforth in numbers of his fellows fanatical psy- a high estimate on pathological behavior; corn-choses similar to his own and to unite these into pare the compassionate theologyof the non-something resembling a mass ego with himself fanatical Pelagius with the ascetic doctrine of theas the dominating intellect and will. As this fanatical Augustine or the normal outlook ontakes place, that is, as normal persons who are life of the non -fanatical Phineas Quimby withnot psychologically predisposed to become fa- the abnormal outlook of his fanatical pupil,natics are affected, fanaticism enters its mature Mary Baker Eddy. The fanatic is, moreover,and threatening phase. abnormally self -centered. Judged by surface The causes of fanaticism are very imperfectly appearances his tremendous activity may simu-understood. They are doubtless biosocial in late dedication to a cause, but the deeper motivenature. Neurological abnormality is evidently at seems always to be an insatiable,if perhapsthe bottom of pronounced cases, with unhappy generally unconscious, desire for self- aggran-environmental conditions supplying the explo- dizement. Whether the fanaticism arises out ofsive stimulus. All of these pronounced types in- religion, politics or a class struggle, the fanatic dicate the presence of strong ambition, espe- regards himself as "chosen" for the role, and thecially a yearning to occupy a position of prom- advance of his cause is inevitably bound up with inence in the eyes of men, an ambition which is the vindication of his messianic claims. Humil-frustrated by personal handicaps, accident or ity is as foreign to a fanatic as a sense of humor. the circumstances of life. Usually some inhibit- Equally antisocial is his unbending self- right- ing fear or deep sense of insecurity is present eousness. Uncompromising foe ofcompromise, also. Very often there appear to be sex complica- he places himself and his cause beyond the tions, shown in the value placed on mystical love franchise of other minds. His program, as some- trances or by a surrender to what in all prob- one has suggested, is driven into thesocial struc-ability are sadistic impulses. Fanaticism thus ture like a wedge. The way to mutual under-grows out of serious maladjustment of some sort. standing of differences is closed. Human rela-It is uniformly a compensatory activity, repre- tions are reduced to unconditional surrender or sentingself -realizationthroughadeflected mutual defiance and the struggle for survival. channel. The noticeable defiance of socially ap- While fanaticism may appear in an isolatedproved values and arrangements may be re- case it is readily spread by contagion.The ex-garded as a blind gesture of resentment against travagant ideas and the enormities of feeling and obstacles which were sufficient to thwart desires conduct which characterize it can pass fromso strong that they could not bekilled nor person to person by imitative repetition.In thispermanently suppressed. way many succumb to the malady who would This interpretation holds in general for the develop no symptoms of it if unexposed to anindividuals who make up a mass fanaticism. infecting source. This is evident at a time of warIn those instances where lack of information, hysteria or during any group delirium. As a mass credulity and already existing dogmatic beliefs expression fanaticism assumes an intensifiedare more or less deliberately made useof to de- form. Nor is this only because numbers have avelop a fanatical scheme, as in Bryan's anti - cumulative effect. Two other factors enter. Byevolution crusade, the underlying maladjust- some susceptibility of human nature individualment is less obvious but need be no less real on capacity is raised to a higher power when itthat account. As a matter of fact normal individ- 92 Encyclopaedia of the Social Sciences uals may find liberation and an enhancement ofthe Spirit of Rationalism in Europe, 2 vols. (znd ed. personal significance in fanatical commitments.London 1865); Ramos Mejía, J. M., La locura en la historia, 2 vols. (Buenos Aires 1927); Leuba, J. H., In their daily routine these persons carry the The Psychology of Religious Mysticism (New York weight of what is called civilized life. They are 1925); James, William, The Varieties of Religious constrained to engage in steady labor, often in Experience (New York 1902); Murisier, E., Les mala- spite of strong disinclinations; they must satisfy dies du sentiment religieux (znd ed. Paris 1903); Dugas, vigorous natural promptings insocially re-L., "Fanatisme et charlatanisme" in Revue philoso- stricted ways; they are haunted by economic in-phique, vol. xlix (5900) 596 -613; Lasswell, Harold, Psychopathology and Politics (Chicago 193o); Fülöp- security and are thwarted in the realization ofMiller, René, Macht und Geheimnis der Jesuiten even moderate ambition. In a word, they are(Leipsic 1930), tr. by F. S. Flint and D. F. Tait held by a system of pressures to a life more or (New York 1930). less consciously resented. Submergence in a fanatical experience, whether this is associatedFAR EASTERN PROBLEM. The roots of the with a more permanent program or is merely afar eastern problem lie in the last decade of the temporary orgy, may bring relief. It may enableeighteenth century; before the twentieth century them to break through a sense of restraint andopened it had become a recognized potential futility to a sense of liberty, power, accomplish-cause of war. In 1904 the war came, with Russia ment, dignity. It is of course all too evident thatand Japan the antagonists and China's Manchu- the cause in which they thus invest their ener-rian provinces the stake. The victory of Japan gies need have no ameliorating effect on the un-solved but one phase of the problem, which fortunate conditions against which they rebel. while relatively less important today than twenty In view of the complex nature of fanaticism,years ago remains still one of the chief sources of no simple remedial measures will accomplish international friction. satisfactory results. Intended cure must take Until late in the eighteenth century European cognizance of both psychological and sociologi- influence in the Far East was slight and insecure. cal causes. Predisposing psychic causes can beThe hold on India exercised through the British dealt with only by an adequate science of neu-East India Company was loose and devoid of or- ropsychiatry. The process of education is im- ganic political or economic connection with the plicated. A type of education that encourages homeland. Spasmodic European efforts to open credulity and stresses the finality or absolutenessup relations with China and Japan had met with of attitudes and ideals, thus operating to moldlittle success. The Spanish and English had an adventure seeking being into a creature offailed entirely. The Portuguese had a trading mechanized habit, prepares the way for socialpost at Macao on the south China coast, the maladjustments and irrational commitments.Dutch had one in southern Japan, Russia was On the other hand, an educational process thatpermitted to send merchants to Peking at regular positively encourages the experimental spirit inintervals, the Dutch were established securely in every undertaking and, while placing uniquethe East Indies and the Spanish in the Philip- value upon worthy attainment, emphasizes thepines. After 1720 foreigners were permitted to tentative character of all aims and achievementsconduct a limited trade at Canton with the "co- contributes an important quality to the kindhongs" (a few Chinese firms specifically author- of human living which is unfavorable to theized by the Chinese government to deal with production of fanatics. But an inescapable ele- foreigners), but they could not enter the city, ment of the problem has to do with the recon-except a small area at stated intervals. Other- struction of socialinstitutions, especially ofwise the Far East was closed to Europe until the those harsh economic and social conditionsend of the eighteenth century, nor was there any which drive many otherwise normal human be-great concern in the West that relations with the ings periodically or permanently into fanaticalFar East were not closer. Such trade with the states and projects. East as existed was in luxury commodities and M. C. OTTOwhile it provided profit to a limited number of individuals it had little effect on the economic See: BELIEF; INTOLERANCE; PROSELYTISM; REFORMISM; INTRANSIGENCE; PERSECUTION; AGITATION; MESSIA- and social structure of European countries. NISM; ASCETICISM; CHAUVINISM; INQUISITION; WITCH- With increasing industrialization in Europe CRAFT; LYNCHING. the far eastern stake became a vital one. New Consult: Taylor, Isaac, Fanaticism (New York 1834); markets were essential, and in India and China Lecky, W. E. H., History of the Rise and Influence ofwas half the world's population. Later, new Fanaticism-FarEastern Problem 93 sources of raw materials became essential andChinese policy of isolation, growing out of in- Asia offered an untapped supply. Still later, ac- sularity and a sense of superiority as well as dis- cumulations of capital seeking profitable outletgust with the excesses of individual European began to flow to Asia, where a whole continentadventurers and the clear aim of European gov- invited developments in railways, mines, con-ernments to conquer, was fortified. Although the struction and manufacturing. England in theopium trade flourished, the English were re- vanguard of industrialization led in these de-stricted to the Canton co -hongs and a heavy velopments; British imperialism was a projec- handicap was laid on all other trade. Two British tion of the needs of Manchester, and Britishdiplomatic missions to China in 1793 and 1816 pressure on China was in proportion to the pro-failed to secure the opening of formal diplomatic ductivity of her textile mills. Similarly the pass- and commercial relations, and in 1839 the dis- ing of the American frontier and America'spute came to a crisis when a Chinese commis- enormous development of industry were the sig- sioner confiscated all the foreign opium in Can- nal for an awakening of the United States toton. War broke out as a matter of course (other potential developments on the western shores ofdisputes were also involved) and China was the Pacific. compelled in 1842 to sign the Treaty of Nanking A mercantilist Europe seeking only an in-opening five ports to foreign trade and ceding creased export trade encountered few complica-the island of Hongkong to England. The United tions; the issue was simply one of compellingStates and France thereupon secured similar first China and then Japan to permit the freeprivileges,includingamost -favored -nation entry of foreign goods. Between Europeanclause, which was incorporated in a supplemen- powers there was normal commercial competi-tary British treaty in 1843 and became subse- tion in discernment of demand and in price andquently the ground for numerous encroach- quality of goods supplied. Complications set inments on China's sovereignty. The court of Pe- only after industrialism had become more highlyking did not regard its obligations with too much evolved, after the growth of national animositiesseriousness; and a sudden influx of foreigners to in Europe and the exposure of China's vulner-Canton led to numerous incidents, one of which ability. Equipped with the wealth which indus-precipitated another war in 1856. An Anglo- trialism yielded, armed with the weapons it had French fleet sailed up the coast to Tientsin and fabricated and driven by nationalistic egoism,an expedition to Peking sacked an imperial pal- the Great Powers of Europe entered a race forace. The Chinese government agreed to permit world conquest. England was in the van. France,the establishment of legations at the capital, to recovered from the devastation of the revolutionopen more ports to trade, to make explicit pro- and renewed in ambition with the accession ofvisions for exterritorial rights, which had been Napoleon III, resumed its traditional rivalry withvaguely stated in the earlier treaties, and to fix a England. A unified Germany entered late butconventional tariff of 5 percent. Also Christian with vigor and determination and Russia set outmissionary work and the opium traffic were le- with equal vigor to achieve the mastery of Asia.galized. China's helplessness was thus exposed Toward the end of the nineteenth century Japanand advantage was quickly taken of it. Russian by declaring itself a contestant for the stakes ofsovereignty over territory north of the Amur the East disturbed the balance set by EuropeanRiver was recognized. France appropriated partnerships, a balance entirely destroyed by theCochin China, established a protectorate over subsequent entry of the United States into theAnnam and after another war with China added contest. The Far East had become a prize ofTonkin to form what is now French Indo- world politics. China. Great Britain occupied Burma, until then The first steps in the process of western ag-a tributary of China. gression were taken by England in the last dec- Meanwhile Japan had come upon the scene, ades of the eighteenth century. The East Indiafirst in one role and then another. Japan had Company was consolidating its hold on Indiabeen forced open by the United States, after and had farmed out opium as a monopoly,Commodore Perry's naval expedition had ap- whose proceeds were to be a pillar of the Indianpeared off Tokyo in 1853. Treaties opened two fiscal structure for many years. Easy access toJapanese ports to trade, granted exterritoriality the China market was urgent; but just becauseand set a conventional tariff. Although there opium, declared contraband by China, was play-were incidents, punitive measures and bombard- ing an increasing role in foreign trade, thements, on the whole Japan, with greater fore- 94 Encyclopaedia of the Social Sciences sight than China, went out to meet its fate. LessChinese postal service. Then began financial than twenty years after the country had beenpenetration in earnest on lines already developed torn from isolation there began a transformationin north Africa: invasion by railways, by loans which placed Japan among the world's domi-and by concessions for monopolistic exploita- nant nations. Feudalism and the shogunate,tion of natural resources. Peking became a which had ruled the country while the emperormorass of international intrigue with diplomats remained a venerated but powerless figure inand bankers bidding for the favor of Chinese Kyoto, were abolished and the court restored to officials and browbeating them. In the meantime power. Missions were dispatched to Europe andChina had been compelled to alienate areas in the United States to study western social organ-numerous cities as settlements and "conces- ization, the technology of machine productionsions" for the residence of foreigners. These had and especially the technique of modern warfare.expanded and developed as commercial centers, Railways were built, telegraph lines laid, moderndrawing off Chinese economic vitality and capi- banks established, universal education and mili-tal. China made a despairing protest in the Boxer tary conscription decreed and a constitutionuprising of 1900 but was quickly punished by an adopted. Factories were established and aboveinternational expedition and forced to pay an all a modern army and navy created. Japan'sindemnity of about $330,000,000. The partition chafing at the derogations on its sovereignty and of China seemed imminent, when the United its imperial ambitions waxed with progress. ItsStates, having recently acquired the Philippine leaders recognized China as fair game and in theIslands and an interest in the Far East, entered eighties became involved in a complicated dis- the arena and in the Hay notes pledged the pute with China in Korea, which, brought to apowers to respect Chinese administrative and head by Japan in 1894, resulted in war and theterritorial integrity and to maintain the Open startlingly swift collapse of China. Japan ex-Door, i.e. equality of opportunity for all trading tracted a large indemnity, recognition of Japa-nations. The pledge was both taken and ob- nese sovereignty in Korea (a diplomatic formulaserved in a Pickwickian sense. for recognition of Japanese paramountcy), For- For ten years there had been in progress a mosa and the Liaotung Peninsula on the southdiplomatic duel between Japan and Russia in Manchurian coast. The last Russia had markedKorea. When Russia now moved to foreclose on for its own, and now supported by France andKorea, Japan struck out and victorious exacted Germany it "advised" Japan to relinquish it. In revenge for the "advice" of ten years before by November, 1895, Russia obtained as a reward taking over Russia's rights in south Manchuria. from China the right to build the Chinese East-Japan also tightened its hold on Korea and in ern Railway, a shortcut for the Trans -Siberian 1910 formally annexed it, thus becoming a world Railway across North Manchuria to Vladivos-power and a claimant for far eastern para- tok, to station military guards along the right ofmountcy. All the races of the East, electrified by way and to exploit mines on both sides -in effectthis first humbling of a white by a non -white a grant of the territory. people since Kublai Khan, saw after two genera- There ensued now the battle of the conces-tions under the heel of the western invaders a sions. Germany obtained a lease on the territoryglimmer of hope; the white man's prestige be- surrounding Kiaochow Bay in Shantung prov-gan to fade and a new factor, possibly the most ince, Russia on the Liaotung Peninsula (togetherimportant, was injected into the far eastern with the right to extend the Chinese Easternproblem. Another was injected a few years later Railway across south Manchuria to Dalny, thuswhen the Manchu monarchy was succeeded by foredooming the Russo -Japanese War), Greata Chinese republic, which while it has never Britain on Weihaiwei on the north coast andfunctioned as such has been a forcing bed for France on the Kwangchow in the south. All theseeds of nationalism now bearing fruit. Great Powers proclaimed spheres of influence The World War opened a new stage in the in China- Russia in Manchuria, Germany inhistory of the far eastern problem. The pressure the Shantung area, Great Britain in the Yang-on China was not lifted but its directionchanged. tze Kiang basin and France in the south. GreatWith Europe preoccupied elsewhere Japan, an Britain was formally conceded the right to nameally of Great Britain, entered the war early and the collector of the Chinese customs, which hadtook over Germany's leasehold in Shantung. In been administered by foreigners for a genera-1915 Japan presented its Twenty -one Demands, tion. France obtained the right to supervise thewhereby it would have obtained possession until Far Eastern Problem 95 the end of the twentieth century of south Man-on the world during the war and perhaps an un- churia and Kiaochow region. Because of stren-expressed sense that an area marked by America uous opposition in China and the tacit dis-for future exploitation was being closed. approval of the United States Japan withdrew The impending expiration of the Anglo -Jap- Group v of the Demands, which would haveanese alliance brought the issue within the scope made a Japanese protectorate of China, and pro- of world affairs and made it both concrete and ceeded in less obvious ways to achieve the same inescapable. Simultaneously the United States, end. It subsidized Chinese political factionsGreat Britain and Japan had entered a naval with loans and obtained in return mortgages onrace. On American initiative a conference was Chinese national resources and for a time controlconvoked to discuss limitation of naval arma- of the Chinese government. With Siberia dis-ment, and on Great Britain's proposal the con- organized after the Russian revolution and theference was extended to include political ques- Bolshevik regime in disfavor with the Alliedtions in the Far East. Thus Great Britain's Powers, a joint Allied expedition to Siberia waschoice between Japan and the United States arranged. Although it was agreed that each par- could be merged in other decisions and lose its ticipant power would send only 7500 troops,sharpness. The conference in Washington (Nov- Japan sent about 70,000 and in addition beganember, 1921- February, 1922) was attended by to play the same politics with Siberian as it hadnine powers having interests in the Far East. An with Chinese factions. The Armistice, althoughagreement was reached setting a limit on the it came prematurely for her imperialistic plans, building of capital ships for a period of ten years found Japan well on the road toward consolidat-and fixing a ratio of 5-5-3 for Great Britain, the ing mastery over all eastern Asia. United States and Japan. No such concrete ac- The United States, irresistibly drawn towardtion was taken, however, with regard to political and then across the Pacific, watched events inissues. The cause of international rivalries in the the Far East with disquiet and immediatelyFar East, the system best described as imperial- after the Armistice began making its displeasure ism, was largely evaded or at most dismissed felt. At the peace conference President Wilson with statements of general principles. Funda- openly and strenuously objected to Japan's de- mentally Japan's fight to leave the status quo un- mand for the transfer to itself of all German ter- touched was, with British support on all major ritorial and economic rights in the territory sur-issues and without serious opposition by the rounding Kiaochow Bay. Wilson's final accept-United States, victorious. China demanded res- ance of an informal Japanese promise to return toration of all its sovereign rights; that is, a nulli- the territory and retain only economic rights wasfication of the gains made by the Great Powers disapproved in China and in the United States,during seventy -five years. For this none of the and the Shantung provisions had much to doGreat Powers showed any disposition. Japan with the United States Senate's refusal to ratify agreed to evacuate Siberia; the return of the the Treaty of Versailles. China refused to ratify Kiaochow region to China was settled; Great and there arose in China a wave of virulentlyBritain and France agreed to return ports leased anti -Japanese sentiment, culminating in a boy-as naval bases and renounced their spheres of cott of Japanese goods. The presence of bothinfluence; and the withdrawal of foreign post Japanese and American troops in Siberia andoffices on Chinese soil was conceded except for pointed American inquiries as to when Japanthe leased areas. But all the important territorial proposed to reduce the number of its troops did leaseholds and settlements were retained, as were not make for harmony. An Inter -Allied Com-the privileges of exterritoriality and control of mittee was operating the Chinese Eastern Rail- China's tariff. Finally, the nine powers joined way and there occurred a succession of conflicts, in a new declaration of the principles which had the Japanese seeking to use the railway to ex-hitherto bound them in theory to respect China's tend political and commercial influence and theintegrity. In a separate pact, which superseded Americans seeking to thwart them. With omi-the Anglo- Japanese Alliance, Great Britain, the nous clarity an issue emerged in the Far EastUnited States, France and Japan pledged them- with the United States on one side and Japan onselves to respect each other's rights and posses- the other. On the Japanese side there was a sensesions in the Far East. This Four Power Pact also of frustration, for which the United States wasprovided that no new fortifications or increase of held to blame. On the American side there wasexisting fortifications be undertaken, exceptions suspicion, anger at the march Japan had stolenbeing made for the Pacific coast of the United 96 Encyclopaedia of the Social Sciences States and Canada, Panama, the Aleutian Is-between the czarist government and China and lands, Hawaii, New Zealand, Australia and theto renounce all imperialistic privileges and terri- then projected British base at Singapore. Es-tories wrested from China. In 1923 Adolph sentially the agreement, by immobilizing GreatJoffe, Soviet diplomatic representative in the Britain, the United States and Japan as far asFar East, came to an understanding with Dr. naval bases were concerned, largely immobilizedSun Yat -sen, whose party, the Kuomintang, had their navies with respect to aggressive action.overthrown the monarchy and was now remak- Thus, while the Washington Conference touched ing itself as the Nationalist party. Joffe repeated the far eastern problem only in its superficialthe Russian renunciation of imperialistic spoils aspects, it had pronounced psychological effect, and stated Russia's recognition of the unsuit- allaying tension between Japan and the Unitedability of communism to China. The Soviet States and averting a naval race. Union, however, made only a vague promise Other forces were in the making, however,about the status of outer Mongolia, which it was which were to dwarf the Washington Confer-then and still is occupying, and also stipulated ence to the proportions of a minor political inci-that its joint rights in the Chinese Eastern Rail- dent. Until the World War only the results ofway be safeguarded. On this basis what was tan- the penetration of western military power andtamount to an alliance was concluded. In the finance were to be seen in the Far East. But nowautumn of 1923 Michael Borodin was sent from the results of the penetration of western ideasMoscow to Canton as an adviser to the Nation- and ways of life began to manifest themselves. alists with a group of Russian officers who helped The establishment of the republic in China hadestablish a Nationalist military academy. Most released new influences in the younger genera-of all, the Russians taught the Chinese to organ- tion. The rise of Japan to the status of a worldize and spread propaganda and by 1926 a wave power, western education, the radiations fromof Nationalist, anti- imperialist propaganda had the foreign cities established on the coast, theswept the country. On its heels came the Na- movement of the world currents of the nine-tionalist armies, which early in 1927 held prac- teenth century, especially the tides of national-tically all China south of the Yangtze Kiang. ism and democracy, all were producing their ef-The rallying cry of the Nationalists and their fects in the Far East no less than in the Middlearmy was "Down with Imperialism "; their pro- East and India. The Wilsonian doctrine of worldgram was the cancelation of all the "unequal democracy and self -determination for small na- treaties." Antiforeignism was rampant; and al- tions had in the Far East an effect subversive ofthough actual attacks on the persons of foreign- the established order. Moreover, the war propa-ers were few, foreign treaty rights were openly ganda of both sides wreaked moral devastation,flouted. In March, 1927, after the capture of for each convincingly pointed out the enormitiesNanking by the Nationalists there came the of the other to the eastern peoples whose support openly organized assault on foreigners and a they sought. The white man's prestige was fad- number were killed, provoking Great Britain ing fast. China's bitterness at the cynicism of the and the United States to send "defense forces" Versailles conference, at which it sat as one ofto Shanghai. The situation was explosive, but the victorious Allies only to find that part of itspassed before a fuse was actually lighted. territory had been secretly bargained away to What diplomatic requests at Versailles and another ally, and then its chagrin at returningWashington had failed to achieve force had empty handed from the Washington Conferenceachieved quickly, and the foreign position was provided a climax. shattered. Some elements in all the Great Pow- Meanwhile Russia had reemerged. The at-ers would have welcomed intervention in China tempts to set up counter -revolutionary govern-and the imposition of a "benevolent trustee- ments in Siberia had all been fiascoes. Japaneseship." But there was little public response; pub- intrigues and the tactlessness of its military com-lic treasuries could ill support necessary armies manders turned Siberian sympathies antiwhiteof occupation and military administrations and and pro- Moscow. A buffer state, the so- calledresponsible governments had to confess their Far Eastern Republic, was established in 1920helplessness and watch hard won spoils drifting and in 1922 incorporated as part of the Sovietout of their possession. Making a virtue of a Union. The Soviet Union signalized its reentryweakness they issued statements recognizing the into far eastern affairs in a unique manner byjustice of China's "legitimate aspirations." They formally offering to cancel treaties concludeddid nothing, however, to implement this recog- Far Eastern Problem 97 nition and the crisis was escaped by a new de-Harbin and from the railway, despite the agree- velopment. ment of May 31, 1924, whereby the Chinese Despite Joffe's statement that China was notEastern Railway had been restored to joint So- ready for communism, a Chinese Communistviet- Chinese management (China having an ac- party had sprung up and allied itself with thetive voice in contrast to pre -war years). Chinese Kuomintang. It was conducting an active propa-procedure in general in China proper as well as ganda, and the Communist leaders threatenedin Manchuria has been slowly to push the by 1927 to become preponderant in the councilsforeigner out while preserving juridical ap- of the Kuomintang. In that year the Communistpearances. In north Manchuria emboldened by wing, withSoviet encouragement, made asuccess it resorted to direct action, suddenly formal effort to obtain substantive control of theseizing the railway in May -July, 1929, deporting Kuomintang Central Executive Committee andsome Russian officials and arresting others. A the break came. The Russians were evicted andSoviet punitive expedition compelled China to the party formally severed relations with therestore the status quo pending negotiations for a Chinese Communists. Late in December, 1927,definitive statement of future relations. after an abortive Red coup in Canton, for which There is every indication that the controversy the Nationalist government at Nanking elected is being taken out of the area of politics by virtue to blame Moscow, relations with the Sovietof Chinese mass emigration from the crowded Union were broken, all consular and diplomaticand impoverished northern provinces inside the representatives deported, and there began an in- Great Wall to the undeveloped but fertile Man- tensive drive against Chinese Communists, in-churian plains. It is estimated that between 1925 cluding wholesale proscriptions, which droveand 193o from 500,000 to 1,000,000 Chinese them underground. The halt in the antiforeignhave gone north every year in what constitutes campaign caused by the split in the Kuomintangone of the significant and dramatic mass move- was only temporary. In 1928 the Nationalists re- ments of recent times. They are establishing sumed their military drive, captured Peking, thethemselves on the land, in the towns and in the capital and seat of the foreign legations, andnew towns arisen as a result of Russian and again became peremptory. Military success wasJapanese development. They are going into recognized by the relinquishment of foreignbusiness, establishing factories, mills, modem control over the Chinese tariff, the United States banks and trading houses and seem in a fair way taking the lead in negotiating a new treaty. Into capture the Chinese market proper. Most of January, 193o, China officially abrogated theall, they are building railroads. Since 1925 Japan right of exterritoriality. It did not, however, putand China have engaged in a railway war in the decision into effect and a few of the powersManchuria; Japan aims to drain off Manchurian insisted on postponement or graduated aboli-products to Dairen via the South Manchuria tion. In actual practise, except in the area occu-Railway and China to draw them off into China pied by foreign troops, the Chinese were taking proper, either to Tientsin, via the Peiping -Muk- jurisdiction by force majeure. In short, whileden Railway or to a new port planned for Hulu- vestiges of imperialistic control in the old formtao. Again China is reversing the process which survive they do not function. The liquidation ofthe aggressive West used againstitbefore. all of them except the International SettlementWhereas the powers were content to leave China of Shanghai, which will for a time remain a lonejuridical sovereignty over its territory so long as outpost of foreign aggression, seems near atthey could by economic and financial controls hand. wield real hegemony, now Japan is being left Manchuria is still in a state of political, eco-with juridical control of south Manchuria while nomic and social solution. Japan retains its lease-China is proceeding to rule it economically. hold of Kwantung on the Liaotung Peninsula,While Japan has adopted diplomatic policies where it has developed Dairen into a great portbased presumably on its need of an outlet for and industrial center, as well as control of thesurplus population, in twenty -five years only South Manchuria Railway, economic suzeraintyabout 200,000 Japanese have gone to south Man- over all of south Manchuria and an unofficialchuria. Whether Japan will be able to resist the but effective veto power on political action byconstricting pressure of the Chinese mass, un- Chinese authority. The Soviet Union has reas-like all other peoples which have come into con- serted itself once again in north Manchuria, aftertact with the Chinese on their own soil, is highly being eliminated unofficially but completely fromproblematical. Had the Chinese remained in a 98 Encyclopaedia of the Social Sciences state of handicraft production, economically de- China will buy more, not less, from Japan, since centralized, Chinese settlement of Manchuriaits demands will be increased by a more com- would have given Japan a source of raw ma-plex economic organization. It will be, as no terials and a populous market. The prospect nowmaterially undeveloped land can be, a market is that Manchurian orientation will be towardfor heavy manufactures as well as cheap con- China proper, economically and therefore po-sumer's goods. That way, perhaps, lies not only litically. peace between China and Japan but the elimina- The population question in Japan is only antion of the Far East as an area of international ancillary phase of the far eastern problem, but itconflict and ultimately war. is a phase which provides an added element of There is more to the far eastern problem than friction to the contest between the United States China, but all other aspects are dependent; the and Japan over the future of China. Like alltrend of each will follow the magnetic drift of other Asiatic peoples, Japan has always bred be- what happens in China and between the Great yond means of sustenance. With the annualPowers and China. excess of births over deaths estimated at over The far eastern problem has evolved now into 800,000, the Japanese have sought the usual out-a general social rather than a diplomatic ques- let through emigration. Since all the countries tion; it is less a matter of imperialist politics than in the Pacific basin have been closed to Japanese of broad social trends. The subtle phase of im- immigrants by the Gentleman's Agreement withperialism introduced with the development of the United States in 1907 and congressional en-economic and financial penetration passed with actment in 192. and by similar action on thethe emergence of nationalism in the East. The part of Canada, Australia and New Zealand,East has regained its political integrity at the there appears to be no solution for Japan's popu-price of losing its cultural identity. The West lation problem save such as industrializationhas lost its political control of the East as the offers, with exports to pay for the necessaryresult of a cultural triumph, the westernization purchase of foodstuffs abroad. This in turn isof China and Japan. And the future disposition dependent on the tenor of Japanese- Chinese re-of forces in the Far East, the relation of the Far lations, since the Asiatic mainland is the logicalEast to the whole world and of the component outletfor Japanese manufactures. Japaneseparts to one another, hang on the outcome of policy from its rise in 1894 until after the Wash-this westernizing trend. ington Conference was aimed at assuring this Japan's pre -war transformation was exterior market to itself by conquest or at least domina-only, industrialism being superimposed on a tion. The result was a ferocious hostility infeudal social structure. Only since the end of the China: wherever a choice was possible theWorld War have the full implications of in- Chinese bought from anybody but Japanese.dustrialism made themselves felt. Only recently The diminishing power of the Japanese militaryhas an urban proletariat been formed and the party, a survival of the old feudal classes, haslabor problem begun to fester. Feudal loyalties enabled the new commercial and financial classes and the harmony of the old system are shattered; to make themselves felt. With occasional inter-the perquisites of the upper orders are challenged vals of relapse to the older policy Japan has for the first time; class consciousness is growing pursued a line of conciliation since the confer- as it has in the West. These disruptive forces are ence. If good will prevails between Japan andintensified with every year and their pressure is China, Japan may find an outlet for its industrialslowly compelling a ruling class to yield, as with products and a secure foundation for its new universal suffrage and labor's right to collective social and economic structure. It will not have a bargaining. In other words, despite the rapidity monopoly over China's natural riches or com- of its transformation after 1870, Japan is only mand its market. Like all other great powers now beginning to feel the full influence of west- which once had ambitions for mastery overernization. But whereas Japan succeeded in es- China it will lose such advantages as inhere in tablishing a basis before starting on its transition monopolistic control. But these are dubiousto the new order, China did not. China is liter- when compared with the development possibleally in flux, having cut itself from its past more only under native autonomy. Japan will buy anddeliberately and remorselessly than Japan, reso- sell in open competition. It will have the advan-lutely determined to make itself over on the tage over other countries which derives frommodern pattern of mechanization. The disloca- geographicalpropinquity. An industrializedtions of the new order are already manifest: there Far Eastern Problem 99 are a labor problem, an industrial slum, a buddingfall a prey to stronger powers or, rising to new capitalist class, class conflict. Added to theseheights of power, is itself to help reshape the are the results of the progressive sterilization ofwhole world is conjectural. What remains a con- the old economy of handicraft production be-stant factor in world politics is that the Chinese, fore the more virile and effective factory. Withnumbering almost one quarter of the world's its old bases undermined before new ones havepopulation, are even today sufficiently vital so been laid, China's whole structure is swaying, asthat they are expanding over Asia, north into the breakdown in government, civil wars, ban-virgin Manchuria, south and east along the coast ditry and general social ineffectiveness indicate.as far as India. Everywhere from Canton to In- Nor has the break of the Kuomintang withdia whites rule somnolent native peoples, while Russia eliminated communism in China. Chinese direct economic life. They are the small So long as unchanging economic conditionstraders in distant outports, the merchants, bank- left China socially static there was no socialers and of late the factory owners in the cities. problem to be reflected in political controversy.Should China be revivified by the dynamic of But with the first consequences of the introduc-the machine it will once again share the mastery tion of factories and the disruptive effects ofof the world. This will not, however, come about western ideas, submerged social discontents havein the manner once visualized. The Chinese na- come to the surface. Communist propagandation will not overrun the world by sheer dis- was not wholly exotic and its seedsfell on fer-placement, by the lava flow of the excess of a tile soil. Since the World War there has been apopulation which reproduces at a rate beyond growing element in China which has felt that the that of other peoples, especially the European evils of industrialism, as manifested in the West, races. While the application of science in China can be dealt with only by prevention.It does will tend to reduce the death rate, the creation of not want China to go through the cycle thata literate urban industrial population with a Europe and America have followed since r800. higher standard of living and access to medical Part of this element lent sympathetic ears toknowledge, including that of birth control, will Russian propaganda and went over wholly totend to reduce the birth rate. The family system the communist cause. A still larger part, amongand the veneration of ancestors, which have whom Sun Yat -sen must be included, refused tobeen the moral and philosophical stimulus to accept the whole of Marxist ideology. While ac-large families, are already losing their compul- cepting the principle of social control, it rejected sions. The curve of population in China as else- economic determinism as the exclusive social mo-where will flatten. Machine production and pre- tive force, the class struggle as the only way toventive medicine will leave the Yellow Peril a solution and the dictatorship of the proletariatfigment of journalistic imagination. If China be- as the only instrument. Thereis another element comes a decisive force in the world, it will be which, repelled by the excesses following on thebecause what is normally the largest race in the gulping of communist propaganda by illiterateworld, situated on a rich continent, has acquired masses in 1926, recoiled against any programofthe new instruments of power and wealth. But social control. While China is not yet sufficientlywhen it enters into the world exchange of com- adapted to western political organization for ideasmodities it will be as seller no less than as buyer. and programs to express themselves clearly inWestern premises of unlimited industrial ex- parties, the conflicting schools of thought are re- pansion by filling up the vacuum of the unde- flected in the political struggles which delay uni- veloped parts of the world, which incidentally fication. Most of what is called communism inwould remain each a continuing vacuum, must China is not programmatic or reasoned. It isbe drastically revised. While China's 400,000,000 rather an inarticulate protest against the cumu-people constitute the world's greatest unex- lative suffering of the last twenty years. Com-ploited market, Chinese manufacturers, mer- munism has given it phrases to which to attachchants and bankers will exploit it themselves, itself. But even if Russian communism weremaking their own cheap products and with them completely eliminated, social inequalities wouldalso entering world competition. This is not to continue to manifest themselves in politicalsay that the industrialization of the East will not struggle. be an economic advantage to the West. Benefit There can be no real stability in the Far Eastwill come not from continued increase of west- until China has completed its transition or defi-ern exports as in the nineteenth century butin a nitely failed. Whether China is to break up andwider diversification of exchange after the in- zoo Encyclopaedia of the Social Sciences dustrialization of the East is completed. The(1927) 324 -35; "P," "Communism in China" in For- first stages will be costly to those countries whose eign Affairs, vol. ix (193o -31) 310 -16; Fischer, Louis, economic structure is based on dumping of The Soviets in World Affairs, 2 vols. (New York 1930) vol. ii; Trotsky, L. D., The Draft Program of the Com- cheap products in such lands. For example, the munist International: a Criticism of Fundamentals (New growth of the textile industry in China and York 1929). Japan and India has since the beginning of the JAPAN: Crocker, W. R., The Japanese Population twentieth century shattered beyond repair whatProblem (London 1931); Orchard, J. E., Japan's Eco- nomic Position (New York 1930); Utley, Freda, "Capi- was in the nineteenth century the basis of Eng- talism and Class Struggle in Japan" in Labour Monthly, lish economic supremacy, the export of textiles.vol. xii (1930) 30-41, 106 -,6; Kuwata, K., "Die neu- As this process goes on, Great Britain will sufferere Arbeiterbewegung in Japan" in Archiv für die from compulsory economic reorganization fol- Geschichte des Sozialismus, vol. xiii (1928) I -21. lowing from the scaling down of one of its prin- cipal industries. This fact takes on momentousFARABI, MUHAMMAD IBN MUHAM- significance when itis remembered that theMAD IBN TARKHAN ABÜ -NASR AL- West has already reached a stage in industrial(c. 87o -95o), Mohammedan philosopher and development where overproduction threatens topolitical theorist. Of Turkish origin, al- Fárábi become a chronic ill. It is a conclusion whichstudied in Bagdad and afterwards resided in follows inevitably from the rise of the modernDamascus. He was known especially for his western world with its need for new markets andcommentaries on Aristotle and other Greek writ- its ability to seek them out through new meansers and was a significant figure in the history of of communication; it follows automatically fromMoslem scholasticism. In several works he tried the Treaty of Nanking in 1842, which broketo reconcile the philosophies of Aristotle and China's isolation. Plato. NATHANIEL PEFFER Al- Fárábi's political speculations are con- See: CHINESE PROBLEM; IMPERIALISM; EUROPEANIZA- tained in a pamphlet on civic government, As- TION; NATIONALISM; INDUSTRIAL REVOLUTION; INTER- siya- satu -l- madiniyyatu (tr. into German by F. VENTION; OPIUM PROBLEM; COMMERCIAL TREATIES; Dieterici as Die Staatsleitung, ed. by P. Brönnle, EXTERRITORIALITY; SPHERES OF INFLUENCE; OPEN Leyden 1904), and another on the model city, DOOR; CONCESSIONS; FOREIGN INVESTMENT; WORLD WAR; LIMITATION OF ARMAMENTS; ORIENTAL IMMI- Risaia fI ara' ahl al madina al fádila (ed. by F. GRATION; COMMUNIST PARTIES. Dieterici, Leyden 1895, and tr. into German by Consult: GENERAL WORKS: Vinacke, H. M., A History him as Der Musterstaat, Leyden 290o). These of the Far East in Modern Times (New York 5928); treatises cover much the same ground; they deal Treat, P. J., The Far East (New York 1928); Millard, largely with theology, physics and physiology. T. F., The New Far East (New York 1906); Survey of He regards the ideal city as an organism or hier- International Affairs, published annually in London archy analogous to the human body; the sover- since 1925; Institute of Pacific Relations, Proceedings, 1925 -29, 3 vols. (Chicago 1925-30). eign, who corresponds to the heart, is served by CHINA AND MANCHURIA: Peffer, Nathaniel, China: functionaries who are themselves served by the Collapse of a Civilization (New York 1930); Roy,others, until a lowest class is reached which only M. N., Revolution und Konterrevolution in China, tr. serves. The sovereign should be perfect both from English ms. by P. Frölich (Berlin 1930); Hol- combe, A., The Chinese Revolution (Cambridge, Mass. morally and intellectually; and should no one 1930); T'ang Leang -Li, Inner History of the Chineseman possess all the necessary qualifications, the Revolution (London 1930); Millard, T. F., China: sovereignty should be shared by as many as will Where It Is Today and Why (New York 1928); Near- together satisfy the requirements. The ideal city ing, Scott, Whither China? (New York 1927); Wil-is one wherein the object of the association is loughby, W. W., Foreign Rights and Interests in China, 2 vols. (2nd ed. Baltimore 1927); Morse, H. B., Inter- the happiness of its citizens; this can be realized national Relations of the Chinese Empire, 3 vols. (Lon- only when the soul is freed from the body. The don 1910 -18); Wittfogel, K. A., Wirtschaft und Gesell - inferior cities follow other aims, such as pleas- schaft Chinas, vol. i- (Leipsic 1931- ); Bisson, T. A., ure, wealth, victory, honor and liberty. "Reconstruction in China" in Foreign Policy Associa- These speculations are reminiscent of Plato's tion, Information Service, vol. It (1929 -30) 429 -46; Griffing, John B., "Size of the Family in China" inRepublic and Aristotle's Politics but by no means Sociology and Social Research, vol. xiii (1928-29) 63- reproduce those works; indeed, al- Fárábi is un- 72; Young, C. W., The International Relations of Man- likely to have understood them, since he had churia (Chicago 1929), "Chinese Colonization in Man- had no experience of republican government. churia" in Far Eastern Review, vol. xxiv (1928) 241- 50, 296 -303, and "Economic Bases for New Railways Hence his cities seem purely imaginary, and he in Manchuria" in Chinese Economic Journal, vol. ican adduce no illustrations either from the cities Far Eastern Problem - Farm IOI of his own world or from those of alncient Hellas. in common. For the most part the business or- His analysis of the virtues and talents which aganization is of the simplest sort, the function sovereign should possess may have influenced of management and ownership being combined. later political speculation by Islamic writers,Farms operated by hired managers, or corpora- whose analyses are much the same. tion farms, are still uncommon. Land, not labor DAVID S. MARGOLIOUTH and capital, is the most important factor of pro- Consult: Carra de Vaux, B., Baron Avicenne (Parisduction. Practically all farms are to some extent 190o) p. 91 -116; Macdonald, D. B., Development of self -sufficing; most of them supply a part and Muslim Theology, Jurisprudence and Constitutionaloften a large part of the food, feed, labor and Theory (New York 5903) p. 162 -65. power needed in their operation. The size of the business as measured by the volume of sales FARM. There are several current ideas, moreand purchase is small. or less conflicting, as to what constitutes a farm. In an attempt to characterize the typical The term itself derives from a verb meaning toAmerican farm writers have frequently used the lease and indicated originally any plot of landterm family farm. This concept, however, has leased, and by extension any plot of land used,no precise meaning. To some it connotes the for agricultural purposes. The varying conno-size of farm which will maintain the farmer and tations which the term has had in differenthis family in accordance with the existing stand- countries and periods furnish an interestingard of living; others hold that it is that size of commentary on changing agricultural situationsfarm that will give full employment at produc- and ideals. tive labor to the farm family. Still others hold A farm is defined by the United States Censusthat the family farm is one of such size that the of Agriculture as: " ... all the land which isfamily does most of the work with some hired directly farmed by one person, ... either bylabor. It is recognized that the size of the family his own labor alone or with the assistance offarm will vary according to the kind of people, members of his household or hired employees.standard of living, type of farming, topographi- ...A `farm' as thus defined may consist of acal and climatic conditions. In some areas, no- single tract of land or of a number of separatetably on irrigated projects, the family farm may and distinct tracts, and these several tracts maybe a farm of very few acres, while in some be held under different tenures, as where onelocalities such as the corn belt it may be as large tract is owned by the farmer and another tractas 16o to 320 acres. In other sectionsof the is hired by him. When a landowner has one orUnited States, especially in the semi -arid re- more tenants, renters, croppers, or managers, thegions, it may involve several sections of land. land operated by each is considered a `farm.' "Moreover, the family, the basis of the family In some parts of the United States, more espe-farm, is constantly changing in size. The con- cially in the west, the word ranch is often usedcept of family farm is therefore somewhatnebu- in place of farm, as in speaking of a chickenlous, but as an ideal it has had wide appeal. ranch. A ranch in the strict meaning of the word, The typical American farm differs in several however, is a range or large area, not necessarilyimportant ways from English and continental enclosed, used for the raising of livestock byEuropean farms. In England the typical farm grazing. Another familiar type of agriculturalis tenant operated not owner operated. These unit, the plantation, differs from a farm largelytenant farms are comparatively large. Moreover, in its considerable size and the fact that it isin contrast with America, where the owner him- operated as a single unit with respect to theself assisted by his family does much of the farm crops grown, to the methods of control of laborwork, in England the farm is more often oper- and to the disposition of products. ated by hired labor. The objective of the English These distinctions, however, are being slowlytenant farmer is not ownership, but rather se- obliterated through changes in the nature ofcurity of tenure. The chief reason for these farming of all types. But in spite of the difficultydifferences is found in the relative abundance of of definition one can outline the characteristicscheap fertile land in America especially until of the typical farm in different countries andabout 5900 and the relative scarcity of land in periods. Farms in America, although they varyEngland together with the fact that land in Eng- greatly as to type of production, size, tenure,land early became an attractive investment for amount and kind of labor employed and ma-individuals and .corporations; later, when farm- chinery and equipment used, have certain thingsing became less remunerative, there was a desire Ioa Encyclopaedia of the Social Sciences on the part of the rich to own land because oflarge quantities of products for sale and buying the social prestige that its ownership conferred.considerable quantities of seed, feed, fertilizer, In America land has never been an attractivemachinery and other products annually. Fur- investment and ownership does not carry withthermore, even if the sales and purchases are it any social distinction. small, the organization and operation of the In continental Europe a large proportion offarm is necessarily affected by external economic the farms are operated by peasants. The farmsforces, especially those that determine the price are small and operated without the aid of hiredof the products which the farmer sells and the labor. In this latter respect the peasant farm ofcost of the goods which he has to purchase. It Europe is not unlike the typical American farm.is more appropriate therefore to consider farm- Normally, however, it is much smaller and muching in general as a quasi- business or a quasi - more intensively cultivated than is the usualcapitalistic enterprise. The shift from the early owner operated farm in America or the tenantself -sufficing to the modern quasi -commercial farm in England. This is due largely to thetype of farming led to much disequilibrium and relative abundance of cheap labor and the scar-raised many problems. city of land and partly to the laws and customs of In recent years the advance made in the tech- inheritance which result in the partitioning ofnique of production and the increasing adapta- the land. The peasant farmer does not use mod-bility of farm machinery to practically all types em machinery to any marked extent, althoughof farming have tended to make the size of the its employment has increased in recent years.farm an outstanding problem. Certain agricul- Unlike the typical isolated American farm thetural economists believe that the family farm peasant farms of Europe are usually clusteredmust give way to a larger unit; in other words, in villages, and many of the common rights ofthey believe that the size of the farm is gener- the manorial system are still in existence. Itally too small for maximum net returns, and should not be understood, however, that alltheir efforts have been concentrated in bringing farms on the continent are small peasant farms.this idea to the attention of farmers. In the On the contrary, there are many large capitalisticUnited States the original size of the farm was farms, for in Europe as in America farming hasdetermined not alone by economic conditions, been affected by recent developments in tech-but largely by legislation. For example, the 16o- nical practises and improvements in farm ma-acre farm common in the middle west is the chinery. In Soviet Russia the word farm is rap-outgrowth of the Homestead Act of 1862. It is idly taking on entirely new meanings. now generally realized that in many areas 160 Neither should it be understood that tenantacres is not the most economical unit and that operated farms are an anomaly in the Uniteda much larger size should be the objective of States. In spite of the relative abundance of freemost farmers. In areas where the land is level land tenancy existed to a considerable extentor gently rolling it is possible with the aid of even in colonial days, especially in the oldermodern machinery to cultivate several thousand settlements. Following the Revolutionary Waracres profitably. Competent authorities have tenancy became relatively less important. Thestated that in the corn belt, for example, the federal government undertook the acquisition ofmost economical unit is from l000 to 1200 acres a vast public domain which was used in theof land. Whether or not farms will generally development of a class of landowning farmers.become larger will depend on the executive Tenancy, however, did not disappear and in-ability of farmers and their opportunities for deed since 1880, when the first census of ten-acquiring the necessary land and machinery. It ancy was taken, has increased steadily. has been estimated that such large farms will The peculiar characteristics of pioneer farm-involve capital investment varying from $50,000 ing, more especially the element of self -suffi-to $500,000. ciency which still exists to a certain extent, have Since the World War economic conditions, led some to characterize farming as a mode ofespecially in the United States, have tended to life. With the growing commercialization of ag- emphasize the necessity of enlarging the size of riculture this characterization has become, how-the farm. The discrepancy between the price of ever, inadequate. Modern farming is as muchfarm products and the price of productive fac- a business as a mode of life. While the typicaltors has emphasized the necessity of producing farm is still small and to a considerable extentfarm products at a much lower unit cost, and self -sufficing, some farms today are producingone of the methods of reducing unit cost is to Farm-Farm Bloc, United States 103 enlarge the size of the farm and engage in more FARM MANAGEMENT; FARMERS' ORGANIZATIONS; RU- extensive farming. The migration of farm popu- RAL SOCIETY; COUNTRY LIFE MOVEMENT. Consult: Gras, N. S. B., A History of Agriculture in lation to the city has left the farmer without an Europe and America (New York 1925) ch. xiv; Taylor, adequate supply of cheap farm labor; this has Henry C., An Introduction to the Study of Agricul- tended to encourage him to use modern equip- tural Economics (New York 1905). See also the follow- ment which can be more successfully operated ing articles in ,Journal of Farm Economics: Frauen- on large farms, and thefinancial difficulties dorfer, Sigmund von, "American Farmers and Euro- which many farmers have experienced duringpean Peasantry," vol. xi (1929) 633-42; Studensky, G. A., "The Agricultural Depression and the Tech- the present depression have made the enlarge- nical Revolution in Farming," vol. xii (1930) 552 -72; ment of farms more feasible and desirable.Grimes, W. E., "The Effect of Improved Machinery During the war and post -war periods manyand Production Methods on the Organization of farmers fell heavily into debt. And when theFarms in the Hard Winter Wheat Belt," vol. x (1928) 225 -31; Gabbard, L. P., "Effect ofLarge -Scale Pro- collapse in farm prices occurred in the earlyduction on Cotton Growing in Texas," vol. x (1928) part of 192o, many of these farmersfound it211 -24; Holmes, C. L., "Prospective Displacement impossible to meet their financial obligationsof the Independent Family Farm by Large Farms or and have since been forced to relinquish their Estate Management, and the Socio- Economic Con- farms to the mortgage holders, who are as a rule sequences," vol. xi (1929) 227 -47. large mortgage or insurance companies. These companies are confronted with the problem ofFARM BLOC, UNITED STATES. The Farm the disposition or use of such farms. ManyBloc, insurgent and bipartisan, which arose in farms are therefore for sale and are being pur-the Sixty -seventh Congress at the beginning of chased and combined into large operating units,President Harding's administration, was the while those retained by the mortgage companiesmost significant political bloc which has yet are in some cases being operated inmuch largeroperated in the United States. units. Sporadic political agrarian movements have The corporation farm, however, is not likelybeen numerous in American history; there had to displace to any marked extent the small ownereven been in the period from 1900 onward a operated farm or family farm. In many sectionsloose and shifting grouping of congressmen in- of the United States the climatic and topograph- terested in agrarian relief, but it was not until ical conditions are decidedly unfavorable to the1921 that a definitely organized legislativefarm use of labor saving machinery. Notinfrequentlybloc came into existence. The movement, al- machinery cannot be used extensively becausethough aided by southern Democrats, was west- of the peculiar character of the crops grown.ern in inspiration and grew out of thedesire of Often the labor available cannot without con-senators and representatives from the agrarian siderable training handle the type of machinesregions to obtain remedial legislation. The eco- best adapted to large scale farming. Finally, thenomic consequences of the World War had small farmers can obtain through cooperativebrought about a depression in agriculture that effort many of the advantages now possessedruined many farmers and placed many more on only by large corporation farms in buying andthe verge of bankruptcy. Farm lands suddenly selling and in the use of machinery and equip-sank in value, the wages for farm labor rose, ment. For these reasons competent agriculturalwhile the markets diminished and the prices economists do not believe that revolutionaryoffered for farm produce fell. Although it was changes in the type of farm will soon take placepointed out in many quarters that the farmers' in America. They are even less likely in theplight was but an aggravated aspect of a general more stable agricultural communities ofEurope.slump, the agriculturists took the view that their Whether or not the farm will maintain and per-situation demanded special consideration. Since haps increase its self -sufficiency as a producingimprovement was looked for through the exten- and consuming unit or will be drawn ever fur-sion of cooperative marketing and of proper ther into the commercial system is more difficultrural credit facilities, for which government aid in the amendment of laws and the appropriation to predict. G. W. FORSTER of public funds was considered essential, the farmers looked to politics for the redress of their See: AGRICULTURE; PLANTATION; LATIFUNDIA; MANO- wrongs. FARM RIAL SYSTEM; PEASANTRY; LANDED ESTATES; The Republican grain growers first supported TENANCY; LAND TENURE; DRY FARMING; RECLAMA- TION; IRRIGATION; HOMESTEAD; LAND SETTLEMENT; Frank O. Lowden, working for his nomination I04 Encyclopaedia of the Social Sciences in the Republican party convention of 1920. an amendment providing for a representative of Some of the western farmers regarded the or-agriculture on the Federal Reserve Board. ganization of a third party as a better solution, Senator Capper stated that the bloc "un- but the vote polled by the Farmer -Labor partydoubtedly speeded the progress toward better in the 1920 election was barely I percent of themarketing and more justice in the distribution total popular vote and the increase in later elec- of the consumer's price between the producer tions was not impressive. Expectation then cen-and the distributor." The bloc at least forced tered upon the dominant Republican party:the administration to consider the problems of within its arena the western grain grower andagriculture, as in the national conference on the allied agrarian interests would have to meet thesubject called by President Harding. Its success eastern manufacturer and the business man. Thewas achieved in the teeth of opposition from the recovery of power by the Republicans in 192o"old guard" within the Republican party. Meas- meant a rivalry of urban and rural factions withinures initiated by the bloc were later pointed to the party for the adoption of policies basicallyas achievements of the Republican party and opposed. Neither side was pleased with thethe administration took credit to itself for them. arrangement, but in this situation the leaders ofMoreover, the business interests within the par- the grain growers of the northwest held theties, unable to secure passage of their own strategic position; they found allies in the agri-measures, curbed the more radical tendencies of cultural leaders from the far west and the lowerthe farm group. Having secured certain pallia- south. Thus a sectional alliance was createdtives, the Farm Bloc ceased to function as an upon the basis of the common economic de-organized entity. It met with reverses in both mand for agricultural relief. To the furtherancehouses of Congress in 1924 and the presidential of this cause party ties were for the time beingelection of that year demonstrated the hope- forgotten. lessness of a third party. West and south failed The Farm Bloc was actually formed onto cooperate upon the schemes for farm relief May 9, 1921, at a meeting of twelve senatorsprojected in the sixty -ninth Congress. The im- held in the Washington offices of the Americanmediate urgency of an economic crisis once Farm Bureau Federation. In the Senate it camepassed, traditional party lines reappeared. Sec- to be comprised of fourteen Republicans andtional differences among the agrarian interests ten Democrats. In the House the bloc organi-again loomed large and the western farmer zation was not so clearly defined. Although turned definitely to the Republican party, look- about one hundred representatives frequentlying for relief through adjustment of the tariff acted together upon farm questions irrespective and through schemes of price stabilization by of party ties they could hardly be comparedthe federal government. exactly with the group in the Senate. The or- The Farm Bloc served to emphasize the key ganized legislators worked in close harmonyposition held by the western grain growers in with the organized farmers, who lent their activethe partisan alignment in the United States and support and counsel through the Americanto indicate the far reaching changes that might Farm Bureau Federation, the National Grange,be brought about through an alliance of the west the National Board of Farm Organizations andwith the south. The bloc as a political instru- similar agencies. mentality derived peculiar importance in this It is impossible to state precisely all the billscase from the fact that the economic interests enacted through the influence of the Farm Bloc.represented were identified with definite sec- Senator Capper, the leader of the movement,tions dominated by a particular interest-agri- lists those measures passed while the group wasculture. The history of the Farm Bloc indicates, organized as follows: an amendment to the Farmhowever, that the bloc is not likely to emerge Loan Act, increasing the capital by $25,000,000;until the compromise of sectional demands an amendment increasing the Farm Loan Bondwithin the political party fails and economic con- interest rate to 52 percent; an act to preventditions render the need for special remedial gambling in grain futures; an act placing theaction acute. The bloc remains under the presi- great packing houses under the general super-dential system a potential weapon useful only visory and regulatory power of the secretary ofin extremities and then only for limited definite agriculture; the prolongation of the powers ofends. the War Finance Corporation; a measure pro- E. PENDLETON HERRING viding for cooperative marketing facilities; and See: AGRARIAN MOVEMENTS, section on UNITED Farm Bloc, United States - Farm Bureau Federation105 STATES; BLOC, PARLIAMENTARY; FARMERS' ORGANI- State Federation of County Farm Bureau Asso- ZATIONS; FARM RELIEF. ciations was organized in New York in 1917; a Consult: Capper, Arthur, The Agricultural Bloc (New second appeared in West Virginia in the same York 1922); Holcombe, A. N., The Political Partiesyear and others followed rapidly. The only of Today (2nd ed. New York 1925) p. 312, 37o -8o;manifest purpose of these state organizations Herring, E. P., Group Representation before Congress, Institute for Government Research, Studies in Ad-was the obvious one of promoting and systema- ministration (Baltimore 1929) p.I2z -z4; Brown, tizing extension work. But since they ostensibly G. R., The Leadership of Congress (Indianapolis 1922) possessed unused powers, it was not strange p. 264 -73. that someone should suggest a national organi- zation of these state farm bureaus, as they were FARM BUREAU FEDERATION, AMERIbeginning to be called. In 1919 the president of CAN. This organization is one which in severalthe New York Federation called a meeting of important respects is markedly different fromthe state bureaus then in existence. Twelve all other general farmer organizations, for itstates were represented at the meeting held in developed directly out of the activities of theFebruary in Ithaca, New York, at which the educational extension forces of the state andpreliminaries of the farm bureau organization nation. Those who unwittingly laid the founda-were provided for and a meeting was called to tion of the Bureau had no thought of starting aconvene in Chicago in November. widespread farmer movement designed to pro- The Chicago meeting was not a peaceful one, mote and foster business undertakings, to shapefor there appeared wide differences of opinion as and guide legislation pertaining to agriculture orto the main purposes to be accomplished by the to pry into such subjects as the tariff and taxa-new organization. The possibilities of such a tion. The basis of the organization consisted ofnation wide organization of farmers had in the the county forces, committees or bureaus backinterval been more fully realized by militant of the county agricultural agent system whichagrarian leaders. In the east especially and to had grown up so rapidly and so powerfully justsome extent in the south and west a sentiment before the outbreak of the World War, andprevailed favoring a broad educational program. which during the war years under the stimulusBut the middle west stood for an aggressive of emergency food needs became all but uni-business program, the backbone of which ap- versal the country over (see EXTENSION WORK,peared to be a renewed and general advance- AGRICULTURAL). ment of cooperative marketing, coupled with a The county agent at first had no other purposemilitant legislative campaign. The outcome was than to bring to the farmer the results of scien-a compromise which could easily be interpreted, tific study and by contact and demonstration toas a triumph for the middle western group, induce him to use such information in the mostsince to give aggressive marketing a place on the' practical way. These agents, originally respon-program was tantamount to placing it ahead of sible to the United States Department of Agri-any social and educational program which could culture and the state agricultural colleges, werepossibly be formulated. Just as even the Grange in many parts of the country soon supportedsubordinated its social program to economic largely by local groups of farmers and often byinterests during its most aggressive and spectac- local chambers of commerce. Such countyular period, 1872 to 1876, so for several years bureaus or committees had even before the warthe Bureau put its whole energy into marketing begun to take an active part in the work ofand legislative propaganda. In more recent years agricultural improvement directed by the countyits efforts have been rather more symmetrically agent. In some states, notably West Virginia,balanced among broad interests, yet clearly its appointment of a county agent was made con-primary purpose is economic. tingent on the organization of such a county In the first few years of its existence the mem- bureau. The acceleration of this movement gavebership of the Bureau increased with remarkable to the farmers of the country a new and muchrapidity. It was claimed, and on good authority, coveted weapon -a really nation wide series ofthat it was over a million (1,200,000) in 1921. organizations which could be brought togetherThe official reports do not account for such a under a new head and for new purposes. Be-number, but there are frequent instances of fore the end of the war the county farm bureaudelinquent payments by the county bureaus to leaders in several states had formed more orthenational organization even though the less coherent state organizations. The first suchmembers have paid. Thus there is a bona fide io6 Encyclopaedia of the Social Sciences membership somewhat larger than that showntension work in several states, especially in Iowa. by the receipts of the national Bureau. Since a Some question arose in the early years of its membership includesthepaying members'organization regarding the relationship of the family, the Federation has been computed toBureau, and especially of its local units, with the represent three and a quarter times the numberstate appointed county agents. A fairly clear of its individual members. In 1921 the budget ofunderstanding was finally reached and embodied the national organization was over $300,000,in a memorandum signed by the head of the while that of the Illinois Farm Bureau was overFarm Bureau Federation and the director of the $400,000. In Illinois the dues were $15 perStates Relations Service of the Department of member; in a few states they were $5, but theAgriculture. According to this the county agent more usual figure has been $10. Out of thesemight advise the Bureau in the development of fees the national organization ordinarily re-agricultural programs, as he would advise any ceived half a dollar, the state about $3.50, theother farmers' organization; but as a semipublic local $6. No other farm organization, exceptagent he could not withold similar service from possibly the Non -Partisan League, has ever hadnon -members of the Bureau. Many local bu- so much money to spend. Apparently feelingreaus continued, however, to rely upon the that farmer organizations in the past had madecounty agents for effective leadership. Local and the mistake of paying officers and employees toostate farm bureaus also continued to cooperate little the Bureau has had a long list of officialsin defraying the expenses of county agents and a receiving salaries of from $10,000 to $15,000distinctive feature of the Farm Bureau Federa- a year. tion has been its aggressive advocacy of exten- The activities of the Bureau during the firstsion work. few years after its organization were directed In 1931 the Bureau was the third farmer mainly to congressional lobbying and to effortsorganization in size in the United States, having to start big cooperatives. The lobbying was ablya membership of about a third of a million pay- done, and several important bills relating toing members. Its main strength is in the middle credit, marketing and other subjects were en-west, the leading states in membership being gineered through Congress. But the main effortIowa, Illinois, Ohio, Indiana; outside of this of the Bureau went into the formulation andgroup it is strong in New York and California. launching of cooperative undertakings, most im- The Bureau has worked amicably with the portant of which was the ill starred UnitedGrange, but in some states clashes with the States Grain Growers, Inc. The plan for thisFarmers' Union. In general its policy has been organization was elaborate, and much moneyaggressive but cautious, and it clearly has stood was spent in its preparation, but it had beenmidway between radicalism and conservatism. planned by people with too little experience in B. H. HIBBARD the marketing of grain and it virtually never See: EXTENSION WORK, AGRICULTURAL; AGRARIAN started. The experience of the Bureau in its MOVEMENTS; FARMERS' ORGANIZATIONS. other all inclusive marketing ventures was notConsult: Kile, O. M., The Farm Bureau Movement flattering, but in less spectacular ways it has (New York 1921); Wiest, Edward, Agricultural Organ- been influential and effective in promoting co- ization in the United States (Lexington, Ky. 1923); Hibbard, B. H., Marketing Agricultural Products operative marketing. Cooperative marketing of(New York 1921); United States, Department of wool and livestock has been especially success- Agriculture, "A History of Agricultural Extension ful. The Bureau also played a real part in the Work in the United States" by A. C. True, Miscel- organization of many dairy cooperatives and of laneous Publication, no. 15 (1928) p. 151 -71. cooperatives for the buying and selling of farm supplies. FARM COSTS. See FARM MANAGEMENT; FAM- Rather tardily the Bureau joined the ranks of ILY BUDGETS. the supporters of the McNary - Haugen Bill, but in general it has not been a radical body. In 1929FARM LOAN SYSTEM, FEDERAL and 1930 it did much effective work in connec- LONG TERM CREDIT. The struggle of the tion with the schedules of the Hawley -Smootfarmer for cheaper money and easier credit has tariff act. For several years the Bureau has in-colored American agrarian history since the spired studies of taxation in its relation to theCivil War. The Greenback and free silver move- farmers, showing most commendable leadershipments and the pressure for the liberalization of in this field. It has aided notably in college ex-national bank legislation are indicative of the Farm Bureau Federation-Farm. Loan System, Federal 107 credit roots of agrarian unrest in the last quarterthe latter to reincorporate into the new joint of the nineteenth century. By the close of thestock land banks, which could avail themselves century the change in the character of agricul-of some important privileges under the new law ture, which was losing the features of a self -while continuing to operate for private gain. sufficient way of life and becoming an industry The administrative framework of the Federal organized along business lines, gave particularFarm Loan system resembles somewhat the force to farmers' complaints of the inadequacyFederal Reserve system. At its head is the of the existing mortgage credit facilities. TheFederal Farm Loan Board, composed of the passing of the frontier with its plentiful supplysecretary of the Treasury, chairman ex officio, of rich, unoccupied land, together with the in-and six other members appointed by the presi- creasing mechanization of agriculture, made the dent, one of whom is designated farm loan com- farmers increasingly feel their dependence uponmissioner. The Board supervises the operations financial institutions for the funds necessary toof the Federal Land Banks, the joint stock land carry on their operations. Land values began abanks and the National Farm Loan associations. steady and consistent rise and farmers wereIt issues from time to time general rules and compelled to borrow more money to get pos-regulations governing their operation; through session of land. In addition farmers frequentlythe examiners and appraisers of the Farm Loan needed to borrow rather substantial sums ofBureau it subjects the banks and associations to money to finance improvements on their farms periodic examinations and passes upon the value or the purchase of machinery and livestock. Theof mortgages tendered as security for bond mortgage credit system comprising life insur- issues. ance companies, private mortgage banks and in Under the act twelve Federal Land Banks part commercial banks was found wanting onwere established in 1917, and in 1922 the Balti- several counts. It was claimed that the custom-more bank opened a branch in Porto Rico. The ary term of farm loans was too short to allow forbanks are limited in their lending operations to repayment out of the surplus yield of the land;single districts, the boundaries of which were that the method of repayment was haphazard; drawn in such a way as to equalize the credit that the possibilities and conditions of renewaldemands made upon the banks and to provide were uncertain; and that interest charges andfor a diversity of agricultural conditions within commissions were higher than a good farmeach district. The original capital of the banks - mortgage security under a specialized and mo-$9,000,000 in all -was supplied almost entirely bile system of land credit should warrant. by the government, but provision was made for The agitation for additional mortgage creditredemption of government stock by the National facilities attained national prominence duringFarm Loan associations as soon as the opera- Taft's administration, but the Federal Farmtions of the banks attained sufficient magnitude. Loan Act was not passed until 1916. In its finalThe original directors of the banks were ap- form the act represented a compromise betweenpointed by the government, but it was hoped the cooperative and individualistic points ofthat with the transfer of the stock to member view. A group in Congress, influenced by a com-associations a majority of the directors would be mission which it had sent to Europe to study theelected by them. Before that step was taken, mortgage credit institutions there, favored non-however, the law was amended, and at present profit, cooperative land mortgage banks pat- each bank is managed by a board of seven direc- terned after European models, organized, ownedtors, three elected by the borrowers through and controlled by farmer borrowers. Anothertheir associations, three appointed by the Fed- group, influenced by the private farm mortgage eral Farm Loan Board and one appointed by the banks already in existence, insisted that the co-Board from a list of nominees selected by the operative method was not suited to Americanborrowers through their associations. The con- conditions and proposed the establishment oftrol of the Federal Land Banks is thereby vir- additional private mortgage credit institutionstually placed in the hands of the Federal Board operated on a profit basis under governmentat Washington, although the government retains supervision. The act provided for Federal Farmonly a small amount of stock in two banks. Land Banks as the regional institutions of a non- The banks obtain the funds which they loan profit cooperative mortgage credit system; butto the farmers by issuing and selling bonds, se- in order to meet the opposition of the existingcured by the borrowers' mortgages, which are farm mortgage banks the act made it possible fortrusteed with the district Farm Loan registrar io8 Encyclopaedia of the Social Sciences appointed by the Farm Loan Board. The bondswatchful control over them. These hopes were are nominally issued as the obligation of a par-not borne out by subsequent developments. The ticular bank but are in effect the joint obligationassociations at present vary in size from the legal of all the twelve banks. In marketing a part ofminimum of ten members and $zo,000 in loans these bonds the banks relied in the early years onto a maximum of several million dollars in loans the assistance of a syndicate of investment bank- and a membership exceeding i000. At the close ers and the support of the federal Treasury,of 1930 there were 4656 associations in existence. which was authorized to purchase bonds not in The joint stock land banks have no organic excess of $100,000,000 per annum. Since then,relation to the other institutions in the Farm however, the bonds, which are tax exempt se-Loan system, but they must be chartered and curities and are issued in small denominations,are subject tosupervision by the Board in have attained a good reputation and are mar-Washington. They are private mortgage institu- keted directly by each bank locally and by a jointtions and make loans directly to farmers. They organization of the banks which maintains a fis-secure their funds by issuing tax free mortgage cal agent in New York City. At present thesebonds under the supervision of the Federal bonds are widely held, many of them abroad. Farm Loan Board. These bonds are individual At the base of the Farm Loan system are theobligations of the issuing bank and no one joint National Farm Loan associations, cooperativestock land bank is in any way responsible for organizations formed by farmers for the specificany of the obligations of another bank. The purpose of securing mortgage loans through thenumber of joint stock land banks grew rapidly Federal Land Banks. The banks with the excep-from 1919 to 1923, but since then it has been tion of the Porto Rico branch and a few isolateddeclining continually because of liquidation and cases in the continental United States make allconsolidation. These banks are assigned a defi- their loans through these associations. It takesnite territory upon their organization; at present a minimum of ten farmers to form an associa-there are more than ten states in the Union not tion, and these ten farmers must make applica-served by such banks. tion for a minimum amount of $20,000 in loans. The regulations regarding the purposes, dura- Upon its organization the association is assignedtion and interest charges on the loans as well as a definite territory, the farm population of whichthe value of underlying mortgages apply equally must apply for loans through the intermediationto Federal Land Banks and to joint stock land of this association. Its loan committee passesbanks. Loans granted by these institutions must upon applications for loans, appraises the valuebe used to liquidate existing mortgage indebted- of the underlying property and may reject theness on farm land, to provide for the purchase of request or reduce the amount of the loan. Inland for agricultural purposes or of equipment, either case the decision of the association is final.fertilizers and livestock necessary for the proper If it approves the application, this is sent on toand reasonable operation of the mortgaged farm the bank, which in its turn sends an appraiser toand to finance buildings and improvements on inspect the property on which the loan is de-the farm. Of the loans the mortgages of which sired. Upon approval of the loan by the bank thewere submitted to the Board for approval as col- association subscribes for bank stock to thelateral for bond issues from the inception of the amount of 5 percent of the loan and the bor-system to the end of 1930, 77 percent were used rower in his turn subscribes for an equal amountfor refunding existing mortgage indebtedness, 7 to the association stock. It also endorses thepercent to repay loans not secured by farm mort- borrower's mortgage to the bank, but since thegages and i i percent for the purchase of land. stock of the association carries only double Loans must always be secured by first mort- liability the farmer members of the associationgages on improved farm real estate and cannot are not jointly liable for one another's loans. Theexceed 5o percent of the value of the land ap- association employs a paid secretary- treasurerpraised for agricultural purposes and 20 percent and is supposed to assist the bank in seeing thatof the value of the buildings thereon. Individual the borrowers make prompt payments of matur- loans of the Federal Land Banks may run to a ing instalments of the loans, of taxes and of in- maximum of $25,000, but the joint stock banks surance premiums on the mortgaged property.can make loans up to $50,000. The banks are It was hoped that the associations would develop permitted to charge the borrowers a rate of into live cooperative institutions which wouldinterest i percent in excess of the rate on their formulate policy for the banks and exercise abonds, but under no conditions may they charge Farm Loan System, Federal 109 TABLE I LOANS OF LAND BANKS, 1918 -30

FEDERAL LAND BANKS JOINT STOCK LAND BANKS

NEW LOANS CLOSED NEW LOANS CLOSED NUMBER LOANS LOANS IN ACTIVE OUTSTANDING OUTSTANDING OPERATION DECEMBER 31 DECEMBER 31 DECEMBER AMOUNT (in $1,000,000) NUMBER AMOUNT (in $I,000,000) NUMBER (in 1000) (in $1,000,000) 31 (in moo) (in $1,000,000)

1918 156 I18 9 8 1919 294 3o 6o 192o 35o 27 78 192I 433 69 25 85 0.9 9 1922 639 74.1 224 63 219 15.9 139 1923 Boo 60.1 192 7o 393 27.4 190 1924 928 47.2 i66 64 446 11.4 75 1925 ioo6 39.9 I27 53 546 19.7 131 1926 1078 36.9 131 56 632 19.9 123 1927 1156 39.3 140 5o 67o 14.1 82 1928 1194 27.0 102 49 657 7.3 41 1929 I198 17.I 64 49 627 3.1 18 193o 1188 I2.5 48 48 590 .9 5

Source: Compiled from Annual Reports of the Federal Farm Loan Board. more than 6 percent. The greater part of theThe system as a whole passed through a crisis loans has been made at 5-5/2 percent interest.in 1927: some of the banks were guilty of lax The duration of the loans may not be less thanpractises and low standards, and in a few cases five years nor more than forty years, but theabuses and mismanagement actually led to crim- typical maturity of a loan granted by the systeminal prosecution. As a result the Farm Loan is about thirty -five years. Loans must be amor-Bureau at Washington was reorganized and tized in semi -annual instalments, and the bor-closer supervision and more regular examination rowers are given the privilege of advance re-of the banks and associations have been insti- payment. tuted. It was estimated that at the close of 5924 The loaning operations of the Federal Landthe Farm Loan system supplied 14.6 percent of Banks expanded rapidly in the first three yearsthe total farm mortgage credit in the United of their existence and came to an almost com-States; at the end of 1927 the share of the system plete stop for about a year in 1920 -21 whenamounted to 19.3 percent. the constitutionality of the Farm Loan Act was The underlying cause of the 1927 crisis was tested. The next five years saw the most rapid the increasing gravity of the foreclosure problem. growth of the banks; this is particularly true ofForeclosures first attained some importance in the period from 1922 to 1924, when the increase 1925, when the Spokane Federal Land Bank in loans was in part due to the pressure by com-found itself unable to charge off all defaulted mercial banks for liquidation of farmers' in-loans against reserves. The other Federal Land debtedness to them. Since the beginning of 1928Banks agreed then to take over a part of the fore- the volume of new loans made constantly de-closed real estate and to charge off the corre- clined, and since about the middle of 1929 newsponding loans against their reserves. Since then loans granted have not been as great as reduc-the amount of foreclosures has become too large tions in the old loans outstanding. The jointand the policy of not showing foreclosed real stock land banks were developing rather slowlyestate as an asset in the statement of conditions in the early years of the system's existence, buthas been given up. At the close of 1930 the from 1922 to 1926 the rate of their expansion atFederal Land Banks owned real estate valued at times exceeded that of the Federal Land Banks.less than $21,000,000, against which they had The average size of their loans as compared withset up reserves of over $8,000,000. The fore- that of the Federal Bank loans indicates that theyclosure problem has been more serious for the have been serving a somewhat more prosperousjoint stock land banks. Three of them have farming clientele. Since 1927 new loans grantedbeen forced into receiverships. In the case of a by joint stock banks have seriously declined.good many other joint stock banks the public z io Encyclopaedia of the Social Sciences faith has been so shaken that they are no longerlations with the other banks of the Farm Loan able to sell their bonds and make new loans.system. Several of them are really in process of volun- The Intermediate Credit Banks are owned by tary liquidation, their outstanding bonds sellingthe federal government; their entire capital stock at a discount of from 40 to 5o percent of theirwas subscribed by the federal Treasury. Each face value. bank is capitalized at $5,000,000, but by the The seriousness of the foreclosure problemend of 1930 only $30,000,000 of the subscribed indicates the abnormality of general agricultural amount had been called by the banks. In return conditions under which the system has been 5o percent of the net earnings of the banks are operating. Agriculture has passed through anpaid into the Treasury as a franchise tax. The enormous land boom, which has been followedfunds necessary to carry on loaning operations by one of the most severe agricultural depres-are obtained through the issue of short term sions in history. Whatever the system may havetax free debenture bonds secured by farm paper accomplished under more normal circumstances,in the banks' portfolios. The maturities of the its actual achievements are not particularly im-debentures may not exceed five years, but ordi- portant. It is true that interest rates have beennarily they run from three months to a year. reduced and dependable long term credit is madeThey constitute a joint obligation of the twelve available to those who have good security tobanks, are issued under the supervision of the offer. But contrary to the claims made for theBoard in Washington and are marketed by the system before its establishment it has not re-same organization which handles the bonds of duced farm tenancy, which is probably larger the Federal Land Banks. As they are very well today than ever before. No back -to- the -landsuited to the investment requirements of the movement was initiated, but rather the move-large commercial banks they are always readily ment away from the farms has continued un-marketable. The Intermediate Credit Banks are abated during the past ten years. Finally, fore-also privileged to rediscount their paper with closures are increasing yearly in volume andthe Federal Reserve Banks but have never taken number, and the general economic condition ofadvantage of this opportunity. the farmers is growing worse rather than better. Intermediate Credit Banks do not dealdirectly INTERMEDIATE CREDIT. The sudden and dras- with farmers. They make loans to cooperative tic decline of agricultural prices in the Unitedmarketing associations on warehouse and ship- States in 1920 -2I led the country bankers toping receipts covering stable agricultural corn - demand the repayment of a considerable por-modities. The types of commodities on which tion of the large volume of bank indebtednessloans may be made by the banks are subject to contracted by farmers during the World Warregulation by the Farm Loan Board, but no loan and the land boom which followed immediatelymay exceed 75 percent of the market value of the after. As a result there developed a grave creditcommodity offered as security. Cotton and to- stringency in the principal agricultural states.bacco have absorbed a considerable proportion This led to the demand for the establishment ofof the loans made by the banks since their es- credit facilities that would bridge the gap be-tablishment. The paper of individual farmers tween the Farm Loan system providing longcomes to the banks through a local credit agency term credit and the commercial banks, whichsuch as a commercial or savings bank, a trust could safely extend only short term loans. It was company, a livestock loan company or an agri- felt that some agricultural loans could not becultural credit corporation. Agencies discount- self -liquidating unless their maturities ran froming with the Intermediate Credit Banks may not nine months to three years. To meet this needmake a charge for their loans in excess of 2 per- the Sixty- seventh Congress passed on the lastcent (in the case of livestock loan companies day of its session an amendment to the Federalz -1/2 percent) of the interest paid to the banks Farm Loan Act entitled the Agricultural Creditson the rediscounted paper. This accounts in Act of 1923, which provided for the establish-part for the fact that commercial and savings ment of twelve Federal Intermediate Creditbanks and trust companies scarcely avail them- Banks. Although they were set up as adjuncts toselves of the facilities offered by the Interme- the Federal Land Banks and were made subjectdiate Credit Banks. Through the agricultural to supervision by the Farm Loan Board, theycredit corporations, many of which are organ- constitute in effect a separate credit system andized by the cooperative marketing associations, they have no organic connection or financial re- the Intermediate Credit Banks are able to make Farm Loan System, Federal - Farm Management III agricultural production loans secured by liens CATTLE LOANS; AGRICULTURAL COOPERATION; AGRI- on crops, work stock and farm equipment. The CULTURE, GOVERNMENT SERVICES FOR; FARM RELIEF. maturities of loans and discounts by Inter- Consult: United States, Federal Farm Loan Bureau, Annual Reports, published since 1918; Engberg, R. C., mediate Credit Banks may not be longer than "The Functioning of the Federal Land Banks," and three years; the original limitation of minimum Gile, B. M., "Functioning of the Federal Intermedi- maturity to nine months was abolished in June, ate Credit Banks" in Journal of Farm Economics, vol. 193o. The interest charged may not exceed i xiii (1931) 133 -45 and 523-32; Country Life Com- percent of the interest paid on the debentures. mission, Report ... 1908 -09, United States, Senate, both Cong., and sess., Senate Document no. 705 TABLE II (1909); United States, Congress, "Report of the Joint Commission of Agricultural Inquiry," 4 pts., 67th LOANS AND DISCOUNTS OF FEDERAL INTERMEDIATE CREDIT BANKS, 1923 -30 Cong., Ist sess., House Report, no. 408 (1921) pt. ii; (IN $I,000,000) Lubin, David, The Rural Credit Measure (Rome 1914); Eliot, Clara, The Farmer's Campaign for Credit (New York 1927); Wright, Ivan, Farm Mortgage Fi- LOANS DISCOUNTS OUTSTANDING nancing (New York 1923); Putnam, G. E., The Land OUTSTANDING DECEMBER 31 DECEMBER 31 Credit Problem, University of Kansas, Bulletin, vol. xvii,no.18 (Lawrence 1916); Myrick, Herbert, To AGRI- To LIVE- Federal Farm Loan System (New York 1916); Pope, J. ON CULTURAL TOTAL TOTAL STOCK LOAN E.,Federal Farm Loan Act (Washington 1957); COTTON CREDIT COR- COMPANIES PORATIONS Wiprud, A. C., Federal Farm Loan System in Opera- tion (New York 1921); Morman, J. B., Farm Credits in 1923 33.6 16.3 9.1 4.2 3.8 the United States and Canada (New York 1924); 1924 43.5 13.6 18.8 9.8 8.o Io.4 Benner, Claude L., The Federal Intermediate Credit 1925 53.8 23.4 26.3 15.3 System (New York 1926); Willis, H. Parker, The Fed- 15.6 1926 52.725.7 39.7 23.8 eral Reserve System (New York 1923) ch. lxvi. 1927 32.o 14.9 43.9 22.5 21.2 1928 36.2 23.1 45.1 21.0 23.8 1929 26.1 I2.0 50.0 21.0 26.9 FARM MANAGEMENT as an economic func- 1930 64.3 39.1 65.6 30.4 32.8 tion consists of the organization and operation of Source: Compiled from the Annual Reports of the Federal individual farms; as a discipline it consists of the Farm Loan Board. development of scientific methods and tech- The Intermediate Credit Banks have renderedniques for the direction of such organization and a very real service to the cooperative market-operation. In virtually all societies the practise ing associations of the country and have alsoof farm management has been a matter of pri- given considerable aid to the livestock industryvate economy as contrasted with public or po- and to those agricultural sections where otherlitical economy, and its motive maximum gain or banks were not adequate to take care of localmaximum utilization of the productive resources credit needs. They have been most helpful in theand economic opportunities at the command of south, west and in the spring wheat belt. It wasthe individual farm proprietor. estimated that in 1929 their discounts amounted The term management as used in agriculture to 2 percent of the total personal and collateralhas come to carry a broader meaning than is loans obtained by farmers. They have also beenordinarily given it in non -agricultural industry, used to some extent as distributing agencies forwhere it generally applies only to operation and credit assistance in flood and storm stricken to some limited phases of the organization of a areas. Should the Federal Farm Board succeedbusiness, excluding the broad executive and fi- in its endeavor to get a large volume of agricul-nancial responsibility comprehended under the tural products marketed through cooperativeterm entrepreneurship. In agriculture, however, associations, the business of the Intermediateit has come to be applied to the whole range Credit Banks would no doubt increase, as theseof responsibilities of both organization and op- institutions are ideally adapted to financing co-eration: planning the financial structure of the operative marketing activities. At the presentbusiness, making commercial contacts for both time, however, they are not doing a large volumebuying and selling, determining the production of business, and there is little likelihood of theirprogram and determining which and inwhat doing much more in the immediate future unlessproportions productive factors are to be com- the cooperative movement in agriculture should bined as well as current control and direction attain greater proportions. of farm labor and of technical operations, the CLAUDE L. BENNER administration of marketing processes and the See: AGRICULTURAL CREDIT; LAND MORTGAGE CREDIT; keeping of records and accounts. II2 Encydopaedia of the Social Sciences Since farm management in this sense is an es- thur Young in England and Albrecht Thaer in sential function in farming it is as old as agricul-Germany in the early nineteenth century were ture itself. In pastoral and feudal regimes and inpioneer writers on the function of farm pro- general when farming was preeminently self -prietorship: Arthur Young as preeminently the sufficing rather than commercial and when tra-apostle of the new agricultural technique, Thaer ditional methods were dominant, managementas the formulator of principles and the founder had limited scope and opportunity. With theof the science. Further development of the prin- development of modern industry and of inter-ciples of farm management did not take place regional and international trade agriculture hasfor several decades. After the Napoleonic wars been brought into the commercial system, untilEnglish agriculturists were interested chiefly in a knowledge of business methods as well as ofthe tariff controversy and, following the repeal improved agricultural techniques has become aof the corn laws, almost entirely in land tenure. condition of profitable farming, and farm man-In Germany, on the other hand, the attention of agement an increasingly complicated art. agriculturists turned to the application of natu- The hired farm manager or estate managerral science to agricultural technique. But the has been of some importance in the history ofrapid opening of new and highly productive agriculture. He has appeared in every societyagricultural lands in America and other parts of characterized by large landed estates and absen-the world in the latter half of the nineteenth tee ownership -in Egypt, in the later Romancentury with the consequent flooding of Euro- Empire, throughout mediaeval and modern Eu- pean markets and depression of agriculture again rope. Such hired managers have at times con-directed general attention to the economic prob- tributed to the science of farm management;lems of the farmer. A group of German scholars, more often, however, such management has been of which von der Goltz, Kraemer and Pohl were inefficient and unprogressive. the most conspicuous, revived interest in the In the United States, where the family sizedwork of Thaer and carried forward the develop- holding is the prevailing type, the number ofment of farm management principles and the farms operated by hired managers has alwaysapplication of farm accounting to the organiza- been comparatively small. In recent years, how-tion and operation of farms. ever, there has been a conspicuous development In the theoretical sphere problems of farm of a new type of farm management service.management merge into those of the broader Companies have been formed for the purpose ofstudy of agricultural economics (q.v.) and the planning and operating farms for owners whodevelopment of the two has proceeded in a do not care to put them into the hands of tenants parallel course, often through the efforts of the and who are not in a position to organize andsame individuals. Thus Laur in Switzerland and operate them themselves. In the last decade suchAeroboe in Germany, leaders in European farm management companies have gained temporarymanagement, are also outstanding agricultural importance in the disposition of farms acquiredeconomists. These two are at considerable vari- by banks or insurance companies as the result ofance in their conception of the farm manage- mortgage foreclosures. ment problem, particularly the theory and prac- More important has been the development, tise of farm business analysis. Aeroboe, who has particularly in European countries but also inheld teaching and research positions in various the United States, of organizations rendering aGerman universities and has had successful ex- limited amount of managerial service such as theperience in practical estate management, has for keeping of records and accounts and the analyz-many years conducted a farm accounting service ing of such data for the guidance of farm pro-for the proprietors of German estates. His point prietors. This service is in many countries a partof view in farm management is that of the large of the government program of agricultural ex-scale operator. On the other hand Laur, for tension work; in Europe it has been largely fos-many years professor of rural economics at the tered also by the agricultural societies. SuchZurich Polytechnic, who as secretary of the programs represent practical applications of aUnion Suisse des Paysans has supervised an ac- growing science and discipline of farm manage-count keeping service for Swiss peasant farmers ment. and conducted researches in farm accounting The evolution of the function of farm man- and farm management, takes the problems of the agement has resulted in the growth of systematic,small farmer as his basis for analysis of farm analytic study of its underlying principles. Ar-management problems. On the technical side Farm Management 113 Laur is an ardent supporter of detailed and in-than in Europe. In 1902 the Minnesota Agri- dependent cost accounting analysis of the vari-cultural Experiment Station in cooperation with ous separate enterprises making up the farmthe federal Department of Agriculture began a business as the foundation for business analysisseries of studies in the cost of production of farm and production guidance, whereas Aeroboe con- products which has extended with minor inter- ceives of the farm as a closely knit organism andruptions to the present time, mostly under the regards the effort at financial analysis of the pro-direction of Andrew Boss. These studies have duction of an individual crop or class of livestock been based on more or less elaborate records of as artificial and misleading. A similar variance inactual costs compiled by farmers with the aid of point of view is reflected by different groups ofspecialists. A little later the New York Agricul- farm management specialists in Great Britaintural Experiment Station under the leadership and the United States. of G. F. Warren began the study of farm man- Farm management research and instructionagement through the survey method, which in- in Europe have greatly developed during thevolved securing the farmers' estimates of in- last two decades. Germany has led the waycome and expenses through personal interviews not only in the study of farm management butconducted by students or special agents. This in research into such special aspects as farmmethod, which was adapted to the covering of labor efficiency. In Great Britain a number ofa wide area by relatively few enumerators, was research establishments have been set up, thetaken up by the United States Department of most notable of which is the Agricultural Eco-Agriculture upon the establishment of the Of- nomics Research Institute organized in 1913 atfice of Farm Management in 1905 under the Oxford University. The prevailing type of inves-direction of W. J. Spillman and was carried on in tigation in these institutions is the study of pro-various parts of the country. A new contact with duction costs, although many projects of broadergeneral economic theory was given to farm man- scope are being prosecuted. Other westernEu-agement research by the work of H. C. Taylor, ropean countries including Denmark, Swedenfirst at the University of Wisconsin and from and Norway are developing substantial programs 1919 to 1921 as chief of the federal Office of of farm management research. In at least half a Farm Management. While this new influence dozen European countries something approach-raised a controversy which is still existent as to ing Laur's system of record keeping is in oper-the relative validity of the cost accounting ap- ation, either officially as a part of governmentproach to farm management problems and the service or privately on a commercial basis. more generalized approach from the point of Especially interesting are the recent develop-view of the business as a whole, the result has ments in Soviet Russia. In the earlieryears farmundoubtedly been a broadening of the program management research centered about the prob-of farm management research. lem of the organization of peasant farms. Chaya- By 191. some form of research into the prob- nov's (Tschajanow) work, Die Lehre von derlems of farm management had been inaugurated bäuerlichen Wirtschaft (Berlin 1923, tr. fromin about 25 percent of the agricultural experi- Russian by F. Schlömer), is probably the out-ment stations of the United States. This re- standing Russian contribution in this field. Fromsearch consisted largely in attempts to devise some points of view the most significant recentmethods of cost analysis and some studies of the development in farm management has been thebest combinations of products and of technical assumption of that function by the state as ex-methods. The application of the results of this emplified in Soviet Russia. The government has study was accomplished largely through the ex- not only itself undertaken the organization andtension workers of the colleges and of the De- operation of vast tracts of land for the productionpartment of Agriculture. The whole movement of grains and livestock, but is taking an active received a great impetus in the post -war period. part in the reorganization of peasant farmingThe creation of a national extension service had through its program of collectivization. Russianprovided the basis for an enlarged program; the farm management investigators are vigorouslydiscussion of price fixing during the war led to a at work on the new problems raised by statenew interest in cost accounting methodsfor farming and collectivized agriculture. farmers; while the agricultural depression made In the United States the scientific attack onevident the need for increasing control of the farm management problems through researcheconomic aspects of farm life. and instruction is of much more recent origin A survey of research in agricultural economics II4 Encyclopaedia of the Social Sciences made by the Social Science Research Council in wirtschaftliche Betriebslehre (2nd ed. Aaran 1909); 1927 revealed that in that year there were 125 Fauser, I., "German Approach to Farm Economic In- vestigations" in Journal of Farm Economics, vol. viii farm management projects being conducted by (5926) 289 -97; "The Science of Farm Labour; Scien- state experiment stations and the federal Bureau tific Management and German Agriculture" in Inter- of Agricultural Economics. A broad range of national Labor Review, vol. xv (1927) 378-413; Shirko- problems was covered in this research. It in- vitsch, J., "Ideengeschichte der Agrarwissenschaft in cluded cost of production studies, general stud- Russland" in Weltwirtschaftliches Archiv, vol. xxvii (1928) 104 -22; Gordeeff, G. S., "The Development ies in the organization and reorganization of of Agricultural Economics and of Farm Management farms, studies in farm practise, studies in the in the U. S. S. R." in International Conference of methods of farm business analysis and a rapidly Agricultural Economists, Second, Ithaca, N. Y., 1930, growing program of type -of- farming studies in Proceedings (Menasha, Wis. 193o) p. 923-35; Cha- yanov, A., "The Organization and Development of which the regional and local variations in farm Agricultural Economics in Russia" in Journal of Farm economy are related to the numerous combina- Economics, vol. xii (1930) 270 -77. tions of physical conditions and economic forces FOR THE UNITED STATES: Warren, G. F., Farm which shape and reshape agriculture. ResearchManagement (New York 1913); Spillman, W. J., "What Is Farm Management ?" United States, De- into the personal characteristics making for suc- partment of Agriculture, Bureau of Plant Industry, cess or failure in the function of farm proprietor- Bulletin, no. 259 (1912); Holmes, C. L., Economics of ship has been begun. The problem of makingFarm Organization and Management (Boston 1928); the results of such studies serviceable to the in- Bennett, M. K., Farm Cost Studies in the United dividual farmer remains a serious one. SomeStates (Palo Alto 1928); Social Science Research Council, Advisory Committee on Social and Eco- students of the problem feel that all that can be nomic Research in Agriculture, Preliminary Report of done is to acquaint the farmer with methods of a Survey of Economic Research in Agriculture in the cost analysis and to allow him to make his own United States during the year July z, z926 -June 30, decisions as to changes in production policies; 1927, 2 vols. (mimeographed, Chicago 1927) vol. ii; Case, H. C. M., "Development of Commercial Farm others advocate the elaboration of local pro- Management Service" in Journal of Farm Economics, grams of agricultural improvement by special vol. xii (1930) 405 -26. farm management leaders and the presentation of such plans to all the farmers of a region. FARM RELIEF. Farm relief measures can be One of the most significant developments ofdefined as governmental arrangements, tempo- farm management research in the post -war periodrary or permanent in character, which are de- has been a concerted effort toward refinementsigned to alleviate economic distress of estab- of method, particularly in terms of quantitativelished farmers. Since the World War the series analysis. There has also been a clarification ofof depressions in prices of farm products has the objectives of such research. The outstandingmanifested marked severity and has been almost objectives are now recognized as, first, the gain-world wide. In the United States the condition ing of a clear and more adequate understandingof agriculture is reflected by the fact that the of the problem which the individual farmer faces farmer's buying power was 19 percent less in in attempting to make the most of his resources; 1925 -26 than in 1919 -20, while the buying second, aid in the broader problem of agricul-power of others was increased, in some cases tural readjustment; and, third, the furnishing ofmarkedly. The recession in business activity adequate subject matter for instruction in sec-during 1929 -30 had as one of its first and most ondary schools, in colleges and through a rap-pronounced effects an increase in the disparity idly expanding extension service in the prin-between the prices paid for farm products and ciples of farm organization and management. the retail prices paid by farmers, the buying C. L. HOLMES power of the farmers falling below the 1910 -14 See: AGRICULTURAL ECONOMICS; EXTENSION WORK, average by 3o percent. The disequilibrium be- AGRICULTURAL; FARM; LANDED ESTATES; FARM tween agriculture and industry has persisted TENANCY; AGRICULTURAL LABOR; AGRICULTURAL MA- both in the United States and elsewhere. In fact, CHINERY; AGRICULTURAL MARKETING; AGRICULTURAL in 1929 and after, some countries with impor- COOPERATION; SCIENTIFIC MANAGEMENT. tant industrial populations, such as Germany, Consult: Fort EUROPEAN COUNTRIES: Thaer, Albrecht, France and Italy, have used national policies Grundsätze der rationellen Landwirtschaft (new ed. more effectively than other countries to prevent Berlin 188o); Goltz, Theodor von der, Handbuch der landwirtschaftlichen Betriebslehre (3rd ed. Berlin 1905); low domestic prices in the case of staples such Aeroboe,Friedrich,Allgemeinelandwirtschaftliche as wheat and rye. Betriebslehre (6th ed. Berlin 1923); Laur, Ernst, Land- Farm relief schemes existed in Europe during Farm Management-Farm Relief I15 the nineteenth century and earlier; in the eight-production and demand. On the one hand, stim- eenth century the Prussian grain reserve organi-ulation of supply has resulted from favorable zation did much to maintain prices, while re- prices during the war, governmental encourage- forms in land tenure in France and changes in ment, widespread farm mechanization and liqui- protectionist policies to aid agriculture in vari- dation of certain classes of livestock, such as beef ous countries were effected throughout the nine- cattle. Adjustments to low prices of farm prod- teenth century. In general two methods wereucts have tended to include reduced production followed: attempts to change the direction ofonly as a last resort. On the other hand, domestic production toward products whose prices weredemand has been lessened by decline in the con- less depressed were made in England, Hollandsumption of feed crops as a result of decrease and Switzerland, and manipulations of customsin the number of horses and mules and the duties were prominent in France and Germany.reduced use of corn as food, and by decline in Post -war systems of relief have emphasizedper capita food and beverage consumption of central agencies for stabilization of prices andcereals and in use of some other farm products, control of the customs duties. Important Euro-notably animal fats. Foreign demand has been pean patterns of farm relief used since 1920altered because foreign low cost producers have include two that are new or given new force inbeen expanding output and because reduced application . Germany, Sweden, Czechoslovakia,purchasing power in Europe since the World Latvia, France and Estonia have imposed re-War has cut off markets for farm products. quirements that home grown wheat and rye be In the more comprehensive explanations of used by millers in proportions ranging from 30the economic disparities evident in American to 95 percent. Sweden, Latvia, Switzerland,agriculture since 1920 various factors have been Portugal and Spain have developed grain mo-prominent, although there is little agreement nopolies different from tobacco and other fiscalas to the weight to be given them. High tariffs monopolies in that there is no expectation thatabroad and at home have united to reduce the the public treasuries will have increased netexchange power of American farm exportables. receipts. Agricultural protective duties in the tariff act An older European pattern has been usedof 193o designed to expand home production of in behalf of some of the farm products of Aus- farm products now imported have not been suc- tria, Czechoslovakia, Germany, Hungary, Lat-cessful in diversifying the agricultural uses of via, Poland and Sweden. These have been givenland sufficiently to afford general price relief. an export impetus by the use of export-importIt has been claimed that the result of the immi- certificates, the legal principle of which, particu- gration policy of the United States is to keep larly in its most liberalized pre -war application high the wage costs to farmers and wage costs in the German Einfuhrscheine, which were in-of domestic services and products which they troduced in 1879, was used in formulating thebuy. Effects of decreased immigration in main- original plan for export debentures in the United taining per capita purchasing power in Ameri- States. Agricultural products sent out with cer-can cities have been emphasized as immediately, tificate benefit were replaceable by dutiablehelpful to non -export branches of agriculture, imports with duties canceled. Assignability ofbut it is possible that the higher wages resulting certificates made them resemble cash bounties have been expended chiefly on non -agricultural to exporters with corresponding effects in in- products. creasing prices above world parity. These cer- The post -war credit reversal by which goods tificates, used in the several countries withoutexported from the United States are no longer provoking foreign reactions which have suffi-needed to pay interest or instalments on large ciently specific reference to the export premiumamounts of European capital has caused the rates in question to be designated as either anti- large intergovernmental and other interconti- dumping or directly retaliatory, have tended tonental debts to take a prominent place in the alleviate the rigors of the protectionist regimeproblems of American agricultural exports. On in the case of the particular products. The gen-this side reduced willingness to receive foreign eral tendency in Europe is to abandon exportproducts, as evidenced by the increased rates duties and to increase import tariffs in an effortin the tariff acts of 1922 and 193o and refusal to protect farm products. to cancel intergovernmental debts, has tended The American farmers' recent difficulties haveto make agricultural self -sufficiency a primary arisen chiefly out of a lack of balance betweenobjective in net debtor countries, or at least to 116 Encyclopaedia of the Social Sciences give them added reasons for economic rap-was placed successively on equalization scrip, prochement with agricultural exporting coun-equalization fees and export debentures. In the tries more willing to accept their industrial goods provisions of the Agricultural Marketing Act, in exchange. however, the most drastic step taken was to Reclamation projects promoted under gov-authorize the organization of stabilization cor- ernmental stimulus as well as through the ac-porations for holding products during emer- tivity of private land development companies gencies. have led to a wide extension of farming on The Federal Farm Board was established formerly unused land quite without respect toJuly 15, 1929. During the first two years of its the protection of established agriculture eitherexistence its emphasis, apart from price stabili- in the United States or in other countries. Inzation activities in wheat and cotton, was upon some countries laws have been passed for redis-building up national sales agencies and regional tributing land to users committed to more in- associations to provide interconnections between tensive cultivation. Taxes paid by farmers havethe new agencies and existing or new local co- increased two and one half times since 1914,operative associations. National sales agencies while land prices and values of farm productsestablished during this period include the Farm- have lagged behind, with the result that farmersers' National Grain Corporation, Chicago; the pay a larger percentage of their income in taxa- National Wool Marketing Corporation, Boston; tion than all other groups. The majority ofthe American Cotton Cooperative Association, farmers in nearly every state have remained out- New Orleans; the National Livestock Marketing side of any national general service farm organi-Association, Chicago; the National Pecan Mar- zation, and likewise many farmers have kept aloofketing Association, Jackson, Mississippi; the from cooperative commodity organizations. InNational Bean Marketing Association, Denver; the case of products entering international mar-and the National Beet Growers' Association, kets no more than the faintest beginnings ofGreeley, Colorado. The end of the second year international action by farm organizations haveof Board operation found these agencies func- been in evidence. tioning with various degrees of vigor, but with- The seriousness of the situation from theout exception they were still far short of full standpoint of the nation as a whole has lain incommodity control. During thesefirst two the deterioration of the farm real estate in manyyears prices of most farm products continually cases, in the encouragement of considerable un- slumped to lower levels. While the holding of profitable shifting of farming personnel, plans surpluses in a year of marked rise in prices might and procedure, the passing of farm real estatebring price benefits sufficient to pay carrying titles to hands whose strength lies in non -agri-charges, in prolonged periods of falling prices cultural sources of income, and the resultantsuch holding brings inevitable losses to the ac- reduction of the standard of living of a largecumulating agency and is not likely to promote part of the population. price recovery. In the United States Congress thebills The principal problems in the stabilization brought to vote emphasized three main types ofprocess have arisen from the difficulty of cre- remedies. Import duties in the Fordney emer-ating scarcity and the tendency to aid prices in gency tariff act of 1921, the Fordney -McCumberother countries where foreign competitors with- act of 1922 and the Hawley -Smoot act of 1930out joining in the costs of applying the method were directed toward the protection of farmhave benefited at the same time that an over- products. In 1921 the War Finance Corporationabundant supply is heaped up in the United was reorganized for the purpose of assisting inStates. Under the stabilization operations the the financing of the exportation of agriculturaltendency was to shut off exportation of milled and other products; in 1923 the Federal Inter-products more sharply and promptly than that mediate Credit Act was passed, and in 1929of related raw materials. For a stabilizing coun- the campaign for credit was given further ex-try to reduce its share of the milling by -prod- pression in those features of the Agriculturalucts, preferably kept cheap for the sake of its Marketing Act emphasizing loans to agriculturallivestock and dairy industries, could have both cooperative associations. The third group ofagricultural and industrial disadvantages. Any measures was designed to increase the power ofmarked tendency to confine foreign sales to the exportable farm products to command dutiablemore highly competitive unmilled grain rather imports and other items in exchange; emphasisthan flour has the seeds of handicap for the Farm Relief I17 stabilization corporation when it proceeds to re- tional action has been most in evidence in the duce its holdings. case of rubber, sugar, wheat and other products, The methods of stabilization corporationsalthough the International Wheat Conference of stand in contrast with those implicit in scrip,March -April; 1931, failed to recommend any fee and debenture plans, designed to offset ex-quota plan for production or exports. No other port handling charges on both the processed andplans have reached the point of development of unprocessed products and to seek national priceseither the Stevenson rubber or the Chadbourne above world parity through adjusted nationalsugar plans. International agricultural confer- scarcity. The equalization fee, a fundamental fea-ences confined mainly to European countries ture of the more far reaching McNary- Haugenhave given some impetus toward special trading bills, would provide that surpluses above do-agreements between exporting and nearby im- mestic consumption be exported at world prices, porting countries. The individualism of nations any losses engendered by the difference betweenin their attitude toward agricultural products world and domestic price being recouped by ahaving international markets seems to make ade- differential loan assessment, or equalization fee,quate collective action remote. Without such on each pound or bushel sold domestically. Theaction, however, expansion of production and domestic price would thus be influenced by theexports may proceed apace in Russia and other import duty and the amount of the equalizationcountries and even be aided by restrictions appli- fee. Under some plans the assessment wouldcable elsewhere. This applies not only to restric- be made by paying the producers in the formtions as to plantings and breedings, to exports of scrip, whose redeemable value would be de-of products in raw, semimanufactured or final termined after operating costs and losses hadform, but also to restriction designed to turn a been calculated. The debenture plan would pro-part of the production toward use as animal vide customs credits having the same economicfeeds in the case of bread grains or otherwise to effect as a cash bounty on exports of agriculturalaffect class price advantages for portions of cer- products, the debentures being used by import-tain crops. Effort along these lines in one coun- ers in the payment of customs duties.Domestictry without corresponding procedure in others prices would thus be raised but little less thanis as likely as not to be futile or even worse. by a cash bounty. The domestic allotment plan Even where equalized participation of the provides for world parity prices to producersvarious countries could be assumed, it appears for their exports and for this price plus a con-that immediate relief in the case of one type of siderable portion of the tariff duty for goodscommodity is likely to be based at least in part marketed domestically. Allotments as to theupon making more abundant the competitive amount sold in the home market would besupplies of farm products available for some made to producers. These three plans all aim toother use. Most farm relief efforts if required to "take advantage of the tariff" on farm products,be maintained over long periods may cease to but they differ among themselves in that thehave more than a redistributing effect as be- equalization fee, scrip and cognate domestictween different commodities and different coun- allotment plans would finance reimbursementstries. In the process of shifting, however, agri- for foreign sale losses through compulsory leviesculture in a weak country or in a strong country on the marketed units of productselected forlacking a disposition to protect it from external benefit, while export debentures would causeor internal disadvantages may participatein the the difference to be made up through increasednational dividend less fully than in other coun- dependence upon general taxation. Questions oftries more able and disposed to take vigorous constitutionality apply with special force to all steps in its behalf. proposals involving compulsory levies. The de- CHARLES L. STEWART sirability of adding a sales tax upon any of the See: AGRICULTURAL POLICY; AGRICULTURE; AGRARIAN units of a product for which net price enhance- MOVEMENTS; FARMERS' ORGANIZATIONS; FARM BLOC, ment is sought can be questioned also in terms UNITED STATES; TARIFF; VALORIZATION; SUGAR; RUB- of the limits to which regressive burdens should BER; FOOD GRAINS. be placed upon producers and consumers. Ques-Consult: Stewart, C. L., "Farm Relief Measures in Selected European Countries" in Journal of Farm tions of using general taxes to support export Economics, vol. xii (í93o) 29-56; Sering, Max, Inter- premiums arise less as legal than as economic national Price Movements and the Condition of Agri- problems in the case of export debentures. culture in Non -tropical Countries, tr. from German Recognition of need for concerted interna-ms. by C. E. Stangeland (Berlin 1927); Skalweit, ii8 Encyclopaedia of the Social Sciences August, Agrarpolitik, Handbuch der Wirtschafts- undant and the métayer work and hold land in that Sozialwissenschaften in Einzelbänden, vol. xvii (2nd during its term it confers a limited title in the ed. Berlin 1924) ch. xvi; Beckmann, Fritz, "Erneu-. erung der Einfuhrscheine?" in Archiv für Sozialwis- land itself and in the higher forms confers ex- senschaft und Sozialpolitik, vol.liv (1925) 446-48; clusive possession for the time being. Tenancy Ritter, Kurt, Zum Problem der Agrarzölle in Deutsch- is also distinguishable from "cropper" systems land, Recht und Staat in Geschichte und Gegenwart,or other labor contracts by the degree of interest vol. xxxv (Tübingen 1924); Enfield, R. R., The Agri-of the tenant in the land and by the degree of cultural Crisis, 1920 -23 (London 1924); Association of Land -Grant Colleges and Universities, Report on interest of the owner in the labor of the worker the Agricultural Situation (Chicago 1927); Warren, or occupier. The owner has little control over G. F., and Pearson, F. A., The Agricultural Situation the labor of a cash tenant, whereas he often (New York 1924); National Industrial Conference supervises quite closely and to some extent con- Board, The Agricultural Problem in the United States (New York 1926); Business Men's Commission of trols the cropper and even exercises general Agriculture, The Condition of Agriculture in the Uniteddirection over the operations of the métayer. States and Measures for Its Improvement (New York Farm tenancy may arise and has arisen from 1927); International Institute of Agriculture, Agri-many economic and social causes, the chief of cultural Problems in Their International Aspect (Rome which perhaps are these: the inability of the 1926); Stine, O. C., "World Production vs. American Production of Agricultural Products" in Nationalowner to make economic use of land; the unwill- Association of Marketing Officials, Proceedings, vol. ingness of the laborer to work for wages; the viii (Ames, Iowa 1926) p. 6 -1o; Nourse, E. G., Ameri-inability of the cultivator to provide capital for can Agriculture and the European Market (New York both cultivation and ownership; and generally 1924); Taylor, H. C., and Perlman, Jacob, "The Sharethe economy of division of function in the sup- of Agriculture in the National Income" in Journal of Land and Public Utility Economics, vol. iii (1927) 145- ply of capital and direct management or labor 62; Seligman, E. R. A., The Economics of Farm Relief between owner and cultivator. While there have (New York 1929); Black, J. D., Agricultural Reformbeen cases in which the previous appropriation in the United States (New York 1929); United States, of land excluded cultivators from the privileges House, Committee on Agriculture, Agricultural Re- lief, Hearings, for 1925, and 1927 -29; United States,of ownership and led to their exploitation, the Senate, Committee on Agriculture and Forestry, Ag- continuance of tenancy systems cannot be attrib- ricultural Relief, Hearings, for 1926; Boyle, J. E., Farm uted merely to such conditions. From Roman Relief; A Brief on the McNary -Haugen Plan (New days to contemporary times some tenants at least York 1928); Davis, J. S., The Farm Export Debenture have been comparatively rich cultivators. Plan (Stanford 1929); Taylor, A. E., Wheat under the Agricultural Marketing Act (Stanford 1929); Stokdyk, In the early history of agricultural organiza- E. A., and West, C. H., The Farm Board (New York tion it is often difficult to distinguish between 1930); United States, Federal Farm Board, Annualtenure which is effective possession and tenancy Report, vol. i (Washington 1930); United States, De- which is merely beneficial occupation. Systems partment of Agriculture, Bureau of Agricultural Eco- nomics, Agricultural Economics Bibliography, no. xxvii of communal or group occupation and cultiva- tion preceded individual ownership of land in (1929). most parts of the world. In England and in parts FARM TENANCY of northern Europe, for instance, group occu- GENERAL AND HISTORICAL. Farm tenancy ispation and use continued for several centuries one form of division of function in agriculture. after the beginning of the Christian era. In As such it has existed in some form in most de- various ways forms of communal occupation and veloped agricultural systems. It is often difficultuse developed into individual occupation with to distinguish actual cash tenancy from mereor without actual possession or into effective contracts for labor, under which the remunera-possession with or without occupation and use tion of the worker is supplied partly in land foror into the condition of use without possession his cultivation, or from métayage, or share ten-which is tenancy. In Rome apparently changes ancy, under which the tenant pays as rent a fixed from communal cultivation came through the or varying share of the crop. The difficulty isgranting of parcels of land to dependents (cli- greatest when one is dealing with historical phe-entes) of the clan as tenants at will (precario) on nomena, but even under contemporary condi-condition of their paying to the group a share of tions one class shades off into another and theytheir crops. At a later date grants of land in are finally distinguishable only on legal princi-the form of tenancy were made by the state to ples. Tenancy in its more advanced forms iscultivators. In England grants of land were early created by a lease which differs from the meremade to the church and to persons who could contract under which the cropper, the share ten-not themselves conduct cultivation and who Farm Relief-Farm Tenancy xlr9 therefore let it out to tenants. In some cases ten- The different courses of feudal development ancy resulted from the establishment of differ-and decay in the various countries of Europe ences in economic and social status throughgave rise to varied systems of land tenure and conquest. The Athenians, for instance, often letuse. In parts of Italy and France, for instance, conquered land which had been allotted to themmétayage followed the breakdown of the feudal by the state to the former owners or cultivatorssystem; and in other parts of France feudal ele- as tenants. In other cases, as in the Roman Em-ments in tenancy remained until the revolution pire and again in the United States of America,established peasant proprietorship. In Holland the development of forms of tenancy was due toand Belgium tenancy developed on a large scale, the economic and social breakdown of systemsand in Great Britain it became almost universal. of slavery. In economic systems characterized byBelgian tenancy evolved from feudalism through the prevalence of small individual proprietor- métayage and cheptel (stock and land lease), a ship changes in the relative positions of debtorshalf way house between métayage and cash ten- and creditors have led to systems of tenancy. ancy. The stock and land lease was also known In many parts of the world tenancy developed asin England but was not common there. The an outgrowth of feudal systems. This was to some tendency toward the establishment of owner extent the case in Japan. In India it developedoccupiers or yeomen farmers in England in the more directly from the necessities of obtainingseventeenth and eighteenth centuries and their state revenue and from conditions of creditordecay in the early part of the nineteenth century and debtor. But in northern Europe all existingin favor of tenancy illustrate the devious course systems of tenancy developed through feudalism.of historical changes in this field. Under the feudal system all landholders were It must be clear that the economic position nominally tenants and no absolute rights ofand the social status of tenants of farm lands property were recognized except in the sover-have varied from country to country and from eign or the community or in the sovereign as theage to age. In the early days of tenancy in Rome representative of the community. But the ten-it would appear that although the tenant was in ants in chief were of the status of petty rulersa dependent position no great social difference and in the position of effective ownership forarose between tenants and proprietors who were many economic purposes, while the positionofotherwise of about the same rank, and it was not subservient (base) tenants varied from that ofuntil after the beginning of the Christian era the serf, who was part landholder and part slave,that a clear distinction was made between colo- to that of the socager, who owed his lord nonus, who was a cultivator, and dominus,who menial services and was almost a freeholder. In was a proprietor. The political laws ofEngland England the servile tenants paid their dues infrom the sixteenth to the early nineteenth cen- services and in kind from before the Normanturies, especially the electoral law and custom, Conquest to the beginning or the middle of thegave a higher status to the freehold ownerthan fourteenth century. Some rents were paid into the tenant, although the wealth and income cash or in fixed amounts of produce soon afterof the latter might be much higher than that of the Black Death (1346 -5o), and by 1400 cashthe former. But by the latter half of the eight- tenancy had emerged in both England and Scot- eenth century such economic and social inferi- land. Tenancy leases had appeared in Franceority of the tenant as lingered from feudalism and Flanders at the end of the thirteenth cen-had disappeared. The gentleman farmer might tury. But produce rents continued side by sidebe a tenant, while the freeholder might be a with cash rents in England until the end of the peasant cultivator with little better income than eighteenth century and in some parts of Europethe wage earner. into the twentieth century. The payment of fixed The economic position and the social status rent in either cash or produce, as distinct from a of tenants have varied with their personal or share of produce and unaccompanied by anysocial origin and the degree of independence personal service, emerged as the distinctive fea-given them by their leases as well as with the ture of tenancy in the fifteenth century; rentssize and productivity of their holdings and the were more commonly fixed and paid in cashresultant variations in their incomes. When the after the influx of silver in the sixteenth centuryRoman landlord made his slave a tenant, with and after the development of the practise of or without providing equipment for cultivation, collection of national dues and revenues in cashthe tenant was bound to retain a degree of in- rather than in services or kind. feriority; the same conditions recurred in the 120 Encyclopaedia of the Social Sciences southern United States; and when the Germanbeing contrary to the public interest and likely or English villein released from some of histo be harsh on the tenant. Tenancies from year feudal bonds became a tenant, a tinge of histo year, in practise for one year and then from former status still remained. But where thereone year to another until notice to terminate is have been no social barriers between owners andgiven by one of the parties, are theoretically cultivators most of the differences between own-short term leases. But in practise agreements for ers and tenants have disappeared as the wealthtenancies from year to year may subsist for long and income of the two groups have becomeperiods. There are well authenticated cases of approximately equal. Nevertheless, in many andcontinuous occupation of one farm by one family perhaps most parts of the world where progres-for two or three generations under such agree- sive agriculture has been established the glam-ments in England. Leases for periods in Great our of ownership has persisted. Britain usually run for five, seven, fourteen or The economic status and circumstances of thetwenty -one years with provisions for renewal, tenant vary closely with the extent of the prop-but leases for the longer periods have tended to erty interests given by the contract or lease anddisappear. On the whole it is probable that ten- with the customs under which he cultivates.ancies subsist for longer periods under the year The mere cropper, or share, tenant may have noto year agreements than under leases for periods economic interest in the land apart from its con-of years. The average period of occupation of tribution to the current crop. He may be "hereone farm by a farmer in England has been about today and gone tomorrow "; the owner gives himfifteen to sixteen years, which is longer than the orders and supervises his activities. But the cul-average period of occupation for one farm by tivator under a lease has definite rights whichfarmer owners in the United States. In Belgium are protected by law or custom and often both.the duration of leases is dependent upon the There are indeed forms of tenancy in which thetype of crop or cropping system followed. For tenant's interests in the holding are as large asarable land it may be one year but is more com- those of the owner of the soil. Under the Ulstermonly three years and extends to six or nine system of tenant right the tenant provided build- years. Grassland is commonly let for one year ings and permanent equipment for farms, andbut also for three, six or nine years. But tenan- his right to compensation for improvementscies do not necessarily terminate with the ter- sometimes represented more than half the totalmination of current leases and may subsist for capital value of the holding. Farm tenants inlong periods. Owners and tenants entering into the French speaking regions of Belgium proposeverbal agreements leave to law and custom the their successors to their landlords, having pre-duration of the tenancy and conditions other viously come to an agreement with the pro-than rent. Tenants by emphyteusis, holding per- posed incomer on the subject of valuation of the petual leases, have been hardly distinguishable outgoer's improvements. The "Evesham cus-from owners in some parts of Europe. tom" in Worcestershire, England, gives the ten- Where systems of tenancy have long been es- ant the right to dispose of his interests to antablished, systems of tenant right develop either incoming tenant subject to the owner's accept- under the law or by usage and custom and some- ance of the incomer, which is rarely refused. times by both. Roman law contained provision Similar practises exist by custom and usage in for the protection of the interests of both ten- Picardy. Customs or laws giving such rights inants and owners. Where tenancy developed from effect reduce the fundamental owner to the posi-feudalism, some customs of the manors attached tion of a receiver of ground rents. to base tenures were transferred to cash ten- Various degrees of property interests and ofancy systems; but the new system of tenancy security of tenure are given to tenants underalso required new customs especially as agricul- their contracts or leases. The common forms oftural practises developed and became more elab- tenancy have been tenancy at will, tenanciesorate. In England there was a steady growth of from year to year, tenancies for terms of yearspractise and custom during the eighteenth cen- and perpetual leases. Tenancy at will, known totury and the early part of the nineteenth, when Roman law as precarium, might be terminatedcustoms having the effect of law began to be at any time by the will of either of the parties.recorded. Disputes between owners and tenants The legal system of England, as of most otherarising from changing conditions led to closer countries in which tenancy at will has arisen, hasexamination of the rationale of existing customs. always tended to show disfavor to this form asIn 1875 Parliament passed the first Agricultural Farm Tenancy 121 Holdings Act, which gave general legal founda- rents are made in periods of economic depres- tion for tenant right in certain improvements;sion without termination of tenancies, either and since i 88o the general body of law of tenantthrough the fixing of new rents or through re- right as embodied in statutes and judicial deci-mission of a portion of the fixed rent for a sions has greatly extended and developed. In period of time. But the question of "fair" rents England the law overrides provisions in indi-appears almost chronically under all tenancy vidual leases; in Belgium, on the other hand, systems. Excess rents may easily prevent tenants where also an extensive body of tenancy law and from getting their due earnings or profits, and custom has been built up, the lease is the primein some localities and periods there has been source of legal rights regulating relations be- general exploitation of tenants. tween owner and tenant and the provisions of Criticisms of general systems of tenancy have leases sometimes override the fundamental law. been made on many grounds; it is claimed, for On the whole there has been less developmentexample, that they fail to induce full economic of custom and law governing conditions of ten- use of land or alternatively that they tend to ancy where it has grown out of a general system its uneconomic exploitation; that they are eco- of cultivation by small owners, but almost every-nomically unjust to tenants; that they tend to where some accepted usages and common (al- restrict the personal liberty of tenants; and that though not necessarily legally recognized) cus-they tend to economic or social instability. Ar- toms tend to regulate relations between ownersthur Young's aphorism that "the magic of own- and tenants. ership turns sand into gold" has probably done Controversies between owners and tenantsuntold damage. The general view, in some coun- have frequently centered round the subjectstries a result of presumption or general prin- which in the nineteenth century became knownciple, in others possibly of experience, is that as the three F's: fair rents, fixity of tenure and ownership of land is economically and socially freedom of cropping, to which was added latermore beneficial than tenancy; and in particular freedom of sale of produce; but in some localitiesthat ownership creates far greater incentive to and periods the political and religious freedomeconomic effort and enterprise than the most of tenants has also caused trouble. Demand on secure form of tenancy. The economic and social the part of tenants for fixity of tenure or stabilityeffects of tenancy, however, are very largely of rents has sometimes arisen from changes inconditioned by the legal and political environ- economic conditions which tended to raise thements amid which they exist. Where conditions rental value of land. More often, however, fixityof tenancy are governed by adequate laws, cus- of tenure or alternatively provision for compen-toms or usages and where these evolve and ex- sation for improvements made by the tenant pand with developments in agricultural practises, became necessary as agricultural practises de- systems of tenancy may yield economic and social veloped and traditional systems no longer suf-results equally beneficial to those of any system ficed. The demand for freedom of choice in theof ownership cultivation. In some respects such rotation of crops arose especially where the pro- systems are economically more elastic than peas- duction of new "cash" crops was profitable toant proprietorship and on occasions they tend cultivators. But owners were unwilling to departto be more rapidly adjusted to changes in general from traditional rotations which were known to economic conditions. They are sometimes to be preserve the fertility of the soil. Demand forpreferred to cultivating ownership where nomi- freedom of sale of crops arose from the same nal ownership is accompanied by heavy encum- circumstances. In Great Britain the questionsbrance of mortgage debt. It has been said that of security of tenure, of freedom of cropping and from the agricultural standpoint the system of sale of crops, have been settled by statute law tenancy is more applicable to crops of which the and some degree of fixity of tenure has been cycle of production is completed within one year secured to tenants by provision for compensationthan to rotations of crops or to single crops for disturbance on grounds other than those ofwhich require a number of years for full reali- bad husbandry. In Scotland and in Ireland some zation of economic benefits. This view tends to rents are fixed under statute law by procedureconfuse tenancy under which considerable and of a semijudicial character. Where tenancy sys- continuing interests in land are created and tems are general and strongly established there cropper or mere labor systems in which the is no absolute fixity of rents. In Great Britain interest in labor is greater than that in land. and Holland, for instance, many adjustments ofOnly crude and undeveloped systems of tenancy 122 Encyclopaedia of the Social Sciences are inapplicable to intensive or complex farmingpression, and in some parts of the continent practises. Tenancy has provided useful systemsof Europe the tenant is as free as the occupying of division of function in the supply of capital, owner. of management and of labor and under some A. W. ASHBY circumstances has led to more effective use of capital and labor than could have been secured UNITED STATES. Farm tenancy refers to the under any other system. It does not necessarilystatus of the farmer who hires the farm which lead to economic, political or social instability he operates, giving for the use of the land either or to waste of resources in land. The rise ofa stated fraction of the crops or other products radical or socialist movements for a time caused(share tenancy), a fixed money rental (cash ten- fears of the association of tenants with prole-ancy) or sometimes a combination of the two. tarian workers in more or less revolutionary The share tenant may work under close super- movements. Such views were prevalent in Francevision by the landlord, as is the case with the and Italy in the early twentieth century whensouthern "cropper," although a large percent- syndicalist doctrines were gaining a certain foot-age of share tenants and most cash tenants re- hold among the métayers. In contrast the classceive little or no supervision except in the form of small proprietors were assumed to be reliableof general provisions in the lease contract, such supporters of the status quo. There is compara-as a clause specifying the crop rotation to be tively little in recent or contemporary experiencefollowed. Farmers who own some land which to support these fears or views. they operate and hire additional land are classi- The most intricate of tenancy problems arefied in the United States census as "part own- those connected with the personal or politicalers" rather than as tenants, although they con- and religious liberty of tenants and with thetrol in the aggregate a considerable fraction (26.7 development of social organizations and insti-percent in 1925) of the total acreage of rented tutions in areas in which tenancy predominates.farm land. Where the tenants normally expect to remain as Farm tenancy differs so widely in its nature tenants, where they are attached to definite lo- and incidence in different parts of the country calities and where, as is usual in such circum-that it is hardly possible to generalize in very stances, their interests are fairly protected byspecific terms for the United States as a whole. law or custom, there develop social institutionsOn the one hand, farm tenancy may be only a of equal efficiency with those established byform of contract through which labor is kept communities or proprietors. But where, as inon the farm to the end of the crop season; on more recently developed countries such as thethe other hand, it maybe a device through which United States or some of the British dominions,a highly competent farmer with limited capital the tenant regards his present occupation as ais enabled to put into operation the most effi- stepping stone to ownership, where he has littlecient methods of farming. All types of tenancy attachment to any locality and where, as is often have some points in common, nevertheless. The the case, there is comparatively little protectiontenant must always work without the stimulus of his interests by clearly recognized customof land ownership, and the tenant farm usually or by law, a low degree of development of socialsuffers to some extent from the lack of an own- institutions is a natural corollary. Conflicts iner's care. Every tenant farmer is likely to feel regard to personal or political liberty tend tothat he is subject in some measure to the will of arise more often where owners and tenants arethe landlord and that the products of his own of different races or religions, but itis alsoenterprise accrue in part to the benefit of the natural that in periods of political stress ownerslandlord. All that is possible here is an exami- of land should attempt to use their superiornation of the extent to which American farms economic status to influence the views and ac-have been operated by tenants in recent years, tivities of their tenants. Again, actual conditionswith a very general survey of the different types in this sphere depend on general factors in the of tenancy. social environment, on the general political laws Farms were first classified by tenure in the of each country and on the provisions for theAgricultural Census in 188o, when 1,024,601 protection of the tenants by law or custom.farms, or 25.6 percent of the whole number, Where cash tenancy exists in the United Stateswere returned as operated by tenants. There was or in the British dominions little or nothinga certain amount of farm tenancy even in colo- is heard concerning political or religious op-nial times, particularly in the older settlements, Farm Tenancy 123 but so 'asily obtainable byever, was only 19.2 percent and for the western going farther west., oss the Alleghenies,states 14.0 percent. then into the Northwest Territory, then across In 1890 the percentage of farms operated by the Missrippi, men without capital who wanted tenants in the United States as a whole had farm land were likely to seek such free landincreased to 28.4 (as compared with 25.6 in rather than to rent farms, except as a temporary 1880) and in 1900, to 35.3 The rapid increase arrangement. between 1890 and 1900 was partly if not mainly Considerably more than one half of the tenantthe result of the disappearance of free land; for farms reported in 1880 were in the southernby 1900 practically all of the desirable farm land states, forming 36.2 percent of the whole num-available for homesteading had been taken up. ber of farms in the south. The development of The percentage of tenancy in 1910 was 37.o; farm tenancy in the cotton states followed thein 192o, 38.1; and in 1925, 38.6. These figures breaking up of the old pre -Civil War planta- would indicate that during the first quarter of tions. After the emancipation of the slaves some the present century tenancy was no longer mak- of the plantations were worked by hired labor, ing rapid growth. As a matter of fact, however, but more of them were broken up into smallthese changes in the percentage of tenancy for holdings, each leased to a tenant. Many of thethe country as a whole were the net result of tenants who now operate these holdings are of alarge increases in certain states, partly offset by special type whose status is on the border linedecreases in other states. Between 1920 and between that of a tenant and that of a hired 1925, for example, the net increase in the num- laborer. These men, who are locally known asber of tenant farms was only about 8000, but "croppers," supply little or nothing in the waythis was the resultant of an increase of about of farm implements or livestock and work for150,000 tenant farms in 23 states, nearly offset the most part under close supervision; one might by a decline of 142,000 in the number of tenant say that they differ from hired farm laborers farms in 25 other states. only in that they receive their wages in the form Between 1925 and 1930, however, the number of a share of the crop rather than in the formof tenant farms increased from 2,462,208 to of a monthly or weekly wage. Nevertheless,2,664,365 -an increase of 201,757, or 8.2 per- these croppers occupy their farms, averagingcent, while the whole number of farms declined about 40 acres, under a rental contract or agree-slightly (from 6,371,640 in 1925 to 6,288,648 in ment, and for this reason they are included in1930). The percentage of tenancy was thereby the total number of tenants recorded in the farmincreased from 38.6 to 42.4. The number of census. Croppers are of numerical importancetenant farms increased in 32 states, the total only in the southern states, where they formed increase in these states amounting to 241,340, more than four tenths of all tenant farmers infrom which is to be deducted the decrease in 1930 -about one third of the white tenants and16 states, amounting to 39,583. In 9 of the i6 considerably more than one half of the coloredstates showing a decrease in the number of ten- tenants. ant farms there was a still greater decrease in In general, a larger percentage of the tenantsthe total number of farms, so that the percentage in the south work under the supervision of theof tenancy shows an increase in 41 states in all. landlord or his representative than elsewhere.The increase in tenancy during the last five -year The tenant farms in the south, even omittingperiod is therefore much more general as well as the holdings of the croppers, are smaller andmuch greater in absolute amount than in the lower in value than the farms operated by own-preceding five -year period. Many factors have ers, whereas in the north and west the averagecontributed to this situation; one which has value and average acreage of the tenant farms acted quite generally has been the agricultural are considerably in excess of the averages fordepression, which has forced many farmers who owner farms. held their land under mortgage into the tenant Even outside the south, farm tenancy hadclass. developed to a considerable extent in 188o, as There appears to have been throughout the indicated by the census figures. In Illinois 31.4whole period a rather close relation between the percent of the farms were operated by tenants;agricultural development of the several states in Missouri 27.3 percent; in New Jersey 24.6and the advent of growth of farm tenancy. In percent; and in Iowa 23.8 percent. The averagethe New England states, for example, farming for all the northern states taken together, how-was old before the supply of free land farther 124 Encyclopaedia of the Social Scier west even approached exhaustion. As a resultmade up by the i .red in of this situation, supplemented by the fact that 1930. much of the New England farm land was of poor In the mountain division the percentage of

quality and therefore not very attractive to atenancy has increased rapidly from. Y in 188o tenant, the percentage of tenancy in these statesto 22.2 in 1925 and 24.4 in 193o. In the Pacific never attained a very high level; and it has beendivision the percentage of farms operated by declining since 1900 (except for slight nominaltenants has fluctuated considerably, being in increases in 193o as compared with 1925). In 1925 slightly less than in 1880 (15.6 as compared the middle Atlantic states also the maximumwith 16.8) but increasing in 193o to 57.7, or percentage of tenancy was attained in 1900, since slightly more than the 188o figure. which time there has been a continuous and The trend of farm tenancy in the several geo- rather rapid decline. In three of the states ofgraphic divisions and sections is indicated by the east north central division, Ohio, Indianathe figures in Table 1. and Michigan, the maximum was reached in In the census reports tenants are classified on 1920, with appreciably lower figures in 1925 andthe basis of the form in which the rent is paid, 193o; in Illinois, while the 1925 percentage wasthe simplest classification showing only share lower than the 192o, the 193o figure is slightlytenants and cash tenants. The most detailed higher; and in Wisconsin there has been a con-classification is that of the 1920 census, which tinuous increase up to 193o. All of the statesis summarized in Table is. Croppers and stand- of the west north central division except Mis-ing renters (tenants paying as rent a stated souri show a continuous and fairly rapid increasequantity of product) were tabulated separately in the percentage of tenancy, North Dakota pre-only for the south, the relatively small-numb-era senting a rather spectacular increase from 2.1of cases found elsewhere being included respec- in 188o to 35.5 in 1930. tively with share tenants and cash tenant,. Even The growth of tenancy in the three southernthis classification does not ü., a ±c me variety divisions has been maintained with local irregu-of relationships which may exist between land- larities since 188o, all three divisions startinglord and tenant. with relatively high percentages (35 or more) in For an appreciable percentage of all AmericanI that year and showing in 193o percentages uni-farm tenants,tenancy represents a step on what formly higher than any of the northern or west-has been termed the agricultural ladder, by ern divisions or states. In 1925, to be sure, 8 ofwhich a young man starting as a farm laborer the 16 southern states showed a percentage ofbecomes successively a tenant, an owner subject tenancy lower than in 5920, but in all exceptto mortgage and finally an owner free from Delaware and Maryland this loss was more than mortgage debt. The statistical evidence support-

TABLE I PERCENTAGE OF ALL FARMS IN THE UNITED STATES OPERATED BY TENANTS, I880 TO 1930

GEOGRAPHIC DIVISION 1930 1925 OR SECTION 1920 1910 1900 1890 I88o

United States 42.4 38.6 38.1 37.0 35.3 28.4 25.6

New England 6.3 5.6 7.4 8.0 9.4 9.3 8.5 Middle Atlantic 14.7 15.8 20.7 22.3 25.3 22.1 19.2 East north central 27.3 26.o 28.1 27.0 26.3 22.8 20.5 West north central 39.9 37.8 34.2 30.9 29.6 24.0 20.5 South Atlantic 48.1 44.5 46.8 45.9 44.2 38.5 36.1 East south central 55.9 50.3 49.7 50.7 48.1 38.3 36.8 West south central 62.3 59.2 52.9 52.8 49.1 38.6 35.2 Mountain 24.4 22.2 15.4 10.7 12.2 7.1 7.4 Pacific 17.7 15.6 20.1 17.2 19.7 14.7 16.8

North 30.0 28.0 28.2 26.5 26.2 22.I 19.2 South 55.5 51.1 49.6 49.6 47.0 38.5 36.2 West 20.9 18.7 17.7 14.0 16.6 12.1 14.0 Source: For figures from 188o to 1920, Goldenweiser, E. A., and Truesdell, L. E., Farm Tenancy in the Ui ited States p. 23; for 1925, United States, Census of Agriculture, 1925, p. 4 -5; figures for 1930 compiled from preliminary reports of the Un ted States, Census of Agriculture, íg30. Farm Tenancy 125 TABLE II NUMBER OF TENANT FARMS BY TYPE OF TENANT, BY SECTIONS, 1920

TYPE OF TENANCY UNITED NORIH SOUTH WEST STATES All tenants 2,454,804 779,218 1,591,121 84,465

Share tenants, including croppers 1,678,812 422,859 1,212;315 43,638 Share tenants proper 1,117,I2í - 651,224 - Croppers * 561,091 - 561,091 - Share cash tenants 127,822 103,075 22,672 2,075

Cash tenants, including standing renters 585,005 225,463 324,t84 35,358 Cash tenants proper 480,009 - 219,1'88 - Standing renters * 104,996 - 104,996 - Unspecified 63,165 27,821 31,950 3,394 *Separately returned in the south only. Source: Goldenweiser, A. E., and Truesdell, L. E., Farm Tenancy in the United States, p. rao -sr. ing the theory of the agricultural ladder is foundtent the statistics support this idea. Both the in the classification of farmers by age and tenure,percentage of tenancy and the price of farm land which is available for four censuses, 189o, 190o,are very much higher in Iowa than they are, for 1910 and 1920. These figures show in generalexample, in New Hampshire or Montana. On that a large percentage of the farmers under 35the other hand, the percentage of tenancy in years of age are tenants, while the percentage ofAlabama or Mississippi is even higher than in tenancy declines rapidly as one goes on to theIowa, although prices of farm land in these higher age groups. Specifically, in 1920 in thesouthern states are relatively very low. Leaving United States as a whole 75.8 percent of thethe southern states out of consideration, how- farmers under 25 years of age and 56.5 percentever, the correlation between land prices and of those from 25 to 34 were tenants, while onlythe extent of tenancy in the different parts of 16.5 percent of those 65 years of age and overthe north and west seems to be fairly good. were tenants. Another 192o tabulation showsTheoretically the relation is reasonable. The that of all owner operators of farms in thehigher priced land is usually more productive, United States 44.3 percent had operated farmsthereby making it possible for a tenant to pay as tenants previous to becoming owners. rent out of the returns from its operation; and, Except for those who are definitely lookingon the other hand, the high priced land is more forward to the ownership of the farms theydifficult to purchase, thereby compelling would occupy, the typical American farm tenant doesbe farmers to rent the land at least for a time not stay on one farm very long but moves from for lack of the capital requisite for its purchase. one to another. Of the whole number of tenants Furthermore, the amount of rent charged for reported in the 1920 census, 43.4 percent hadthe better grades of farm land is often relatively been on the farms where they were enumeratedlow as compared with the current rates of in- less than z years, and 31.2 percent h d beenterest on farm loans. A tabulation of the 192o there from z to 4 years, leaving only 25.4 per-census returns for cash rent paid, in conjunction cent with a record of 5 years or more on thewith the value of the rented farms, covering same farm. This practise of staying but a shortmore than 3o percent of all the cash tenant time on one farm is the result partly of the pre-farms in the country, showed that the annual vailing type of lease, which usually runs for butrental formed only 3.54 percent of the value of one year, partly of the type of men who remainthe farms involved. In the state of South Dakota permanently in the status of farm tenant, andthe cash rent represented only 2.52 percent of partly perhaps of the characteristically Americanthe value; in Nebraska, 2.59 percent; in Minne- desire for change. sota, z.86 percent; in Iowa, z.88 percent; and The idea is widely current that farm tenancyin Illinois, 2.97 percent. is more likely to be found where farm land prices Until rather recently the price of farm land are high than where they are low. To some ex-had been increasing so rapidly and so generally 126 Encyclopaedia of the Social Sciences that such land could be considered a good in-definite advantages, chief of which is perhaps vestment from the point of view of its pricethe fact that the owner unless he is too heavily increase alone. The purchaser of farm land, inmortgaged has assurance of continuous control other words, not only had the use of the land,of his farm. There are also certain intangible but also received the increase in its value, thisfeatures, certain incentives, which enable -or latter speculative element amounting in manycompel -a man to work more diligently on his localities over a period as long as zo years to anown farm than he would ever do on a rented average annual income in excess of the 3.54farm. percent return referred to above. The tenant of Farm tenants in general have a decidedly course got nothing but the use of the land inlower social standing than farm owners. This return for his rental payments, while the land-fact is perhaps largely chargeable to the short lord received the increment in value in addition term contracts under which farm land is usually to the rent. rented in the United States and to other inci- Under present conditions the future coursedental conditions which might be remedied of farm land prices is very much in doubt. Withthrough improved forms of rental contracts and improved methods of farming and with declin- rental practises. As matters stand, however, the ing demand for certain products, especially thosetenant farmer lives in a poorer house; he has no formerly grown as food for farm work stock,incentive to make improvements in the residence there would seem to be too much farm landsince it is not his; and the landlord likewise has already under cultivation. Under such condi-no incentive to make improvements so long as tions one would hardly look for any very greatthe tenant will worry along with conditions as increase in farm land prices in the immediatethey are. Tenant farmers take less part in the future. Whether this disappearance of the spec-organized activities of the locality in which they ulative advantage of farm ownership will resultlive; they accumulate less adequate household in extensive further increases in tenancy remainsequipment, especially when frequent moves are to be seen. in prospect; and in general they profit less from Tenancy has certain general effects on thethose collective activities which distinguish an method of conducting farm operations. In theenterprising community from a backward one. first place, the farm tenant is not likely to makeWithout doubt the less enterprising men grad- improvements in the soil or in the farm build- ually drift into the class of tenants or remain ings, since he cannot be sure of continuous usethere permanently in place of advancing into of them. Improved types of farm leases, desir-ownership, so that the social condition of the able as they are, would overcome this difficultytenant group as a whole is to some extent the only in so far as tenancy became more stabilizedresult of this adverse selection. and the tenant less inclined to move from farm An important modifying factor in the farm to farm. In the second place, he is likely to trytenancy situation, especially in the northern and to get out of the soil as much in the way of sala-western states, is the fact that a considerable ble products each year as he possibly can, sincepercentage of the tenants are closely related to he cannot be certain of another chance nexttheir landlords, the percentage running as high year. On the other hand, the tenant who hasas 40 in the state of Wisconsin and materially carefully considered the relative advantages ofhigher in individual counties. This percentage buying and hiring a farm and has decided tois based on the results of a question carried on invest his capital in stock and equipment ratherthe 1925 farm census schedule, which read: "Do than in land may be better supplied with ma-you rent this farm from your own or your wife's chinery and livestock than other farmers ofparent, grandparent, brother, or sister ?" For equal initial capital who decide to purchasethe United States as a whole, excluding the farms. He may even use more up to date meth-south, close relationship to the landlord was re- ods; and many farm surveys have shown thatturned in 1925 by 26.6 percent of the cash tenant farmers under these conditions maketenants and 29.1 percent of the other tenants. larger incomes than owner farmers occupying This relationship, which is doubtless partly similar farms in the same neighborhood. responsible for the low rent paid by many cash Nevertheless, there seems to be current amongtenants, should receive serious consideration in the rural inhabitants of the United States aother connections. Many of the undesirable fea- strong prejudice in favor of ownership as against tures which are currently charged to farm ten- tenancy. Ownership does possess certain veryancy must surely be modified in these cases. Farm Tenancy - Farmers' Alliance 127 The farm rented from the operator's father orand Estate Management, University of Allahabad, Economics Department, Bulletin, no. xvii (Allahabad father -in -law is likely to come into his posses- 1921); Kawada, Shiro, "Tenant Systems in Japan and sion eventually by inheritance, even though he Corea" in Kyoto University Economic Review, vol. i does not accumulate sufficient capital to pur- (1926) 38-73. FOR THE UNITED STATES: Goldenweiser, E. A., and chase it on a strictly business basis. The tenantTruesdell, L. E., Farm Tenancy in the United States, on a farm of this type is just aslikely to be a United States, Bureau of the Census, Monograph, no. permanent resident as if he were already theiv (1924); Gray, L. C., and others, "Farm Ownership owner, and his place in the socialactivities of and Tenancy" in United States, Department of Agri- culture, Yearbook, 1923 (1924) p. 507 -60o; Stewart, the neighborhood is likely to approximate that C. L., Land Tenure in the United States with Special of an owner. Reference to Illinois, University of Illinois, Studies in LEON E. TRUESDELL the Social Sciences, vol. v, no. iii (Urbana, Ill. 1916); Turner, H. A., "The Share Renting of Farms in the See: LAND TENURE; LANDLORD AND TENANT; LANDED United States" and Stewart, C. L., "Cash Tenancy ESTATES; PLANTATION; LATIFUNDIA; COLONATE; SERF- in the United States" in International Review of Agri- DOM; FARM; PEASANTRY; ABSENTEE OWNERSHIP;LAND cultural Economics, n.s., vol. i (1923) 500 -42, and vol. SPECULATION; MORTGAGE; LAND MORTGAGE CREDIT; iii(1925) 165 -211; United States, Department of LAND SETTLEMENT; SMALL HOLDINGS; LAND REFORM; Agriculture, "Relation of Land Tenure to Plantation AGRARIAN SYNDICALISM; AGRARIAN MOVEMENTS. Organization" by C. O. Brannen, Bulletin, no. 1269 Consult: FOR GENERAL AND HISTORICAL: Jenny, E., (1924); Taylor, H. C., Agricultural Economics (New Der Teilbau, Staats- und Sozialwissenschaftliche For -York 1919) chs. xx- xxiii; Gray, L. C., Introduction schungen, vol. clxxi (Munich 1913); Rérolle, Lucien, to Agricultural Economics (New York 1924) ch. xv; Du colonage partiaire et spécialement du métayage Gillette, J. M., Rural Sociology (New York 1928) ch. (Paris 1888); Systems of Land Tenure in Various Coun- xiv; Carver, T. N., Selected Readings in Rural Eco- tries, ed. by J. W. Probyn (new ed. London 1881);nomics (Boston 1916) p. 487-546; Dicker, J. A., and Spickermann, T., Der Teilbau in Theorie und Praxis, Branson, E. C., How Farm Tenants Live, University Volkswirtschaftliche und wirtschaftsgeschichtlicheof North Carolina, Extension Bulletin, vol. ii, no. vi Abhandlungen, vol. vi (Leipsic 1902); Taylor, H. C., (Chapel Hill, N. C. 1922); George, Henry, "More Agricultural Economics (New York 1919) chs. xxiv -xxv, about American Landlordism" in North American and The Decline of Landowning Farmers in England, Review, vol. cxlii (1886) 387 -401. University of Wisconsin, Bulletin, no. xcvi (Madison, Wisconsin 5904); Curtis, C. E., and Gordon, R. A., FARMER LABOR PARTY, UNITED A Practical Handbook upon Agricultural Tenancies .. . STATES. See PARTIES, POLITICAL; AGRARIAN (London 1910); Great Britain, Board of Agriculture and Fisheries, Departmental Committee on Tenant MOVEMENTS. Farmers and Sales of Estates, Report, Parliamentary Papers by Command, Cmd. 6030 -31, 2 vols. (London FARMERS' ALLIANCE. The Farmers' Allí- 1912); Great Britain, Liberal Land Committee, Theance, the second effort in the United States at Land and the Nation: Rural Report -1923-25 (Lon-national organization of farmers for defense don 1925); Pomfret, J. E., The Struggle for Land in Ire- land, 1800-1923 (Princeton 193o); Skatweit, August, and advancement of common interests, had its Das Pachtproblem, Bonner agrarpolitische Untersu- origin in farmers' clubs, which by the middle of chungen, vol. i (Bonn 5922); Merlin, Roger, Le méta- the nineteenth century had been organized in yage et la participation aux bénéfices (Paris1898) sects. virtually all parts of the country and by 1858 i -iii; Rambaud, Benoît, La question des fermiers géné- had begun to federate on state lines. In the raux en France et à l'étranger (Paris 1913); Aufrère, Paul, Conditions économiques du métayage en Haut - newer sections of the west and southwest,where Berry (Bourges 5923); Delos, A., "Farm Leases in law and order were not established, cattle and Belgium" in International Review of Agriculture, vol.horse thieves committed constant depredations xvi (1925) 389-437; Dietzel, H., "über Wesen und and settlers were often in danger of losing title Bedeutung des Theilbaus (Mezzadria) in Italien" in Zeitschrift für die gesamte Staatswissenschaft, vol. xl to their lands because of litigation instituted (1884) 259-84, 595 -639; Rabbeno, A., Manuale pra- by so- called land sharks. The first objective of tico della mezzeria, e dei vari sistemi della colonia par - these clubs was protection against such dangers, ziaria in Italia (Milan 1895); Vöchting, Friedrich, Die but they soon came to serve other functions, Romagna: eine Studie über Halbpacht und Landar-such as promoting agricultural education and beiterwesen in Italien, Wirtschaftsstudien, vol.viii (Karlsruhe 1927) chs. xvii, xxxv -xxxvi; Hancock, providing social activities. Some also practised W. K., "Italian Métayage" in Economic History, vol. i cooperative buying and selling. (1926 -29) 368 -84; Costanzo, Giulio, "Share Tenancy During this period western farmers gave in Italy" in International Review of Agriculture, vol. xv financial support to the construction of rail- (1924) 3-42; Institute of Social Reform, Madrid, Ag- roads to transport their products to eastern ricultural Social Section, "Share Tenancy in Spain" in International Review of Agriculture, vol. xiv (1923) markets. For many years, however, freight rates 19 -36; Jevons, H. S., The Economics of Tenancy Law were high and railroad regulation became a 128 Encyclopaedia of the Social Sciences burning issue. Furthermore, interest rates inwhich now became known as the Farmers' and the west and southwest ran as high as 15 to zoLaborers' Union of America. percent. But the greatest cause of farmers' dis -. Strong efforts were made to effect a union content from 1865 to1896 was the steadywith the Northwest Alliance, the outgrowth of decline of the price level, which was interpretedthe New York Alliance, which was dominant to mean that farmers were being exploited inin Iowa, Nebraska and. Minnesota and in 1889 various ways by manufacturing, transportation,had an estimated membership of 400,000. While merchant and financial groups through unfairthe legislative programs of the two alliances trade practises and the enactment of unfavor-were similar, the non -secret, loosely organized able legislation. Middlemen were charged withcharacter of the Northwest Alliance and its combining to depress the prices of farm prod-policy of admitting Negroes to full membership ucts. These conditions created widespread dis-made consolidation impossible. Organizers were content and caused farmers to seek relief throughtherefore sent out to capture the Northwest's organization. territory for the larger organization, which by After the decline of the Grange in 1876, the 1890 was truly national in scope, with an esti- south and a large part of the west were without mated membership of z,000,000. In addition any but local organizations, and the Farmers'other organizations, such as the Farmers' Mu- Alliance, in process of development at the timetual Benefit Association of Illinois and the the Grange had attained its largest growth, ex-National Colored Farmers' Alliance of the panded to fill the need. On the basis of copiesSouth, were subsequently brought into the Alli- of organization plans carried from Kansas intoance family by means of a joint confederation Texas and western New York two alliances were committee whose task was to determine policies founded. The Texas Alliance was by far theto be executed by the respective associations. more virile of the two organizations. It spreadIts name now became the National Farmers' rapidly eastward over the Gulf states and intoAlliance and Industrial Union. other parts of the country and soon became the Finally a loose combination was effected with dominant farm organization of the United the Knights of Labor, whereby common action States, the result in large part of the energeticof the congressional lobbying committees of and effective leadership of Dr. C. W. Macune.the two organizations was secured on the ques- While it was secret in character, its memberstions of national banks, a subtreasury system, were all of one degree, a much simpler planthe prohibition of dealing in futures of "all than that of the seven degrees used by theagricultural and mechanical" products, the free Grange. It excluded Negroes and includedcoinage of silver, the abolition of alien owner- women and although supposedly limited toship of land, the opening to settlers of land held farmers had in its ranks many political aspirantsby large corporations, the prevention of the and professional persons seeking the patronageuse of the taxation power to build up one inter- of a large organization. Its legislative programest or class at the expense of the other, the included demands for the abolition of nationallimitation of state and national revenue to cover banks and the issue of treasury notes accordingexpenses, the issue of fractional paper currency to need as a medium of exchange. to facilitate exchange through the mail, govern- To gain new territory the leaders of thement ownership of railroads and means of Texas Alliance did not depend alone uponcommunication. organizing new local alliances but consolidated Up to 1890 the Alliance, fearing dissension with other organizations wherever possible.and destruction, consistently avoided partisan Thus in 1887 a consolidation was effected withpolitics. In 1886 it resolved "that as citizens we the Louisiana Farmers' Cooperative Union, thehave a right to belong to any organization, name of the combined organization becomingpolitical party, or church, we may see proper, the National Farmers' Alliance and Cooperativebut as a Farmers' Alliance we will not consider Union of America. In 1888 a second consoli-such subjects within our body." The failure of dation was effected, this time with the Nationalsome of the old projects, such as that for co- Agricultural Wheel, which had previously ab-operative credit to carry the farmers through sorbed the Brothers of Freedom. These latterthe planting season, and the rise of the demand organizations originating in Arkansas had byfor government warehouses coupled with the 1887 spread to seven other states. The Wheelscheme of issuing Treasury notes secured by brought soo,000 members into the Alliance,farm products delivered to the warehouse, prob- Farmers' Alliance-Farmers' Organizations 129 ably influenced some leaders to support polit-ness of their need for organization has depended ical action. The Alliance's attitude definitelyto a very great extent upon the degree to which changed with the success realized from thethe system of agriculture in which they engage! decision of the national convention held at St.has developed from isolation toward commer -`' Louis in 1889 to support candidates who fa -.cialization. Among primitive and even among vored Alliance demands. As a result of this,pioneer farmers the predominant types of asso- they elected several governors and United Statesciation are kinship,. neighborhood, village and senators, and some thirty congressmen in theother groups based on sociability. Among highly fall of 189o. Despite the continued oppositioncommercialized farmers economic types of or- of Macune, sentiment grew through the westganization such as cooperatives for buying and and northwest in favor of establishing a political selling, mutual insurance and cooperative credit party devoted to farmers' interests. At the Alli-organizations predominate. Farmers' political ance convention held at Cincinnati in 1891 aassociations have generally followed upon the party was launched whose platform, modeledrecognition of economic issues -a stage reached; on Alliance programs, demanded "free coinageonly when farming has definitely attained the, of silver, abolition of national banks, loans onstatus of commercialized agriculture. land and real estate, sub -treasuries, income tax, At all times farmers' organizations have ex- plenty of paper money, government control ofhibited a great diversity of form and in most railroads, election of President, Vice -Presidentcases a marked looseness of structure and pur- and Senators by direct vote, non -ownership ofpose. Early rural associations were only to a land by foreigners, revenue of the state and slight extent class organizations, although a very nation limited to expenses, eight hours' work,definite awareness of group disabilities has ex- and universal suffrage." Against the adoptionisted in many unorganized rural communities. of the eight -hour plank vigorous objections were Cleavages between landowner, tenant and la- made that farmers often work as long as "six-borer have at times resulted in the formation of teen hours and never less than twelve." Aftermutually antagonistic farmers' organizations, the convention of 1892 the Alliance disinte-and impermanence has characterized most large grated almost precipitously and became rapidlyscale associations of farmers. Localism and indi- transformed into the People's party. vidualism explain many of the difficulties of EDWARD WIEST agrarian organization; these two factors have not See: AGRARIAN MOVEMENTS, section On UNITED disappeared, but their operation has been modi- STATES;PARTIES, POLITICAL,Section On UNITED fied by modern industrial and commercial cul- STATES; FARMERS' ORGANIZATIONS; GRANGE. ture. One can trace, however vaguely, a certain Consult: Wiest, Edward, Agricultural Organization line of development in the history of farmers' in the United States (Lexington, Ky. 1923); Periam, organization. The basis for such generalization J., The Groundswell, a History of ...the Farmers' may well be sought in a rapid survey of the Movement (Cincinnati1874);Butterfield, K. L.,prevailing types of rural associations to be found "Farmers' Social Organizations" in Cyclopedia ofthroughout the world today. In the Orient kin- American Agriculture, ed. by L. H. Bailey, 4 vols.ship, tribal and village associations are still the (New York 1907 -09) vol. iv, p. 289 -97; Hicks, J. D., and Barnhart, J. D., "The Farmers' Alliance" incharacteristic forms of rural organization. North Carolina Historical Review, vol. vi (1929) 254 - While there are associations such as the coop- 8o; Farmers' Alliance History and Agricultural Digest, ierative credit societies in India, the village com- ed. by N. A. Dunning (Washington 1891); Nixon, munity (q.v.)- containing, of course, others than H. C., "The Cleavage within the Farmers' Alliance cultivators of the soil but existing chiefly for Movement" in Mississippi Valley Historical Review, vol. xv (1928) 22 -33; McVey, F. L., The Populistthem - prevails everywhere and comprises the Movement (New York 1896); Morgan, W. Scott,chief type of rural organization. In China the History of the Wheel and Alliance (Hardy, Ark. 1889).family system overshadows every other type of social and economic organization. It dominates FARMERS' ORGANIZATIONS. There is aagricultural organization to an even greater ex- natural history to the somewhat anomalous facttent than it does other aspects of life. In some that the prevalence and permanency of farmers'sections of the country, chiefly north China, organizations have never been identical or co-there are now appearing some cooperative enter- equal with the need for them. The need for rural prises, notably village banks. A folk school move- organization has varied with changing economic ment patterned on the Danish is also gaining and social conditions, while farmers' conscious-slight headway in China and it is possible that 13o Encyclopaedia of the Social Sciences the development of cooperative societies will cient to stimulate rural organizations to some- follow naturally in the path of this movement.thing approaching nation wide scope. Even so In Japan there were a few semicooperative the kinds of organization in these countries are farmers' organizations in the early nineteenthso diverse as to make generalizations concerning century, and in the twentieth century there hastypes and causes difficult. The Raiffeisen socie- taken place under government supervision aties in Germany and the Luzzatti banks in Italy rapid expansion of cooperative societies basedmake these nations outstanding in rural credit on European models. Other than this rural or-organization. Denmark, Switzerland and Ire- ganizations are few, probably because of the fact land are best known in the fields of commodity that small proprietors are geographically inter -cooperative marketing associations. In France spread with thousands of tenants. The possiblethere has been some slight development in both formation of a sort of tenant labor union iscooperative credit and marketing, but for the indicated by growing disputes between landlordmost part farmers' organizations in that country and tenant in recent years. are technical brotherhoods or fraternities of pro- In South Africa there have been for many yearsducers. The mutual aid societies of France are practically no farmers' organizations. There, aslittle more than agencies through which social in some South and Central American countries,insurance funds are administered and super- the farming class and its interests have beenvised. There are also such social organizations overshadowed by mining and industrial as wellas farm wives' circles and country foyers in as by intense political and racial issues. As aFrance, the Swiss Peasants' Union in Switzer- consequence the farmers have been sharply di-land, the Prévoyance Sociale in Belgium and vided, and where they have as a class combinedsome art and educational societies in Ireland. to any extent for concerted action it has been The broad generalization may safely be made through political party manoeuvres or to obtainthat in recent years social and fraternal rural governmental aid. In recent years, however,organizations in Europe have had no success rural cooperative credit, purchase and sales or-comparable with that of the economic institu- ganizations have been developed on a small scale.tions, unions and cooperatives, which have de- In Australia and New Zealand the history ofveloped in many cases into great business enter- rural organization has been more like that of theprises. An outstanding contrast is presented by United States and Canada. In Australia wheatdevelopment in the United States, where until and wool pools (cooperative marketing organi-very recent years there has been little progress zations) have wielded great influence. In New in cooperative organization and there have been Zealand a powerful union of farmers aided the only sporadic and transient attempts at political Reform party to power. In both countries labororganization. In the prairie provinces of Canada parties, including in their ranks many farmers,and in the fairly recently occupied areas of the have grown to influential status; and in bothUnited States, where commercialized agricul- countries political parties and legislation haveture has predominated from the beginning of been freely used to uphold the causes of thesettlement, both economic and political organi- farming class, as in the case of compulsory co- zations of farmers have been more frequently operative marketing of wheat in Australia. recurrent; but in other sections of North Amer- In most of the South and Central Americanica either the universal neighborhood or large nations volunteer organizations of cultivatorsfraternal organizations have chiefly prevailed. have been few and unimportant. The existencePractically all of the large farmers' organiza- of large estates, haciendas or latifundia, owned tions, such as the Grange, the Farmers' Alliance, by great landlords and companies and farmedthe Farmers' Union and the American Farm by tenants has not been conducive to volunteerBureau Federation, have attempted at one time organization. In the western states of Southor another to set up and operate business coop- America the village type of organization haseratives of various kinds. The great majority of continued, and although in many cases a systemthese business ventures not only failed but, to- of peonage has developed this has neither de- gether with political involvements in most cases, stroyed the old neighborhoods and villages norpulled the general farmers' organizations down resulted in class consciousness of sufficient in-with them. tensity to develop farmer class organizations. There are two probable chief causes for the It is in Europe and North America that farm-fact that European rural organizations have been ers have developed a class consciousness suffi-for many years dominantly economic and rural Farmers' Organizations 131 organizations in the United States until recentlydences are not lacking that it has been the case dominantly social and fraternal. First, farm lifein European and even in oriental countries. in the United States up to I900 was chiefly An even broader generalization is that rural pioneer life, and farming largely of a self -suffi- organization everywhere and in all times and cient type. The commercial or market regimeplaces has concerned itself with the problem of played a relatively small role in the averageobtaining a relatively higher standard of living farmer's existence, and because of the favorablefor its constituency. In primitive and pioneer ratio of natural resources to population individ- rural society standards of living are self -con- ual landownership was the dominant purposetained because farm folk have no means of corn - of the great majority of those who farmed. parison and no occasion to compare their stand- The second cause may be stated in more uni-ards of living with those of other segments of versal terms: probably in the history of ruralsociety. They therefore content themselves with organization in democratic societies general or- social and fraternal associations. As soon as they , ganizations have always preceded commercialobtain a means and method of observation of and business societies. Throughout most oftheother classes they become aware of other stand- world technical associations of breeders andards of living and begin seeking to attain them. producers, which remain of importance in allIn a society so dominantly commercial as west- modern agricultural nations, probably repre-ern civilization the means to a higherstandard sented the first step in class consciousness amongof living is almost universally sought through farmers. In Scotland the Scottish Agriculturalan adjustment to the price andmarket regime. Organization Society began as a breeders' asso-If this generalization be true, one would expec ciation. In the United States breed associationsoriental rural life, with the exception of Japan, and agricultural and horticultural societies wereto be still dominated by family, clan,neighbor- almost universal before the first generalfarmers'hood and village organizations; pioneer and near organization, the Grange, was founded. Evenpioneer rural societies such as those in the United earlier in some countries there weregeneralStates, Australia, New Zealand and South Africa mutual benefit types of rural associations. Into be in a transition era; and those in theolder, France general organization preceded thesyndi-more industrialized andcommercialized areas cats. In Germany the generalagricultural asso-of Europe to have developed highly commer- ciations existed for almost one hundred yearscialized farming and strong rural business or- before specialized societies came into existence,ganizations. In general, such are the conditions and in Canada the farmers were organizedintowhich actually exist. a social and educationalsociety before the vari -1 Since clasanolitical organization generally, if organization, ous provincial wheatpools were founded. In tnot always, awaits class economic Ireland a definite organized educational move-it is understandable why European nations have ment was carried on antecedent tothe organiza-agrarian parties; why the commercialized wheat Canada have i tion of the purchasing and sellingorganizations.areas of the United States and The more highly specialized businessorgani-nurtured a number of farmer political ventures; Ì zations of farmers may perhaps be envisaged asand why the granger legislation of the seventies, (1 the end product of a social process which maythe Greenback and Populist episodes of the 1 I be called a farmers' movement. This movementeighties and nineties and the Farm Bloc in the has started with all types and kindsof ruralCongress of the United States have all been f societies and farmers' associations- fairs,tech-concomitants of farmers' economic upheavals. nical improvement associations, fraternalsocie-The stability and permanency of farm political' ties and direct protest organizations based uponorganizations are therefore indirectly dependent also upon the degree to which fanning in any a discontent concerningrural status or a belief that farmers and even rural society werefailing area of the world has reached the stageof com.4l to "hold their own" indeveloping culture. Inmercialization. each instance, unless the organization offarmers CARL C. TAYLOR eventuated in an uprising or revolt, such as the See: AGRARIAN MOVEMENTS; AGRICULTURAL SOCIE- peasants' revolts of Europe, these associations TIES;COOPERATION; AGRICULTURAL COOPERATION; toward MUTUAL AID SOCIETIES; AGRARIAN SYNDICALISM; and societies have slowly felt their way AGRICULTURAL LABOR; EXTENSION WORK, AGRICUL- an attack upon the credit,price and market TURAL; AGRICULTURE, GOVERNMENT SERVICES FOR; problem. Such clearly appears to have been the FARM RELIEF; GRANGE; FARMERS' ALLIANCE; FARM- case in the United Statesand Canada and evi- ERS' UNION; FARM BUREAU FEDERATION, AMERICAN; 132 Encyclopaedia of the SocialSciences CHAMBERS OF AGRICULTURE; BOYS' AND GIRLS' CLUBS; actively engaged in banking, merchandising WOMEN'S ORGANIZATIONS; COUNTRY LIFE MOVE- or MENT; RURAL SOCIETY. the practise of law are ineligibleon the theory that they extract large profit from the Consult: Taylor, Carl C., "Farmers' Movementsas farmers Psychosocial Phenomena" in American Sociological and are unfriendly to the development ofco- Society, Papers and Proceedings, vol. xxiii (5928)153- operative marketing and credit systems. 62; Coulter, John L., "Organization among the Farm- Like the Alliance and the Grange before it, ers of the United States" in Yale Review, vol. xviii the Farmers' Union grew rapidly when "join- (1909) 273 -98; Wiest, E., Agricultural Organization in the United States (Lexington, Ky. 1923); Rice, ing" was a novelty and large benefits from S. A., Farmers and Workers in American Politics (New organization were anticipated. By5905 state York 1924); Pearson, Raymond A., Agricultural Or- unions had been established in Texas, Arkansas, ganizations in European Countries, New York State, Alabama, Georgia and Louisiana. In1910 its Department of Agriculture, Bulletin no. 66 (Albany 1914); Schindler, Axel, "The Organization of Ger- total individual membership was about 121,800, man Agriculture" in Scottish Journal of Agriculture, with its greatest strength in the Gulf states. In vol. x (1927) 144 -55; Roche, Léon, "Les associations 1919 it had more than 140,000 members, but agricoles au Danemark" in Journal d'agriculture pra- by 1930 the total had fallen to91,109. In 1930 tique, vol. xlii (5924) 96-99; "Belgium, the Agricul- the Union was strongest in Oklahoma, Kansas, tural Associations according to the Latest Official Statistics" in International Review of Agricultural Nebraska, Iowa, the Dakotas, Colorado and Economics, n.s., vol. iv (1926) 277 -82; Gaudot, G.,Montana. The dreaded reaction experienced by "Le Boerenbond Belge" in Journal d'agriculture pra- its forbears has affected the Farmers' Union, tique, vol. xxxix (1923) 517 -18; Jones, C. L., "Agri- especially in the south, where it has almost cultural Organizations in Spain" in United States, Bureau of Foreign and Domestic Commerce, Com- completely disappeared. The instability of farm merce Reports, vol. iii, no. 554 (1919) p. 26 -34. Fororganization in the south is attributed to ineffi- European farmers' organizations see also brief de- cient leadership and general lack of interest, scriptive articles in International Review of Agriculture probably due to the presence of a largepro- from 1910 to date. portion of tenant farmers, whose interest ina long term welfare program is difficult to main- FARMERS' UNION. This, the third generaltain. Moreover, such projects as cooperative organization created by the farmers of theenterprises face great difficulties in a racially United States, whose full name is the Farmers'divided region. Educational and Co- operative Union of Amer- From its beginning to 1917 the Union was a ica, was founded in 1902 at the little town ofsecret order. Opposition to secrecy developed Point, Texas. Among its founders were Newtbecause at first the national body rigidly con- Gresham and others who had been organizers trolled the ritual. Later special permission was and leading officials in the Farmers' Alliance,granted to the Nebraska and Kentucky unions which had precipitously disintegrated in 1892,to devise rituals to suit local needs. Lack of uni- when together with the Knights of Labor itformity finally led to the abandonment of se- organized the People's party. crecy. Democratic and religious arguments were Although for more than a decade prices ofmade in favor of an open organization and a farm products had risen more rapidly than thosebusiness manual was finally adopted in place of of non -agricultural products and the farmer'sthe ritual. position had therefore been improving, per Following the lead of the Farmers' Alliance capita farm income was still relatively very low. the Union has always maintained friendly rela- Farmers condemned the demand for cheap foodtions with the more established labor organi- at the expense of their standard of living andzations. Its national convention receives frater- hoped to improve conditions through the Unionnal delegates from the American Federation of in part by the enactment of favorable legisla-Labor, and in 1921 it stated the relation of tion, but more especially by developing soundorganized agriculture to organized labor as fol- cooperative enterprises and the building of alows: "The farmer is both a producer and a credit structure to finance farm operations andconsumer. The laborer is both a producer and return all profit to the farmers. Membership is a consumer. Each is the principal customer of limited to the white rural population and maythe products of the other." Officials state that include farm tenants as well as owners, countrythey seek labor support for a legislative program mechanics, physicians, clergymen, and news-beneficial to both groups, such as the curbing paper editors who support Union policies.of trusts, prohibiting the dealing in futures or Women are eligible but pay no dues. Personsthe enactment of satisfactory tax measures. Farmers' Organizations- Fascism. 33 The Union contends thatagricultural ills canand medical jurisprudenc be remedied only througha fundamental change red the newly organized natio. General Register of the economic order. Thefarmer himself must Office, with which hewas associated until his go into business and retain all profitthat nowretirement in 1879. accrues to those who furnish his suppliesand Farr is rightly regarded market his products. TheUnion's outstanding as the founder of the English nationalsystem of vital statistics. activity has therefore beenthe promotion ofFor over forty cooperative enterprise, including years he supervised the actual the purchasecompilation of English vital of essential farm supplies,the sale of farm statistics, intro- duced methods of tabulationwhich have stood produce, the conduct of fire,livestock, hail and the test of time anda classification of causes life insurance companies andof plants forman-of death which has been ufacturing farm products forthe market (cream- the basis of all sub- eries, pickle factories, etc.). sequent methods. On the basisof national statistics he compiled life The Farmers' UnionExchange operates in tables still used in the northwest as actuarial calculations andformulated practical a cooperative buying agencylessons as to the causation and for someyears has taken the entire output and prevention of disease which have beena most powerful factor of the North Dakotastate prison industries and in determining thecourse of sanitary history half the output of theMichigan state prisonand the triumphs of industries for distribution directlyto the farm- public health. He used ers. The Farmers' Union Terminal most effectively comparisons ofgeneral and Association,specific death rates in a grain marketing agency also operatingin the different parts of the northwest, handled 16,000,000 country as pointers toward localreform and bushels in 1928.stated the laws governingthe course of The Farmers' Mutual FireInsurance Company, an epidemic disease, thus helpingto lay the foun- organized in 1925, had insurancein force indation of epidemiology. 193o amounting to $55,000,000. TheFarmers' Union Mutual Life Insurance Farr's most important worksare in the form Company, or-of comments and discussions ganized in 1922, had $12,5oo,000of insurance contained in the in force in 193o. annual reports of the registrargeneral of births, It was as the result of deaths and marriages andin the decennialsup- a suggestion made inplements to these 1915 by the Union's president that the reports, for which hewas Nationalmainly responsible. A largenumber of his ob- Board of Farm Organizations,a clearing house for national agricultural servations are reproduced ina memorial volume problems and a unitedissued by the Sanitary front lobbying Institute of Great Brit- agency of all farm organizations,ain,entitled was created. Vital Statistics (ed. by N.A. Humphreys, London 1885). EDWARD WIEST Farr's influence extendedto the continent. See: AGRARIAN MOVEMENTS,section on UNITEDHe took a prominentpart in promoting inter- STATES; FARMERS' ORGANIZATIONS;FARMERS' ALLI- national cooperation in the ANCE. field of vital statis- tics, and if the study ofthis subject owes Consult: Barrett, C. S., The more Mission, History, andto English data and observationsthereon than Times of the Farmers' Union(Nashville, Tenn. 1909); Fisher, C. B., The Farmers' to those of any other countryduring the nine- Union (Lexington, Ky. teenth century, it is due 192o); Wiest, Edward, AgriculturalOrganization in chiefly to the work of the United States (Lexington,Ky. 1923). See alsoWilliam Farr. publications of the Farmers' Union, including pro- ARTHUR NEWSHOLME ceedings of its nationalconventions, its manuals and reports. Consult: Newsholme, Arthur,"William Farr, the Father of English Vital Statistics"in De Lamar Lec- tures, 1925 -26 (Baltimore 1927)p. 203 -20; Lukas, FARR, WILLIAM (1807-83), English statis-F. G., "William Farr" inStatistische Monatsschrift, tician. Farr was born ofhumble parentage andvol. ix (1883) 496-50o. owed his chance of professionaltraining to a friend. In 1829 he studied FASCISM. It is difficultto isolate by abstract medicine underanalysis the distinctive Orfila and Louis andhygiene under Andrai in feature of Fascism. Paris, where he received his Viewed either negativelyor positively, it has first impetus toelements incommon with other systems of the study of medicalstatistics. Upon his return na- to England he eked out his tional organization. Ifdefined simply asa nega- scanty earnings intion of liberalism and medical practise by givinglectures on hygiene parliamentarianism it is inadequately differentiatedfrom communism 13 Encyclopaedia of the Social Sciences am which manifest an equallimited number of persons constituting an or- antipathy to then .der democratic tenets. Itsganic unity. The action of the "dynamic" state analogy with varied types of administrative or-must be, in contrast to that of the parliamentary ganization is strikingly indicated by the appli- system, "quick, sure, unanimous, conscious, re- cation of the very questionable term "interna-sponsible." Parliamentarianism was felt to be tional Fascism" to those ephemeral dictatorshipsnot only unwieldy but also by reason of the which here and there during the aftermath ofabsence of a common outlook between modern the World War practically displaced systems ofparties ineffective; it ignored the "social forces" popular representation, as well as by the presentwithin the nation and had failed to cope ade- day use -especially among communists and so-quately with the political and economic crisis in cial democrats -of the term as a derogatoryItaly during and after the war. Against the epithet, a political catchword devoid of scien-domination of Parliament and the majority prin- tific precision. If, on the other hand, Fascismciple Fascism advanced, as is indicated in the be defined positively as the unlimited sover-preceding quotations, the claims of the élite. eignty of the state over all phases of nationalUnquestionably it is here that the connection - activity it approximates the nationalisme intégraloften exaggerated and often groundlessly denied of a group as different as the Action Française.- manifests itself with Georges Sorel's philoso- It is only when viewed as a peculiarly Italianphy of history, which sharply emphasizes the phenomenon that the essence of Fascism be-significance of the élite as the embodiment of comes clearly delineated. In its philosophy, itsthe genius of a people, an institution or a class. origins and development, its political structureEven when Fascism at a later stage of its devel- and cultural aspirations, it is an integral part ofopment attempted to strengthen its position by the Italian matrix. The ideology of Fascism harnessing the democratic forces of the state, as viewed historico -genetically is a peculiar fusionexpressing themselves in the plebiscite, it was of syndicalist theory and the doctrines of Italianstill acting consistently with its basic emphasis nationalism. While the former has graduallyon the élite. receded into the background, the latter has sup- The idea of the sovereignty of the state is the plied the movement with its central intellectual very kernel of Fascist social and political theory. pillar, the idea of the national state. The nation The contrast with the French Revolution as becomes transfigured into a corpus mysticism, anwell as with the pluralistic conception of the unbroken chain of generations, armed with astate is apparent in the thesis that although the mission which is realized in the course of thegroups -the attività sociali, associations inter- historical process. The duty of the individual ismediate between state and individual -are to be to elevate himself to the hephts of the nationalrecognized by the state they are to be strictly consciousness and to lose 'completely his ownsubordinated to serving the interests of the state. identity in it. He has individual rights only in so This conception leaves no room for class strug- far as they do not conflict with the needs of thegle, even were Fascism less emphatic in its sovereign state. insistence on the solidarity of capital and labor This conception of the Fascist state, which isin the production process over and above their essentially a vigorous revival of the idea of na-antagonism in the division of the social product. tionalism as first developed during the FrenchIf all the vocations of the country were organ- Revolution, is at the same time a repudiation ofized into one great syndicate, the postulate of the political organization of the national state state sovereignty would lead directly to an "iden- as set up during the century following the revo- tification of the economic system with the state," lution. The rejection by the Fascists of Rous-the peculiarity of which would consist in the seau's dogma of popular sovereignty automati-fact that it would still be unwilling to renounce cally invalidated the doctrine of natural rights asthe dynamic force of private initiative. The leg- well as the infallibility of majority rule. "Brokenislation which sprang from these ideas will be up and dissipated among millions of citizensconsidered later. preoccupied as a general rule with their own The historical beginnings of the Fascist move- private needs, popular sovereignty was distorted ment are comprehensible only in the light of and can no longer be considered a practicalthe severe political and economic crisis into expression of organic statecraft." The actualwhich the World War had plunged Italy. Vic- administration, in which "the entire life of thetory brought the realization of her irredentist nation is concentrated," must be entrusted to aaims, but in all her nationalist aspirations which Fascism 135 went beyond this she was disappointed. She hadbeen one of the first to advocate the entry of emerged from the war without colonies; theItaly into the war on the side of the Entente, Adriatic Sea, mare nostrum, was in other hands. organized his fasci di combattimento as bearers of Although the Austrian Empire had been shat-a Napoleonic will to power dedicated to a na- tered, the presence of the Slavic flank on thetionalistic syndicalist program, which contained east constituted a new threat, which with addi-in addition other heterogeneous elements. The tional consolidation might prove more danger- social composition of these groups revealed from ous than the old. the beginning a significant peculiarity of the In addition to the discontent over the peacemovement. It cut, as it were, vertically through treaty there arose a great number of economicItalian society and from all strata recruited its and financial difficulties. The productive forcesfollowers, who ranged from former service men of the country were in part destroyed, in partto syndicalist agitators and workers, to students, turned as a result of the war into false channels;to followers of d'Annunzio. The embryonic the balance of trade and the state budget re-movement acquired a broader significance when vealed enormous deficits; the debt to the Anglo-in the course of time Mussolini dropped the Saxon countries mounted still higher in spite oftrimmings of syndicalism and carried his agi- the termination of the war. On the other hand,tation successfully to the urban and rural middle the assets, so important in normal times, fromclasses, who gradually attached themselves to "invisible" exports -the savings sent back tothe original inner nucleus of shock troops. Fi- the mother country by emigrants, the revenuenally, with the adherence of members from the from tourists and commercial shipping -hadupper classes of society, such as the large land- sunk to almost nothing. Fortunes and incomeowners of the south and the industrial bour- decreased to a great degree. geoisie of Lombardy, the problem of financial Impressed by the profound moral depressionsupport for the party program became less acute. created throughout Italy by the international andThus the movement, which at first made no economic situation the socialist parties, whosepretenses to formal party organization, consisted radical wings had persisted even after the defeatmerely of the dynamic military minority and the at Caporetto in their antiwar agitation and inlarger group of loosely knit followers. the general situation in 1918 had found excellent Mussolini's political tactics during the two material for propaganda, decided with encour-years preceding his march to Rome on Octo- agement from Moscow that the hour for actionber 28, 1922, contributed in two significant had arrived. An unbroken succession of strikesrespects to the later success of Fascism. First swept over the peninsula. Although concen-of all he carefully avoided saddling the move- trated more especially in the industrial and agri- ment in its infancy with a formal program. He cultural regions of northern Italy they radiatedconsistently made it clear to the people that he to the south, as far even as Apulia and Sicily.relied not upon laboriously prepared and metic- The political fate of Italy might have beenulously contrived programs, with which Italy different had there not intervened between thein its political life was surfeited, but on an in- southern latifundia with their thick layer oftuitive comprehension of the situation at hand agrarian proletariat and the northern Italian in-and a rough and ready solution of it in the dustrial area a broad intermediate zone inhabitedinterests of the nation. This substitution of char- chiefly by small property owners and tenantismatic arbitrary leadership in place of a rigid farmers essentially middle class in their materialprogram, which is in full accord with Italian interests as well as in their intellectual and moralpolitical tradition, made it possible during the outlook. Socialism was to pay dearly for theearly struggles to enlist as active followers or advances which it made among these groups in at least as sympathetic observers recruits from the intensity of the subsequent antisocialist re-all sections, although their only common meet- action. The valley of the Po was to be commem- ing ground might be an enthusiasm for the orated by Mussolini himself as the cradle of thenational idea, combined with an antipathy to Fascist movement. Even to the present timeparliamentarianism and international socialism. Fascism has not denied its agrarian origins. One A second and more important feature of Mus- of the most important sections of its legislation,solini's tactics during this preparatory period the Bonifica integrale, is expressly designed towas the gradual penetration of Italian adminis- increase the number of small landholders. trative and political machinery with his follow- In March, 1919, Benito Mussolini, who haders and the institution on a broad scale of 136 Encyclopaedia of the Social Sciences volunteer emergency groups which were set upsolini. All nominations are traceable directly or in time of strike -most successfully, in the at-indirectly to him, and throughout the varied tempted general strike in the beginning of Au-ramifications of the party machine the will of gust, 1922 -to keep the essential industriesthe leaders as a general rule prevails over the running. Where the state and especially the localcomponent organs. Mussolini controls the de- representatives adopted a hostile attitude toward cisions in the Great Fascist Council; the secre- the new movement, the party proceeded totaries of the provincial and local associations supersede them with its own organs -and thuscontrol the activities as well as the membership to organize the "state within the state," the étatof the governing bodies. It is a consequence of postiche of the French Revolution. the aristocratic concept of the élite -as well as Italy had capitulated even before the Fascistan expression of the contempt for the demo- march on Rome. This gradual "methodical"cratic principle of election -that the selection conquest of the state was a part of Mussolini'sof leaders all along the line takes place through revolutionary tactics and at the same time annomination from above. The party hierarchy indication of the empirical nature of Fascistdoes not proceed upward from the will of indi- development, which had characterized the en-vidual voters -not even theoretically, as is the tire movement up to that point. The interestingcase in Russia -but has its origin among the fact should be remembered that many of theleaders, whence it permeates downward. An in- most important Fascist institutions -the con-evitable corollary of this authoritarian hierarchic stitutional position of Mussolini, the Great Fas-structure is the unqualified duty of obedience cist Council, Balilla and Avanguardia as organi- incumbent upon all members. Every individual zations for the education of youth -were set upwho wishes to enter the ranks of the Fascists first under the pressure of some immediate situ-must take an oath which binds him "to obey ation and only later given constitutional sanction.without question the commands of the Duce The contention that Fascism constitutes a... andwhen necessary to shed his blood for coup d'état rather than a revolutiondependsthe Fascist revolution." Thus the political struc- upon the definition that is given to these twoture of the party must be visualized in order to terms. If Marx' narrow definition be acceptedunderstand the transformation of the Italian and the term revolution be applied only to anstate as a result of the Italian revolution. overthrow of the ruling class by the ruled and After the march to Rome and especially after to the establishment of a communistic society, the incisive legislation accompanying the estab- then it is immediately clear that Fascism canlishment of the "intensified" dictatorship of raise no such claim. A more realistic definition1925, Italy must be regarded as a one -party state of revolution, however, would include all thosejust as Soviet Russia is a one -party state. The situations in which the tension within a stateprocess of fusion of party and state was accom- has reached a point where it is no longer possibleplished in various ways. On the one side the to maintain a balance through normal means -state itself was well adapted to the structure of the broader significance of the revolution de-a hierarchic authoritarian party. The executive pending, of course, on how fundamental are itspower of the state became so strong both in effects. content and in structure that it completely over- It is impossible to understand the transfor-shadowed the legislative and passed over into mation of the Italian state resulting from the the newly created capo del governo, Mussolini. Fascist revolution except by an analysis of theThe complement of this process was the cen- party organization with its concentration of au-tralization of the entire administration, which thority and its hierarchic membership. Thealthough not carried out at one stroke ultimately Fascist party cuts through the horizontal layers eliminated local autonomy in province and com- of society, which with the aid of the arbitrarymunity. A second means of fusion was through state government hold it together like a clamp.the constitutional overlapping of party and state. Just as in Soviet Russia, the party seeks throughThe beginning of this evolution was made when a host of auxiliary groups- associationsof teach-Mussolini proclaimed himself head of the party ers, students, railroad men and thelike -toand at the same time president of the ministry. extend to all spheres of modern life. Concen-Further important steps in this direction were tration of authority and hierarchy of member-the amalgamation of the party militia into the ship imply that all the reins of party activitystate guard, court recognition of Fascist unions come together eventually in the hands ofMus-and administration by government appointees of Fascism 137 the youth organizations founded by Fascism. The most thoroughgoing interventionism of The conclusion of the development was reachedthe corporative state is in regard to the freedom in the constitutional erection of the Great Fas-of labor. A syndicalist structure incorporating cist Council, a body which first assembled forthe various vocations of the nation is designed the solution of actual questions on the eve ofto regulate all relationships involving labor. Al- the march to Rome and which was afterwardthough this is accompanied by a campaign of perpetuated as the highest corporate organ ofmoral and national education among the mem- the party. Its manifold competences -such asbers the regulations are rigidly binding upon all. its noteworthy collaboration in the founding ofConsistent with the emphasis on the supremacy the second chamber, its expressions of opinionof the state is the effort to transcend the disas- regarding such constitutional questions as thetrous economic and political effects of class succession to the throne -are overshadowedconflict by emphasizing the solidarity of capital from a political point of view by that particularand labor in the production process. Actually one according to which in case of the death ofof course there is still a sharp division between Mussolini it is to submit to the monarch thelabor associations and employers' associations, nomination of his successor. Since the nomineeleaving the way open to a clash of interests. But will become equally capo di stato e duce del'since all strikes and lockouts are outlawed, such fascismo, the central function of the council may disputes are to be settled only by arbitration be defined as the perpetuation of the party -stategroups or in the last resort by the state magistra- regime beyond the lifetime of Mussolini. ture del lavoro. According to the labor constitu- According to Fascist theory the corporative,tion wages should be determined by three con- or guild, state is the visible expression of thesiderations -not always easy to establish -the supremacy of the state over the economic andnecessities of life, the potentiality of production social groups within the nation. The nature ofand the profits of labor. The critical point in the this complex structure does not lend itself todevelopment of the corporative state is whether brief analysis. The problem is made even morethe joint associations composed of both capi- difficult by the fact that the corporative state istalists and workers -the corporations, described still in process of gradual transformation as wellin article VI of the Carta del lavoro as "unified as by the impossibility of forming as yet anorganizations of all productive forces" -can ac- exact opinion as to how far the legal machinerytually exert a wide influence in regulating the set up for its realization has altered the actualindividual production processes. If this aim is features of the Italian economic system. accomplished, the resulting economic system It is significant for an understanding of thewould constitute an economic autonomy under corporative state that through it the state ad-state leadership, a type of plan -capitalism, with ministration allies itself with private enterpriseflexible state intervention always in the back - and the preservation of the capitalistic order.ground-a system which is far different from The former is declared to be the "most prac-the unwieldy state socialism on the German ticable and feasible means for serving nationalpattern. interests "; the latter, the best adapted "method A further analysis of the political features of of production." In striking contrast to the laissezthe corporative state reveals that in the com- faire doctrines of economic liberalism, Fascismposition of its membership it is hierarchic, just sets forth -most explicitly in article ix of theas the party and the state are, and that in the Carta del lavoro, the basic labor constitution oflast analysis its, activities are equally inspired the movement -the right of the state to inter-and directed by Mussolini. The higher associa- vene in the process of production whenevertions, the confederations and federations, control private initiative is unequal to the task at handand direct the lower. At the pinnacle of this or when political interests are at stake. Althoughbroad framework are the ministry of corporations of course an emergency administration of inade-and the national council of corporations, which quately cultivated landed property has hithertoat the time of its inauguration was designated by taken place only seldom, an interventionist pol- Mussolini as the economic general staff of Italy. icy has manifested itself in the limitations on But the corporative state does more than free choice of domicile with a view to restricting round out the supremacy of Fascist authorita- the supply of industrial labor, in the discourage-rianism. The confederations are entrusted with ment of new factories in large cities and in thethe important function of drawing up a list of decisive state regulation of small merchants. candidates for the second chamber, which ulti- 138 Encyclopaedia of the Social Sciences mately, after amendments by the Great Fascistto time expedient to pose in the eyes of the world Council, is submitted to a vote of the people.as bitter adversaries. Under the institution of a "sovereign dictator- Between the foreign policy of the Fascists and ship" which controls all expressions of publicthat of their predecessors there is no clear cut opinion, the chief function of the Chamber ofdistinction. The international relations of a state Deputies is to keep alive the contact betweenare predetermined by its geographical location, the public and the administration and in thethe vitality and martial virtues of its population process to disseminate and interpret for theand to a less degree by its historical traditions. benefit of the people the essentials of FascistA very decisive transformation in the inner policy. And since the majority of deputies ema-structure of a country may not find its counter- nate from the state recognized vocational asso- part in the diplomatic sphere. ciations, the body of popular representatives is Even the methods of Fascist diplomacy reveal capable of providing expert support to the worklittle change. Italian politics has hitherto been of economic legislation. empirical and realistic and therefore unusually In the supervision of the cultural as well as elastic. If at the present time it creates in foreign of the economic life of the state Fascism hascountries the impression of rigidity it is because manifested its characteristic tendency to putin Italy there is no public opinion apart from into circulation again currencies which sincethat controlled by the dictatorship. the French Revolution had been withdrawn. A What has changed is the vigor with which typical illustration of this conservatism is theFascist Italy makes her diplomatic claims effec- educational reform of Giovanni Gentile. Histive. It should not be forgotten that one reason philosophy of "actualism," which has permeated for the rapid expansion of the Fascist movement Fascist political and social theory, repudiateswas the feebleness of Italian foreign policy di- the abstract and rational approach of Rousseaurectly after the war, and in addition that every as destructive of the personality of the pupilgovernment which emphasizes so strongly the formed by family and religious training. The idea of nationalism and of national mission is in- development of this personality according tovariably committed to a vigorous foreign policy. Socratic precept is accepted as the true goal of Although hemmed in between the French and Fascist education, which at the same time con-English holdings in the Mediterranean, Fascist sistently emphasizes tradition as one of the greatItaly has succeeded by the penetration of Alba- cultural forces. "Popular tradition, so long as itnia and the definitive conquest of Dodecanese remains a living force among a people whichin preserving and strengthening its political po- cherishes the words of its ancestors, and thesition in the Adriatic and the Aegean. While the great national literature, which at all times hasattempt has been made to continue and deepen brought forth masterpieces of poetry, and faith,the traditional friendship with England, the re- and knowledge: these, for all their greatness, arelations with France have occasionally come accessible even to the poorest." sharply to a head. The attempted denationali- -Fascist school legislation has made religiouszation of numerous Italian settlers in Tunis, the education obligatory in state schools. Althoughpolitical and economic influence of both powers the relationship of Fascism to the Catholicin southeastern Europe, the difficult problem of church is in many respects extremely compli-naval armaments, have proved the most danger- cated, itis unquestionably true that the twoous points in which the Franco -Italianrivalry movements share in common, to a greater degreehas kindled during the last few years. Undoubt- than at any time since the Risorgimento, many edly the position of Italy as a great power and its features -as, for example, an antipathy to liber-diplomatic self- dependence have been strength- alism and a close contact with the middle classes,ened under the Fascist government. For the fate especially the agrarian. It would be a mistake,of Europe the most critical consideration is of course, to ignore the political motives whichwhether the Fascist regime in the pursuit of its operated on both sides in the rapprochementnational aspirations will be successful in recon- between the Curia and the king. But it wouldciling the internal strain caused by its political be equally unrealistic, in considering the mo-and national ideology with a peaceful foreign nopolization by the Fascists of the social life ofpolicy. Italy- especially of the education of the young ERWIN VON BECKERATH -and the irremediable resentment of the Curia, See: GOVERNMENT, section on ITALY; NATIONALISM; to forget that both groups deem it from time SOVEREIGNTY; STATE; REVOLUTION; FORCE, POLITICAL; Fascism-Fashion 139 DICTATORSHIP; SYNDICALISM; FUNCTIONAL REPRE- age people with little demur and is not so much SENTATION; NATIONAL ECONOMIC PLANNING; LABOR; reconciled with taste as substituted for it. For EMPLOYERS' ASSOCIATIONS; AGRARIAN SYNDICALISM; many people taste hardly arises at all except on EDUCATION; YOUTH MOVEMENTS; PAPACY. the basis of a clash of an accepted fashion with Consult: Santangelo, G., and Bracale, C., Guida bibli- a fashion that is out of date or current in some ografica del fascismo (Rome 1928); Schneider, H. W., The Making of the Fascist State (New York 1928), other group than one's own. with critical bibliography; Haider, Carmen, Capital The term fashion may carry with it a tone of and Labor under Fascism (New York 193o), with approval or disapproval. It is a fairly objective bibliography; Pór, Odon, Fascism, tr. from Italianterm whose emotional qualities depend on a ms. by E. Townshend (London 1923); Michels, Ro- context. A moralist may decry a certain type of berto, Sozialismus and Fascismus in Italien (Munichbehavior as a mere fashion but the ordinary per- 1925); Mannhardt, J. W., Der Fascismus (Munich 1925); Prezzolini, G., Le fascisme, tr. from Italian ms. son will not be displeased if he is accused of by G. Bourgin (Paris 1926), tr. by K. Macmillanbeing in the fashion. It is different with fads, (London 1926); Beckerath, Erwin von, Wesen andwhich are objectively similar to fashions but Werden des fascistischen Staates (Berlin 1927), and differ from them in being more personal in their " Fascismus" in Handwörterbuch der Soziologie (Stutt- gart 1931) p. 131 -36; Mussolini e il suo fascismo, ed. application and in connoting a more or less defi- by L. S. Gutkind (Heidelberg 1927); Volpe, G., Lonite social disapproval. Particular people or co- svillupo storico del fascismo (Palermo 1928); Rocca, teries have their fads, while fashions are the M., Le fascisme et l'antifascisme en Italie (Paris 1930); property of larger or more representative groups. Rocco, Alfredo, "The Political Doctrine of Fascism"A taste which asserts itself in spite of fashion in International Conciliation, no. 223 (1926); Elliott, W. Y., The Pragmatic Revolt in Politics (New Yorkand which may therefore be suspected of having 1928) ch. xi; Leibholz, Gerhard, Zu den Problemen something obsessive about it may be referred to des, fascistischen Verfassungsrechts (Berlin 1928); Ba- as an individual fad. On the other hand, while lella, Giovanni, Lezioni di legislazione del lavoro (Romea fad may be of very short duration, it always 1927); Gangemi, Lello, La politica economica e finanzi- aria del governo fascista nel periodo dei pieni poteridiffers from a true fashion in having something (Bologna 1924); McGuire, C. E., Italy's Internationalunexpected, irresponsible or bizarre about it. Economic Position (New York 1926); Reupke, Hans, Any fashion which sins against one's sense of Das Wirtschaftssystem des Faschismus (Berlin 193o); style and one's feeling for the historical conti- Pennachio, Alberto, The Corporative State (New York nuity of style is likely to be dismissed as a fad. 1927); Fucile, Edmond, Le mouvement syndical et la réalisation de l'état corporatif en Italie (Paris 1929); There are changing fashions in tennis rackets, Bortolotto, G., Lo stato e la dottrina corporativa (Bo- while the game of mah jong, once rather fash- logna 193o); Atti del primo convegno di studi sindacali ionable, takes on in retrospect more and more e corporativi, 2 vols. (Rome 193o); Simoncelli, A., the character of a fad. Der fascistische Korporativstaat (Wettingen 193o); Just as the weakness of fashion leads to fads, Gentile, Giovanni, II fascismo al governo della scuola (Palermo 1924); Heller, Hermann, Europa and derso its strength comes from custom. Customs Fascismus (Berlin1929); Eschmann, E. W., Derdiffer from fashions in being relatively per- Faschismus in Europa (Berlin 193o). manent types of social behavior. They change, but with a less active and conscious participation FASHION. The meaning of the term fashionof the individual in the change. Custom is the may be clarified by pointing out how it differselement of permanence which makes changes in in connotation from a number of other termsfashion possible. Custom marks the highroad of whose meaning it approaches. A particular fash-human interrelationships, while fashion may be ion differs from a given taste in suggesting some looked upon as the endless departure from and measure of compulsion on the part of the groupreturn to the highroad. The vast majority of as contrasted with individual choice from amongfashions are relieved by other fashions, but occa- a number of possibilities. A particular choicesionally a fashion crystallizes into permanent may of course be due to a blend of fashion and habit, taking on the character of custom. taste. Thus, if bright and simple colors are in It is not correct to think of fashion as merely fashion, one may select red as more pleasing toa short lived innovation in custom, because one's taste than yellow, although one's free tastemany innovations in human history arise with unhampered by fashion might have decided inthe need for them and last as long as they are favor of a more subtle tone. To the discrimi-useful or convenient. If, for instance, there is a nating person the demand of fashion constitutesshortage of silk and it becomes customary to a challenge to taste and suggests problems ofsubstitute cotton for silk in the manufacture of reconciliation. But fashion is accepted by aver- certain articles of dress in which silk has been 14o Encyclopaedia of the Social Sciences the usual material, such an enforced change ofcreated by leisure and too highly specialized material, however important economically orforms of activity, leads to restlessness and curi- aesthetically, does not in itself constitute a trueosity. This general desire to escape from the change of fashion. On the other hand, if cottontrammels of a too regularized existence is pow- is substituted for silk out of free choice as aerfully reenforced by a ceaseless desire to add symbol perhaps of the simple life or because ofto the attractiveness of the self and all other a desire to see what novel effect can be producedobjects of love and friendship. It is precisely in in accepted types of dress with simpler mate- functionally powerful societies that the individ- rials, the change may be called one of fashion.ual's ego is constantly being convicted of help- There is nothing to prevent an innovation fromlessness. The individual tends to be uncon- eventually taking on the character of a new fash-sciously thrown back on himself and demands ion. If, for example, people persist in using themore and more novel affirmations of his effective cotton material even after silk has once morereality. The endless rediscovery of the self in a become available, a new fashion has arisen. series of petty truancies from the official social- Fashion is custom in the guise of departureized self becomes a mild obsession of the normal from custom. Most normal individuals con-individual in any society in which the individual sciously or unconsciously have the itch to break has ceased to be a measure of the society itself. away in some measure from a too literal loyaltyThere is, however, always the danger of too to accepted custom. They are not fundamentallygreat a departure from the recognized symbols in revolt from custom but they wish somehowof the individual, because his identity is likely to legitimize their personal deviation withoutto be destroyed. That is why insensitive people, laying themselves open to the charge of insen- anxious to be literally in the fashion, so often sitiveness to good taste or good manners. Fash-overreach themselves and nullify the very pur- ion is the discreet solution of the subtle conflict.pose of fashion. Good hearted women of middle The slight changes from the established in dressage generally fail in the art of being ravishing or other forms of behavior seem for the momentnymphs. to give the victory to the individual, while the Somewhat different from the affirmation of fact that one's fellows revolt in the same direc-the libidinal self is the more vulgar desire for tion gives one a feeling of adventurous safety.prestige or notoriety, satisfied by changes in The personal note which is at the hidden corefashion. In this category belongs fashion as an of fashion becomes superpersonalized. outward emblem of personal distinction or of Whether fashion is felt as a sort of sociallymembership in some group to which distinction legitimized caprice or is merely a new and un-is ascribed. The imitation of fashion by people intelligible form of social tyranny depends on who belong to circles removed from those which the individual or class. It is probable that thoseset the fashion has the function of bridging the most concerned with the setting and testing ofgap between a social class and the class next fashions are the individuals who realize most above it. The logical result of the acceptance of keenly the problem of reconciling individuala fashion by all members of society is the dis- freedom with social conformity which is implicit appearance of the kinds of satisfaction respon- in the very fact of fashion. It is perhaps not too sible for the change of fashion in the first place. much to say that most people are at least partlyA new fashion becomes psychologically neces- sensitive to this aspect of fashion and are secretly sary, and thus the cycle of fashion is endlessly grateful for it. A large minority of people, how-repeated. ever, are insensitive to the psychological com- Fashion is emphatically a historical concept. plexity of fashion and submit to it to the extent A specific fashion is utterly unintelligible if lifted that they do merely because they realize thatout of its place in a sequence of forms. It is not to fall in with it would be to declare them-exceedingly dangerous to rationalite or in any selves members of a past generation or dullother way psychologize a particular fashion on people who cannot keep up with their neighbors.the basis of general principles which might be These latter reasons for being fashionable areconsidered applicable to the class of forms of secondary; they are sullen surrenders to bastardwhich it seems to be an example. It is utterly custom. vain, for instance, to explain particular forms The fundamental drives leading to the crea-of dress or types of cosmetics or methods of tion and acceptance of fashion can be isolated.wearing the hair without a preliminary historical In the more sophisticated societies boredom,critique. Bare legs among modern women in Fashion 141 summer do not psychologically or historicallyion is that those features of fashion which do create at all the same fashion as bare legs andnot configurate correctly with the unconscious bare feet among primitives living in the tropics.system of meanings characteristic of the given The importance of understanding fashion his- culture are relatively insecure. Extremes of style, torically should be obvious enough when it iswhich too frankly symbolize the current of feel- recognized that the very essence of fashion ising of the moment, are likely to find themselves that it be valued as a variation in an understoodin exposed positions, as it were, where they can sequence, as a departure from the immediatelybe outflanked by meanings which they do not preceding mode. wish to recognize. Thus, it may be conjectured Changes in fashion depend on the prevailingthat lipstick is less secure in American culture culture and on the social ideals which inform it.as an element of fashion than rouge discreetly Under the apparently placid surface of cultureapplied to the cheek. This is assuredly not due there are always powerful psychological driftsto a superior sinfulness of lipstick as such, but of which fashion is quick to catch the direction.to the fact that rosy cheeks resulting from a In a democratic society, for instance, if there is healthy natural life in the country are one of an unacknowledged drift toward class distinc-the characteristic fetishisms of the traditional tions fashion will discover endless ways of givingideal of feminine beauty, while lipstick has it visible form. Criticism can always be met byrather the character of certain exotic ardors and the insincere defense that fashion is merely fash-goes with flaming oriental stuffs. Rouge is likely ion and need not be taken seriously. If in ato last for many decades or centuries because puritanic society there is a growing impatiencethere is, and is likely to be for a long time to with the outward forms of modesty, fashioncome, a definite strain of nature worship in our finds it easy to minister to the demands of sexculture. If lipstick is to remain it can only be curiosity, while the old mores can be trusted tobecause our culture will have taken on certain defend fashion with an affectation of unaware-violently new meanings which are not at all ob- ness of what fashion is driving at. A completevious at the present time. As a symbol it is study of the history of fashion would undoubt-episodic rather than a part of the underlying edly throw much light on the ups and downs ofrhythm of the history of our fashions. sentiment and attitude at various periods of civ- In custom bound cultures, such as are char- ilization. However, fashion never permanentlyacteristic of the primitive world, there are slow outruns discretion and only those who are takennon -reversible changes of style rather than the in by the superficial rationalizations of fashion often reversible forms of fashion found in mod- are surprised by the frequent changes of face inem cultures. The emphasis in such societies is its history. That there was destined to be aon the group and the sanctity of tradition rather lengthening of women's skirts after they had be-than on individual expression, which tends to come short enough was obvious from the outsetbe entirely unconscious. In the great cultures of to all except those who do not believe that sexthe Orient and in ancient and mediaeval Europe symbolism is a real factor in human behavior. changes in fashion can be noted radiating from The chief difficulty of understanding fashioncertain definite centers of sophisticated culture, in its apparent vagaries is the lack of exactbut it is not until modem Europe is reached that knowledge of the unconscious symbolisms at- the familiar merry -go -round of fashion with its taching to forms, colors, textures, postures andrapid alternations of season occurs. other expressive elements in a given culture. The typically modern acceleration of changes The difficulty is appreciably increased by thein fashion may be ascribed to the influence of fact that the same expressive elements tend tothe Renaissance, which awakened a desire for have quite different symbolic references in differ- innovation and which powerfully extended for ent areas. GlEhic type, for instance, is a nation- European society the total world of possible alistic token in Germany, while in Anglo -Saxonchoices. During this period Italian culture came culture the practically identical type known asto be the arbiter of taste, to be followed by Old English has entirely different connotations.French culture, which may still be looked upon In other words, the same style of lettering mayas the most powerful influence in the creation symbolize either an undying hatred of Franceand distribution of fashions. But more impor- or a wistful look backward at madrigals andtant than the Renaissance in the history of fash- pewter. ion is the effect of the industrial revolution and An important principle in the history of fash-the rise of the common people. The former in- 142 Encyclopaedia of the Social Sciences creased the mechanical ease with which fashions ingly varied activities of modern life also give could be diffused; the latter greatly increasedgreater opportunity for the growth and change the number of those willing and able to be fash- of fashion. Today the cut of a dress or the ionable. shape of a hat stands ready to symbolize any- Modern fashion tends to spread to all classesthing from mountain climbing or military effi- of society. As fashion has always tended to beciency through automobiling to interpretative a symbol of membership in a particular socialdancing and veiled harlotry. No individual is class and as human beings have always felt themerely what his social role indicates that he is urge to edge a little closer to a class consideredto be or may vary only slightly from, but he may superior to their own, there must always haveact as if he is anything else that individual phan- been the tendency for fashion to be adopted bytasy may dictate. The greater leisure and spend- circles which had a lower status than the group ing power of the bourgeoisie, bringing them ex- setting the fashions. But on the whole suchternally nearer the upper classes of former days, adoption of fashion from above tended to beare other obvious stimuli to change in fashion, discreet because of the great importance at- as are the gradual psychological and economic tached to the maintenance of social classes. What liberation of women and the greater opportunity has happened in the modern world, regardless ofgiven them for experimentation in dress and the official forms of government which prevailadornment. in the different nations, is that the tone giving Fashions for women show greater variability power which lies back of fashion has largelythan fashions for men in contemporary civiliza- slipped away from the aristocracy of rank to thetion. Not only do women's fashions change more aristocracy of wealth. This means a psychologi-rapidly and completely but the total gamut of cal if not an economic leveling of classes becauseallowed forms is greater for women than for of the feeling that wealth is an accidental ormen. In times past and in other cultures, how- accreted quality of an individual as contrastedever, men's fashions show a greater exuberance with blood. In an aristocracy of wealth every-than women's. Much that used to be ascribed one, even the poorest, is potentially wealthyto woman as female is really due to woman as a both in legal theory and in private fancy. Insociologically and economically defined class. such a society, therefore, all individuals areWoman as a distinctive theme for fashion may equally entitled, it is felt, so far as their pocketsbe explained in terms of the social psychology permit, to the insignia of fashion. This univer-of the present civilization. She is the one who salizing of fashion necessarily cheapens its value pleases by being what she is and looking as in the specific case and forces an abnormallyshe does rather than by doing what she does. rapid change of fashion. The only effective pro- Whether biology or history is primarily respon- tection possessed by the wealthy in the world ofsible for this need not be decided. Woman has fashion is the insistence on expensive materialsbeen the kept partner in marriage and has had in which fashion is to express itself. Too great to prove her desirability by ceaselessly reaffirm- an insistence on this factor, however, is the halling her attractiveness as symbolized by novelty mark of wealthy vulgarity, for fashion is essen-of fashion. Among the wealthier classes and by tially a thing of forms and symbols not of mate-imitation also among the less wealthy, woman rial values. has come to be looked upon as an expensive Perhaps the most important of the specialluxury on whom one spends extravagantly. She factors which encourage the spread of fashionis thus a symbol of the social and economic sta- today is the increased facility for the productiontus of her husband. Whether with the increas- and transportation of goods and for communica-ingly marked change of woman's place in society tion either personally or by correspondence fromthe factors which emphasize extravagance in the centers of fashion to the outmost peripherywomen's fashions will entirely fáll away it is of the civilized world. These increased facilities impossible to say at the present time. necessarily lead to huge capital investments in There are powerful vested interests involved the manufacture and distribution of fashionablein changes of fashions, as has already been men- wear. The extraordinarily high initial profits totioned. The effect on the producer of fashions be derived from fashion and the relatively rapidof a variability which he both encourages and tapering off of profits make it inevitable that thedreads is the introduction of the element of risk. natural tendency to change in fashion is helpedIt is a popular error to assume that professional along by commercial suggestion. The increas-designers arbitrarily dictate fashion. They do so Fashion 143 only in a very superficial sense. Actually theyattention as it does to the form of the human have to obey many masters. Their designs mustbody, seems to the critics to be an attack on above all things net the manufacturers a profit,modesty. Some fashions there are, to be sure, so that behind the more strictly psychologicalwhose very purpose it is to attack modesty, but determinants of fashion there lurks a very im- over and above specific attacks there is felt to portant element due to the sheer technology ofbe a generalized one. The charge is well founded the manufacturing process or the availability ofbut useless. Human beings do not wish to be a certain type of material. In addition to thismodest; they want to be as expressive -that is, the designer must have a sure feeling for theas immodest -as fear allows; fashion helps them established in custom and the degree to whichsolve their paradoxical problem. The charge of he can safely depart from it. He must intuitivelyeconomic waste which is often leveled against divine what people want before they are quite fashion has had little or no effect on the public aware of it themselves. His business is not somind. Waste seems to be of no concern where much to impose fashion as to coax people tovalues are to be considered, particularly when accept what they have themselves unconsciouslythese values are both egoistic and unconscious. suggested. This causes the profits of fashion The criticism that fashion imposes an unwanted production to be out of all proportion to theuniformity is not as sound as it appears to be actual cost of manufacturing fashionable goods.in the first instance. The individual in society The producer and his designer assistant capi- is only rarely significantly expressive in his own talize the curiosity and vanity of their customers right. For the vast majority of human beings the but they must also be protected against thechoice lies between unchanging custom and the losses of a risky business. Those who are familiarlegitimate caprice of custom, which is fashion. with the history of fashion are emphatic in Fashion concerns itself closely and intimately speaking of the inability of business to combatwith the ego. Hence its proper field is dress and the fashion trends which have been set goingadornment. There are other symbols of the ego, by various psychological factors. A fashion mayhowever, which are not as close to the body as be aesthetically pleasing in the abstract, but ifthese but which are almost equally subject to it runs counter to the trend or does not help tothe psychological laws of fashion. Among them usher in a new trend which is struggling for aare objects of utility, amusements and furniture. hearing it may be a flat failure. People differ in their sensitiveness to changing The distribution of fashions is a compara-fashions in these more remote forms of human tively simple and automatic process. The vogueexpressiveness. It is therefore impossible to say of fashion plates and fashion magazines, thecategorically just what the possible range of many lines of communication which connectfashion is. However, in regard to both amuse- fashion producers and fashion dispensers, andments and furniture there may be observed the modem methods of marketing make it almostsame tendency to change, periodicity and un- inevitable that a successful Parisian fashionquestioning acceptance as in dress and orna- should find its way within an incredibly short ment. period of time to Chicago and San Francisco. Many speak of fashions in thought, art, habits If it were not for the necessity of exploiting ac- of living and morals. It is superficial to dismiss cumulated stocks of goods these fashions would such locutions as metaphorical and unimpor- penetrate into the remotest corners of ruraltant. The usage shows a true intuition of the America even more rapidly than is the case. Themeaning of fashion, which while it is primarily average consumer is chronically distressed to applied to dress and the exhibition of the human discover how rapidly his accumulated propertybody is not essentially concerned with the fact in wear depreciates by becoming outmoded. He of dress or ornament but with its symbolism. complains bitterly and ridicules the new fash-There is nothing to prevent a thought, a type ions when they appear. In the end he succumbs,of morality or an art form from being the psy- a victim to symbolisms of behavior which hechological equivalent of a costuming of the ego. does not fully comprehend. What he will neverCertainly one may allow oneself to be converted admit is that he is more the creator than theto Catholicism or Christian Sciencé in exactly victim of his difficulties. the same spirit in which one invests in pewter Fashion has always had vain critics. It hasor follows the latest Parisian models in dress. been arraigned by the clergy and by social sati- Beliefs and attitudes are not fashions in their rists because each new style of wear, callingcharacter of mores but neither are dress and orna- 144 Encyclopaedia of the Social Sciences ment. In contemporary society it is not a fashion True fasting is one of the most common inci- that men wear trousers; it is the custom. Fash-dents of ceremonies which are designated by ion merely dictates such variations as whether the terms sacrament, sacrifice and consecration. trousers are to be so or so long, what colors they It is invariably the prelude to such ceremonies. are to have and whether they are to have cuffs Thus by fasting the king prepares for his instal- or not. In the same way, while adherence to alation, the priest for his ordination, the knight religious faith is not in itself a fashion, as soonfor his knighthood, the initiate for his initiation, as the individual feels that he can pass easily,the neophyte for baptism, the communicant for out of personal choice, from one belief to an-the mass, the bride and bridegroom for marriage other, not because he is led to his choice byand the adolescent girl for the new life ushered necessity but because of a desire to accrete toin by her first menses. These are ceremonies himself symbols of status, it becomes legitimate that enact death and rebirth or are derived from to speak of his change of attitude as a change ofsuch ceremonies. They begin with a period of fashion. Functional irrelevance as contrastedquiescence, which appears to represent the state with symbolic significance for the expressivenessof non -existence preceding conception. Fasting of the ego is implicit in all fashion. is merely a part of this quiescence; all activities EDWARD SAPIR are suspended as far as is physically possible. See:IMITATION; CUSTOM; CONFORMITY; CONVEN- This view is borne out by the fact that fasting TIONS, SOCIAL; TASTE; DRESS; ORNAMENT; FURNITURE; is common after a death, when the mourners SYMBOLISM; LEISURE; ARISTOCRACY; CLASS; PLUTOC- undergo fictitious death in sympathy with the RACY; GARMENT INDUSTRIES; CONSUMPTION; RISK. deceased (I Samuel xxxi: 13; I Chronicles x: 12). Consult: Boehn, Max von, Die Mode: Menschen und Rebirth is not limited to persons but extends Moden im neunzehnten Jahrhundert,vols.i -v,vii to things. Nature has at intervals to be reno- (Munich 1919 -20), tr. by M. Edwardes, 4 vols. (rev. vated in whole or part. These ceremonies of ed. London 1927); Kroeber, A. L., "On the Principle of Order in Civilization as Exemplified by Changes of renovation occur when special circumstances Fashion" in American Anthropologist, n.s., vol. xxi arise, such as droughts, excessive rain, settle- (1919) 235 -63; Elster, Alexander, "Mode" in Hand - ment in a new home and renewal of sacred wörterbuch der Staatswissenschaften, vol. vi (4th ed. things. Some are seasonal, occurring at the ver- Jena 1925) p. 603-54; Lowie, R. H., Are We Civilized? (New York 1929) ch. x; Stern, Norbert, Mode undnal and autumnal equinoxes. Fasting precedes Kultur, 2 vols. (Dresden 1915); Bradley, H. D., Thethe building of a new temple and the issue of Eternal Masquerade (London 1922); Veblen, Thor - a new code (Exodus xxxiv), a visit to a temple stein, The Theory of the Leisure Class (New York(Herodotus II: 40), the making of a new fire and 1899) ch. vii; Troeltsch, Walter, Volkswirtschaftliche rain making. Fasting is observed in the Solomon Betrachtungen über die Mode (Marburg 1912); Clerget, Pierre, "Le rôle économique et social de la mode" in Islands by a man who crosses the sea for the first Revue économique internationale, Brussels, vol. ii (1913) time, for he is apt to lose his soul and a new one 126 -42, tr. in Smithsonian Institution, Annual Report has to be provided on his return (Ivens, W. G., (1913) 755-65; Sombart, Werner, Wirtschaft undIsland Builders of the Pacific, Philadelphia 193o, Mode (Wiesbaden 1902); Nystrom, Paul Ii., The Eco- p. 232-35). Seasonal fasting occurs at sowing nomics of Fashion (New York 1928); Raushenbush, Winifred, in New Freeman, vol. i (1930) 10 -12, 323-time (Thesmophoria at Athens), on planting a 25; Hurlock, E. B., The Psychology of Dress (New new garden (Solomon Islands) and before har- York 1929); Flügel, J. C., The Psychology cf Clothes vest time. The fasting that precedes the rebirth (London 1930). of nature after winter survives in the substitu- tion of unleavened for leavened bread during FASTING is a reduction in the quantity of foodthe Passover week among the Jews, the thirty taken, even to total abstinence. It must not bedays' Ramadan among the Mohammedans and confused with the avoidance of certain victualsthe forty days' Lent in the Christian church. It as being harmful, as when a Fijian mother avoids has been reinterpreted in accordance with the rich food for fear her child might contract aethics or theology of these religions, as in the disease. Such an act is on a par with the avoid-case of Lent, which has attached itself to the ance of sugar by a modern patient with diabetesdeath and resurrection of Christ. Such pro- and is dieting, not fasting. Neither should fast-longed fasts cannot be complete but are often ing be confused with food tabus, such as theobserved by day only. This is the Mohammedan Jewish tabu on pork, the food tabus of Poly-practise and was the Christian until the twelfth nesian chiefs and the vegetarianism of the highcentury. It can be traced back to the Hebrews caste Hindus. (Judges xx: 26; I Samuel xiv: 24) and explains Fashion-Fasting 145 the long fastings ascribed to Moses and othersfrom its original significance and has acquired (I Kings xix: 8). Fijians fast by day after thenew associations which offer a favorable condi- death of a chief probably because the mournerstion for reinterpretation. St. Augustine justified identify themselves with the spirits of the under- the fast before Communion on grounds of prece- world, whose night is day. The great seasonal dence. An objection has also arisen to mingling fasts being associated with the death of the godthe sacrament with gross food, which has led to are accompanied by similar inversion. displacement. Charlemagne enjoined fasting for Since fasting is a necessary introduction totwo or three hours after Communion, a change ceremonies which aim at fertility it becomeswhich did not take root because the introductory directly associated with the power to producecharacter of fasting is too strongly impressed by crops and progeny. Thus fasting by itself isheldtradition and psychologically suits the prefer- to be conducive to rain as a condition of fer-ence for working up to a climax. An attempt tility. Fasting and austerities in India have sup- was made by the Church of England to justify planted the ritual to which they were originallyfasting in regard to abstinence from meat as the preface and afford power over the gods bybenefiting the fishing and shipping trades; but whom prosperity is given. The technique ofutilitarianism is not sufficient inducement for fasting has been developed there to an extentthe enforcement of fasting. unknown elsewhere. Refinements have been in- Reinterpretations modify practise. For in- vented and classified under technical terms, suchstance, it is thought by some that penance can as specific designations for reducingfull diet bybe achieved if only one abstains from certain degrees to nothing and for the practise of in-appetizing victuals. Rigorous fasting which is creasing daily from complete abstinence to fulldifficult or even dangerous ceases to be abso- diet. Hindu ascetics by going into a trance canlutely necessary. This selective fasting comes to fast for incredibly long periods, a practise whichbear a superficial resemblance to food tabus with has not yet been scientifically investigated. which it originally had no connection. Thus The same process by which fasting becameTertullian confused the Jewish tabu on pork associated with the control of nature also con-with fasting, arguing that when the Israelites nects it with sin. Renovation ceremonies arecame out of Egypt "certain things were pro- undertaken when the weather has been upsethibited as unclean, in order that man, by observ- by moral lapses; thus Indian legend tells of aing a perpetual abstinence in certain particulars, twelve -year drought caused by the usurpationmight at last the more easily tolerate absolute of the throne by a younger brother. Similarfasts" (De jejuniis, ch. v). Selective fasting was interpretations of droughts are found in the Oldknown to the author of Daniel (x: 3). The early Testament. Fasting acquires the character of aChristian church witnessed a great many vari- penance as part of a process which removestheeties: xerophagists abstained from all juicy and sin, an association which is facilitated by themoistened food; in the fifth century some, prob- loss of appetite which fear and regret automati-ably under Indian influence, abstained from cally produce and the loss of spirits consequentthings that had life; others ate fish only, others on fasting. The idea of penance becamestronglyfowl as well; and others no eggs or fruit: Out attached to fasting among the Jews but moreof this chaos the Roman church gradually so among the Christians. In the Old Testamentevolved uniformity varied by local custom and penitential fasting retained some of its originalhas generally accepted the distinction between character as part of a fictitious death; it is donemeat and fish. Thomas Aquinas justified this in "sackcloth and ashes" and is described asdistinction on the ground that fish excites the mourning (Daniel Ix: 3). The prophets in ac-passions less than meat. In the Church of Eng- cordance with their ethical bias insisted on aland fasting is in abeyance except in the High penitent state of mind (Joel II: 12 -13). In theChurch party, where it is sometimes reduced to Christian church penance is stressed as all im-the renunciation of some particular indulgence. portant. Fasting is also brought through asso- Fasting provokes conflict between will and ciation into direct relation with rebirth. Ter -appetite. Selective fasting gives the subcon- tullian said that Christ when fasting "was initi-scious continual opportunities to assert itself by ating the new man" into a "severe handling ofviolating the spirit while observing the letter. the old" and that fasts were to be the weaponsThus in some countries Good Friday, which is for battling with the more direful demons. the most obligatory fast, has become an occasion In all these ways fasting has been modifiedfor epicurean fish dinners. Theology is perpet- Fasting - Fatalism 147 edgment, emotionally grounded, that man's de-as the fifth century B.C. the philosopher Micius sires are involved in a universe which outrunscomplains that all the "moderns" are fatalists. his powers to understand or to control. In thisChinese fatalism is grounded in the ultimate conception the working of fate was not that ofcosmic order, the tao, which finds practical ex- an all inclusive mechanism. It was rather thepression in ming as the decree of heaven. Fate somber, dreadful phase of chance corresponding feeds on tragedy and the futility of human effort; to the favorable phase of luck or fortune. When and the age of the philosophic development of in later cultures an ultimate, all ruling fate wasthe doctrine of the tao was a troubled period in enthroned the somber quality remained: fatethe history of China. Taoism does not demand a was ruthless and from man's point of viewirra-practical fatalism but it was so used by Chinese tional. In doctrines of predestination theisticsages ancient and modern. Chucius 013o-120o), religions softened the ruthless quality by sub-whose influence still lives in China and Japan, suming the fact of inevitable necessity underwas frankly fatalistic. The stress placed onfatal- the will of God, whose plan also included theism in orthodox Islam is unusual for a theistic fulfilment of the highest hopes of man. Neces-religion. Usually religions which develop the sity thus remained, but in a form emotionallyidea of an absolute personal God lose the con- acceptable. Scientific philosophies of determin-cept of fate in His all controlling will. Resigna- ism removed the irrational aspect of fate bytion to the will of God is substituted for accept- interpreting necessity in terms of ordered se-ance of fate and functions in exactly the same quences of cause and effect which included inway. But in most cases the logic of theism which the causal chain the desires and decisions ofwould develop the implications of the absolute men. Within all these systems, however, as indivine will is obscured by the social necessity all absolutisms, theistic or impersonal, there isof insistence upon responsibility and freedom. the essential quality of fatalism rationalized andIn the case of Islam, however, God's absolute refined. will is stressed and the practical attitude finds The idea of fate is probably rooted psycho-expression in the fatalistic conception of kismet. logically in the fact of evil and the inevitability In strict logic the tendency of absolutes, of death. Fate loomed in early mythologies as awhether in philosophy or religion, is to yield a dark presence beside or behind the gods whocosy quietism in times of social stress and secu- were man's kindly helpers. It is not withoutrity in individual difficulties. This is especially significance that the words for fate in early cul-true of the belief in fate, which in practise serves tures are so intimately connected with experi-chiefly as a means of adjustment to irremediable ences of disaster and death. All the Indo -Euro-conditions. Moral failure loses its power to pean peoples had the idea of a power or powerscrush, material loss becomes tolerable, if both which at birth fixed the "share" of the individualcan be attributed to a force beyond human con- in life and determined his destiny (Moirai, Par-trol. In the midst of evils from which there is cae, Noms, etc.). The Slays and Celts retained no escape the doctrine of karma or kismet may the idea of fate in its simplest form. The Greeks, serve as an opiate. When danger is extreme or especially the tragic poets, developed it into an death imminent fatalism conveys security and inexorable power above the gods; Plato thoughtconsolation. For soldiers in battle fatalism yields of it as a predetermined order and the stoicsnot only splendid courage but poise and peace. defined it as a deterministic rational system ofThis was the service of Zen Buddhism to the the universe. Oracles, divination and astrologysamurai of old Japan and of Moslem fatalism were at once practical expressions of thebeliefto the soldiers of Allah. For the social process and a means of fostering it. In India the earlierthe importance of fatalism lies in the ease with ideas of fate (kala, deva) yielded to the cosmicwhich it may serve as a way of escape from causal law of karma which holds sway over gods responsibility for social maladjustments. Con- and men. All forms of Hinduism -Sankhya,ditions of unresolved wretchedness are fertile Vedantism, Buddhism, Jainism and the popularsoil for the fatalistic attitude. In many cases the religions (Vaishnavism, Shaivism)-- assume thisanaesthesia of fatalism combines with the rigid- determinant of destiny and build their programsity of long established patterns of social behavior of salvation on a method of breaking the causaland the interests of privileged classes to produce chain which everlastingly revolves the wheel ofthe quietistic resignation which results in tol- rebirth. Through all the culture history of Chinaeration of social wrongs and incapacity for ex- also runs the idea of fate or destiny. As earlyperimental change. 148 Encyclopaedia of the Social Sciences But the approval and resignation with whichto escape the fears which troubled the presci- an attitude of fatalism may regard social stagna-.entific centuries, man has gained confidence in tion may also be transferred to social change. his ability through intelligence to shape his own Fate is blind; it gives solace, not guidance. Thedestiny. The blind faith in science and the same fatalism that may serve to entrench autoc-machine which has dominated the last quarter racy or the privileged position of a caste willcentury is an exact antithesis to the quietism of justify successful revolution. Heaven's decreefatalism. The supernatural and mysterious ele-. (ming) was the best and sufficient authority forments underlying fate have vanished. Man sees many changes of dynasty in ancient China. Fa- himself as a changing purposive organization of talism therefore does not necessarily act as adesires integral with an endlessly complex flow- barrier to progress. Human desires drive to theiring stream of events. Order in nature, the con- goal with little regard for fatalistic theory whentinuity of heredity, social controls in custom and the doors of opportunity are opened. So longinstitution, and learned patterns of response as tools and technique for the mastery of nature weave themselves together into a new concep- are lacking, so long as there is no effective solu-tion of life in society. Fatalism in the old sense tion for the social problems of poverty, sexhas small place in this scheme. The new deter- injustice, insanity, crime and war, the attitudeminisms -and they are many -are naturalistic of resignation -be it to fate or the will of God -and include man's purposive intelligence as an is the shortest way to peace of mind. The swiftlyessential and effective element of the complex. changing Orient, however, offers convincing evi- A. EUSTACE HAYDON dence that fatalistic ideas are not insurmount- See: DETERMINISM; RELIGION; ETHICS; SCIENCE; DIVI- able barriers to progress when practical tech- NATION;STOICISM; BRAHMANISM AND HINDUISM; niques are attained. That fatalism functioned as BUDDHISM; TAOISM; CONFUCIANISM; ISLAM. a method of acceptance of the fait accompliConsult: Cicero, "De fato" in Scripta quae manserunt without prejudicing future action is further evi-omnia, ed. by C. F. W. Mueller, Io vols. (Leipsic denced by the fact that the social group, even 1878 -97) pt. iv, vol. ii, p. 251 -69; Nilsson, Martin P., when the most deterministic philosophic prin- Den grekiska religionens historia (Stockholm 1921), ciples were assumed, never released the indi- tr. by F. J. Fielden (Oxford 1925) p. 167 -72; Thom- son, J. A. K., Irony (London 1926); Cumont, Franz, vidual from responsibility for moral conduct in Les religions orientales dans le paganisme romain (Paris terms of the approved code. Hinduism, stoicism, 1906), English translation (Chicago 1911) p. 179 -82; Christianity and Islam each in its own way ad- Engel, Wilhelm, Die Schicksalsidee im Altertum (Er- justed the inescapable determinism to the de- langen 1926); Stevenson, Mrs. Sinclair, The Rites of mands of social morality. Even when fate was the Twice Born (London 1920) p. 195-97, 436-46; taken logically, as by the Ajivikas in India, Yang Warren, H. C., Buddhism in Translations (Cambridge, Mass. 1896); Schrameier, W. L., Über den Fatalismus Chu in China of the fifth century B.c. and theder vorislamischen Araber (Bonn 1881); Macdonald, Sufis in Islam, it was in the interest of action D. B., Development of Muslim Theology (New York and courageous joy in living. 1903); Wieger, L., Histoire des croyances religieuses Faith in a blind and irrational fate tended to et des opinions philosophiques en Chine (2nd ed. Hien - disappear in high cultures of long historic dura- Hsien 1922), tr. by E. C. Werner (Hien -Hsien 1927); Jackson, A. V. Williams, Zoroastrian Studies (New tion. The idea was usually replaced by doctrinesYork 1928) p. 219 -44; Luzzatti, Luigi, Dio nella of determinism with an absolute God or a philo-libertà (Bologna 1926), tr. by A. Arbib -Costa (New sophic ultimate as dictator of human destiny.York 1930) p. 211 -27; Russell, H. N., Fate and In either of these traditional forms the fatalisticFreedom (New Haven 1927) p. 3 -57; Herrick, C. J., Fatalism or Freedom (New York 1926); Bermann, attitude is difficult to maintain in the modernGregorio, "El fatalismo y el determinismo en socio- world. The source of its vitality in the past was logía ante los problemas actuales" in Nostro, vol. human helplessness in the midst of inscrutable xxxiii (1919) 503 -18. and inescapable evils. Under the double attack of scientific knowledge and man's increasingFATIGUE from the practical social standpoint mastery of his environment the foundations ofmay be defined as a decrease in human working fatalism were shaken. Science has made man atcapacity due to increased work. Attempts to home in the universe, pointed the way to theincrease working efficiency in factory, classroom sources and nature of social disorganization,or elsewhere soon meet with the problem of clarified the mechanism of maladjustments andfatigue. Since the amount of work done is most put into man's hands the instruments of control.easily calculated in the number of hours worked, With power to change the face of the world andthe study of fatigue is usually based upon the Fatalism- Fatigue 149 measurement of the effect upon labor of periodsand partly to a greatly increased hourly rate of of work of varying length. The earliest effortsoutput. to reduce fatigue in industry concentrated upon Upon the entry of the United States into the reduction of hours. Legislation in industrialwar similar investigations by the United States countries gradually extended from one factoryPublic Health Service in two large plants, one industry to another limitation of the hours of em- working a ten -hour, the other an eight -hour day, ployment of women and children; trade unionsshowed that hourly output and accident curves fought consistently for shorter hours for all. were different for different types of work. It was Isolated experiments conducted in individualfound that on work requiring muscular exertion factories, as in the Salford iron works in 1893the output fell and the accidents rose far more and the Zeiss optical works in 1900, showedseverely than on work requiring dexterity or that as hours were reduced to eight per day amere operation of machines. Experiments made rise occurred in the output per hour sufficientwith rest pauses showed that they increased daily at least to maintain the daily output. Perhapsoutput in the ten -hour day; and the rhythm, or the first scientific recognition of fatigue as aregularity of repetition, of machine operations factor of general economic, psychological andwas also found to affect fatigue in that output medical importance was the appointment inwas best maintained throughout the day wher- 1913 by the British Association for the Advance- ever work could be performed in runs of very ment of Science of a committee to investigateregularly repeated operations with spontaneous fatigue from the economic standpoint. In therest intervals between those runs. original report of this committee (in British After the war the British Health of Munition Association for the Advancement of Science,Workers Committee was transformed into the Report of the Eighty -Fifth Meeting, London Industrial Fatigue Research Board; and although 1916, p. 283 -349) an analysis of all possiblemany experiments with rest pauses continued to causes and conditions of industrial fatigue wasbe reported, the causes of fatigue became defi- outlined, and many output and accident curvesnitely recognized as embracing more than merely collected in England and America were pre-hours of work. Numerous reports have been sented to show the course of fatigue from hourissued on such divergent factors as the voca- to hour of the working day and from day to daytional selection of workers, individual differences of the working week. In the case of output the in output and in proneness to accident, atmos- curves were found to differ for different types ofphere and lighting conditions and motion study work; but in general there was a rise from theand job analysis. Although variation of the hours first to the second and sometimes the third hourof labor may be the outstanding factor affecting of each continuous working spell, which wasworking capacity, any or all of the conditions attributed to the effect of practise, while theof production may become responsible. These distinct drop from the middle hours of the spellconditions can be divided into those connected to the fourth or fifth was taken as an index ofwith the work and those connected with the fatigue. In the case of accidents the curve wasworker. Under the first head would fall hours found to be rising almost continuously through- and speeding of work, the type and method of out the spell. work and the physical and social working con- The twelve -hour day and night shifts workedditions, e.g. air, light, noise, industrial hygiene by men and women in British munition factoriesand safety, type of foreman, incentives, security, during the World War made the question ofpersonnel management and so on. Under the hours one of national importance, and Lloyd second head fall sex and age of workers, methods George, Minister of Munitions, appointed theof selection and training and living conditions - British Health of Munition Workers Committee.a factor affected mainly by the amount of the Among their important reports Memorandum,wage received. no. 12 (1916), provided the first instalment of an This broader conception of the possible investigation by Dr. H. M. Vernon, in whichsources of fatigue is of great practical impor- he showed that in some operations the reduction tance today both in industry and in the life of of scheduled hours from between 67 and 75 perthe community generally. While hours of labor week down to about 55 not only did not reduceare gradually being reduced and the type of work weekly output but sometimes increased it. Thiscalled for is perhaps becoming less muscular in was due partly to a reduction in lost time (i.e.character, it cannot be said that industry is actual hours worked came nearer to schedule)lightening such fatigue hazards as specialization 15o Encyclopaedia of the Social Sciences and monotony of work, machine set speeds,impoverishing initiative and thought mental fa- noise or insecurity of employment. The inten-tigue produces a craving for artificial stimulants sity, or tempo, of work is certainly increasingand narcotics. Culture also suffers, since the and with growing urbanization living conditionsday's strain leaves a man too tired to appreciate too are adding to the industrial worker's fatigue. anything above the level of vaudeville or the The mere fact that in large cities workers mustdetective story. In industry the dangers, wastes on the average live further from their workand costs of fatigue even in the widest sense can automatically substitutes hours of hustle andbe assessed more precisely. Labor turnover and discomfort in crowded conveyances for hours oflost time, whether due to physical or psycho- leisure and possible recreation. logical conditions, may be added to the diminu- Since work is becoming more mechanized andtion in quantity, quality or economy of output specialized and physically less heavy, manyand to the increase in accidents and sickness as authorities tend to stress the growing impor-possible results -and measures -of fatigue. tance of mental, or psychological, as against These results are socially costly over and bodily, or physiological, fatigue. This mental fa-above the pain and suffering often entailed. An tigue refers not so much to a decrease in workingemployee on time wage loses pay whenever he capacity as a decrease, conscious or unconscious, loses time; one on piece wages whenever output in willingness to work, ranging all the way fromfalls. To the employer labor turnover necessi- the active ill will of sabotage through the dis-tates the training of a new worker, during which gruntlement, suspicion and unrest evidenced bytime his output will be low in quality, economy strikes and restriction of output down to theand quantity; lost time or absenteeism involves mere feeling of boredom, weariness, monotonydisorganization and idle overheads. Occupational or dullness. Probably the inward state of thedisease and accidents not only cause time to be worker which in conjunction with long hourslost but also involve payment of compensation and other external factors causes a decrease inand possibly a permanent loss to industry by efficiency combines both mental and physicalmaiming or death. Temporary sickness and ill elements in a sort of equilibrium. Deliberatelyhealth account for some six working days lost or by some defense mechanism the worker tendsper employee per year; while permanent inva- to adapt the energy with which he works to thelidism and premature old age, although they length and difficulty of his task. Apparently themay not trouble the employer, definitely repre- fatigue that results physically in lowered outputsent a cost that society has to carry. A dimin- and increased accidents toward the end of eachished quantity of output obviously increases the working day or week will normally also resultemployer's labor costs if payment is by time in a decreased willingness to work that checkswages, and in all cases it increases the overhead any tendency to fatigue accumulating beyondcost of machinery, equipment and administra- the curative power of rest and sleep. Sometimes, tive staff not used to full capacity; to this expense however, in the everyday life of the communitypoor quality or poor economy of output adds as in the industrial world the worker cannotthe cost of wasted raw material. heed the warning of increasing unwillingness. Methods of combating fatigue must neces- As transport and means of communication aresarily take account of the conditions that have, speeded up and urban society becomes moreon scientific investigation, been found respon- closely knit and complex, the life of the indi- sible for it. In industry those conditions are vidual becomes specialized and standardized andmostly under the control of the employer; a wide must run to schedule and routine to fit in withvariety of policies are open to him, which he the time table of others. Keener rivalry andcan adopt separately or in combination. To avoid competition and such stimuli as bonuses and thethe more physical forms of fatigue he may re- glare of publicity spur men on. And as theduce his total of hours, avoid overtime, intro- dangers of exhaustion and overfatigue increase,duce rest pauses or give annual holidays with there is continuously less opportunity for thepay; he may attend more closely to industrial simple forms of recuperation that country life hygiene and adjust the ventilation or noise of affords. the plant; he may attract by higher wages and It is difficult to obtain a definite measure ofselect by tests a more suitable type of employee; the effects of such conditions, but it is usuallyhe may ease the strain of the work itself by held that overfatigue lowers the resistance tomotion study and the training of workers. To disease and nervous disorders; and that whileavoid mental fatigue and monotony the em- Fatigue--Faucher 151 ployer may allow more variety in the assignment206 -22, 351 -74, 512 -39; Great Britain, Industrial of work, may select employees from among those Health Research Board, Reports, published irregularly since 1919; National Institute of Industrial Psychol- impervious to monotony or may supply incen- ogy, Journal, published quarterly in London since tives and interests that will overcome the latent 1923; Journal of Industrial Hygiene, published month- unwillingness to work. Recently the movements ly in Cambridge, Mass., since 1919; Institut Lanne- toward efficiency engineering, "safety first," so- longue d'Hygiène Sociale, Notes et mémoires, pub- lished in Paris since 1919; Arbeitsphysiologie, ed. by called welfare, or health and recreation, workE. Atzler and M. Rubner, published irregularly in and, above all, the new science of industrial Berlin since 1928; Offner, Max, Die geistige Ermüdung psychology have shown the way to some em- (Berlin 1910), tr. by G. M. Whipple as Mental Fatigue ployers, who may rely for the actual plan of (Baltimore 1911); Phillips, Gilbert E., Mental Fatigue fatigue elimination either upon outside consult-in Teachers College, Sydney, Education Society, Records, no. 4o (Sydney, N. S. W. 1920); MacMillan, ing experts or their own personnel management.D. P., and others, "Fatigue and Nervousness in Many employers still lag behind and minimum School Children" in Fourth International Congress standards are still to be developed by the stateon School Hygiene, 1913, Transactions, vol. iii (Buf- or trade unions, if all industrial workers are to falo 1914) 299 -383. benefit by modem knowledge. In most of the advanced industrial states, however, the legalFAUCHER, JULIUS (18zo -'8), German econ- limitation of working hours, the special regula-omist and publicist. Faucher was one of the tion of the employment of woman and childgroup of German economists known as the labor, the stringent standards of the sanitaryGerman Manchester school who in the middle codes and the requirement of precautions againstof the nineteenth century under the influence accidents are indirect methods of dealing withof Cobden and Bastiat carried on vigorous some aspects of the problem offatigue. propaganda in favor of a resolute liberal eco- P. SARGANT FLORENCE nomic policy, especially in the matter of free See: LABOR; INDUSTRIAL HAZARDS; ACCIDENTS, INDUS- trade. In 1846 with Prince -Smith and others TRIAL; WASTE; EFFICIENCY; PERSONNEL ADMINISTRA- he founded the first free trade club in Germany TION; INDUSTRIAL HYGIENE; HOURS OF LABOR; SAFETY and was successively the editor of several free MOVEMENT; LABOR LEGISLATION AND LAW; LEISURE; trade journals in Germany and in England. RECREATION. For a short time he assisted Cobden in the Consult: Dean, E. G., Bibliography on Industrial Fa-publication of free trade literature. In 1863 he tigue, supplement to the report of the Committee forstarted the journal of German free traders, the the Study of Industrial Fatigue to the American Pub- Vierteljahrschrift für Volkswirtschaftspolitik und lic Health Association (Minneapolis 1929); Cannons, H. G. T., Bibliography of Industrial Efficiency and Fac- Kulturgeschichte, to which he contributed many tory Management (London 1920); Koelsch, F., Physi- articles. Faucher and his group contributed ologie und Hygiene der Arbeit (Leipsic 1931); Cathcart, substantially toward the abolition of the many E. P., The Human Factor in Industry (Oxford 1928); barriers that hampered the economic expansion Atzler, E., and others, "Arbeit und Ermüdung" in of Germany. He was the leading spirit in the Zentralblatt für Gewerbehygiene und Unfallverhütung, movement for a reform in urban land tenure. supplementary vol. vii (Berlin 1927); Myers, C. S., Industrial Psychology (New York 1925); Florence, P. He held that the housing evil in the large cities S., Economics of Fatigue and Unrest (London 5924); was to be traced to land profiteering,which Collis, Edgar L., and Greenwood, Major, The Health leads to the exploitation of building sites for of the Industrial Worker (London 1921) chs. v, viii; tenement houses. The energy with which he Vernon, H. M., Industrial Fatigue and Efficiency (Lon- set about improving housing conditions shows don 1921); Durig, A., Die Ermüdung (Vienna 1916);the injustice of the current opinion which Amar, J., Le moteur humain (Paris 1914), tr. by E. P. Butterworth and G. E. Wright (London 1920); Gold - charges the German Manchester school with mark, Josephine, Fatigue and Efficiency (New York indifference to the social problems created by 1912); United States, Public Health Service, "Com- industrialism. parison of an Eight Hour Plant and a Ten Hour WILHELM ROPE:E Plant" by Josephine Goldmark and M. D. Hopkins, Public Health Bulletin, no. 106 (1920); Vernon, H. M., Consult:Becker,J.,Das deutsche Manchestertum "Output in Relation to Hours of Work," Great Brit- (Karlsruhe 1907); Grambow, L., Die deutsche Frei - ain, Ministry of Munitions, Health of Munition handelspartei zur Zeit ihrer Blüte, Abhandlungen des Workers Committee, Memorandum, no. 12 (1916), re- staatswissenschaftlichen Seminars zu Halle a.d.S., printed in United States, Bureau of Labor Statistics,vol. xxxviii (Jena 1903); Bechtel, H., "Die ersten Bulletin, no. 221 (1917) p. 31 -46; Bogardus, E. S., Kämpfe für eine Wohnungsreform" in Jahrbücher "The Relation of Fatigue to Industrial Accidents" infür Nationalökonomie und Statistik, vol. cxxii (5924) American Journal of Sociology, vol. xvii (1911 -12) 813 -26. 152 Encyclopaedia of the Social Sciences FAUCHILLE, PAUL (1858 -1926), French in-nationales connected with the University of ternational jurist and historian. Fauchille wasParis, which has continuously developed along not a professor; attracted by history and law,the lines laid down for it: instruction in inter- he became a writer. With Pillet he founded innational questions given in French to students 1894 the Revue générale de droit internationalof all nations by professors of all nationalities. public, which he directed alone from i9o4 until A. DE GEOUFFRE DE LA PRADELLE the World War and in collaboration with La Pra-Other important works: Du blocus maritime (Paris delle until his death. He also edited the Recueil 188z), and La diplomatie française et la ligue des neu- périodique et critique de jurisprudence from 1890 tres de 1780 (1776 -1783) (Paris 1893), which show until his death. A member of the Institute ofFauchille's great interest in the history and problems of international maritime law; La question juive en International Law, he impressed upon it the France sous le premier empire (Paris 1884), and Une importance of the growing problems of the law chouannerie flamande au temps de l'empire, 1813 -1814 of the air. His preparation of the Manuel des lois (Paris 1905), which are examples of Fauchille's his- de la guerre maritime (Oxford 1913) for the In-torical researches in the period of the First Empire; Louis Renault (Paris 1918), an examination of the life stitute of International Law shows his interestand work of the jurist whose disciple Fauchille was. in international codification. Consult: La Pradelle, A. de, "Paul Fauchille, sa vie, Fauchille's great work is his systematic trea-son oeuvre," and Dollot, René, "Paul Fauchille, his- tise on international law. In its final form the torien" in Revue générale de droit international public, Traité de droit international public (4 vols., Paris vol xrxiii (1926) 5-59, and 177-93. 1921 -26) may be regarded as the most com- prehensive work of its kind of the present gen-FAVRE, ANTOINE (Antonius Faber) (1557- eration. It is over 4000 pages in length and grew1624), French jurist. Favre was born at Bour- from Fauchille's revisions of the Manuel de droitgen- Bresse, educated at the Jesuit College in international public (Paris 1894) of Henry Bon -Paris and studied law at the University of Turin. fils, the dean of the University of Toulouse.After a short practise as attorney he was made After the World War Fauchille extended it toprovincial judge and at the age of thirty became four volumes, of which the first three were de- a member of the senate of Savoy. While member voted to peace and the last one to war andand later president of the senate he was em- neutrality. Thus not only was Bonfils' schemeployed upon numerous state missions in which of classification based upon the analogy of pri-he acquitted himself honorably. Whatever the vate law discarded, but the manual had becomereason for Favre's fame during his lifetime, he an independent treatise deserving to bear onlyis at the present recognized as the first scientific Fauchille's name as author. It is a work of astudent of interpolation in the Roman law. Em- wide eclecticism welcoming new ideas. The per-ploying the criteria of linguistic impossibility sonal feeling of the author is generally shownand historical anachronism he discovered hun- by the grouping of the numerous quotations, dreds of passages in the Corpus juris of Justinian which form a veritable mosaic. No other work in which the compilers had altered or omitted so well mirrors the changes in international law portions of the texts of the jurists of classical from the period of the Hague conferences to thetimes (for an enumeration of these passages see present. Fauchille was constantly keeping his Medio, A. de, in Istituto di Diritto Romano, Bul- attention fixed upon emerging new problems.lettino, vol. xiii, 1901, p. 208 -42, and vol. xiv, In his points of view he was free from national 1902, p. 276 -84; Baviera, G., in Archivio giuridico, prejudice; he had no exaggerated notions ofvol. lxix, 1902, p. 398 -404). Favre began his national sovereignty; he did not regard inter-study of interpolations with his Coniecturae, national law as necessarily a universal sciencewritten at the age of twenty -two, and even noted but envisaged the possibility of continental bod-some by way of analogy in his Codex, a work ies of international law, for he discussed theon Savoyard law. A few jurists early noted question whether there could be said to existFavre's interpolations, for example, Kaspari an American international law. Perhaps a pessi-Schieferdecker (Ad Antoniunt Fabrum, 3 pts., mistic note may be traced in his conception ofOppenheiln and Frankfort 1610 -13) and Giro - rules of international law as those for whichlamo Borgia (Investigationum iuris civilis, 2 vols., nations demand obedience even though theyNaples 1678), in the main unfavorably; but it is may not render it themselves. significant that the first interpolations discov- In 1921 Fauchille, Alvarez and La Pradelleered by Eisele and Gradenwitz, the earliest of founded the Institut des Hautes Etudes Inter-the modem students in this field, were those Fauchille-Fawcett 153 that Favre had noted three centuries earlier.the wage fund doctrine even after Mill's re- A. ARTHUR SCHILLER cantation. Important works: Coniecturae iuris civilis (first 3 bks., As a politician Fawcett was courageous, un- Lyons 1581; 20 bks., 1605; new ed. 166i); De erroribus hesitatingly opposing his own party when its pragmaticorum et interpretum iuris (Lyons 1598, new action fell short of his own liberal principles. ed. 1658); Rationalia in pandectas (Geneva 1604; new His criticism of the Indian policy of the British ed., 5 vols., Lyons 1659 -63); Iurisprudentiae papini- government, which caused him to be known as aneae scientia (Lyons 1607, new ed. 1658); Codex fa- brianus definitionum forensium et rerum in sacro Sa- "The Member for India," led to the appoint- baudiae senatu tractatarum (Lyons 1606, ed. by G. F.ment of commissions of investigation and to im- Avet and G. Latty, Turin 1829). portant financial reforms. His articles on Indian Consult: Taisand, P., Les vies des plus célébres juris- affairs were published under the title Indian consultes de tout nations (Paris1721) p.187 -246; Finance (London 188o). Fawcett's efforts to Nicéron, J. P., Mémoires pour servir à l'histoire descheck the indiscriminate enclosure movement hommes illustres,vol. xix (Paris1732) p. 286-93; were both notable and successful. His generous Mugnier, François, in Société Savoisienne d'Histoire et d'Archéologique, Mémoires et documents, vol. xliimpulses were also evident in his fight for the (1901 -o2) 3-539, vol. xlii (1902 -03) 3 -545, vol. xliii abolition of religious tests in universities, the (1904 -05) 3-230, and vol. xliv, pt. 3 (1905 -06) 1 -173; universal extension of compulsory education and, for an early appreciation see also Jennaro, G. A. de, as might be expected from the husband of Milli- Respublica jurisconsultorum (Naples 1731) p. 83-87. cent Garrett Fawcett, the enlargement of the political and economic opportunities of women. FAWCETT, HENRY (1833-84), English econ- Fawcett's practical mind found considerable omist and statesman. Accidentally blinded byscope as postmaster general, and he not only his father shortly after leaving Cambridge, Faw-improved the working conditions of his staff cett nevertheless maintained his academic andbut also initiated administrative changes which political interests. He became the first paidrendered the services of the post office more professor of political economy at Cambridge inreadily available to the poorer classes. In par- 1863 and remained in that position until histicular he introduced, in the face of opposition death. He sat as an advanced Liberal member offrom strong private interests, the parcel post, Parliament from 1865 to 1884, with a brief inter- the cheapened telegraph and the postal money lude in 1874 when his radical opinions shockedorder and modified the savings bank, insurance his original constituency. From 188o to 1884and annuity requirements in favor of the smaller Fawcett was postmaster general in Gladstone's income groups. ministry. E. M. BURNS As an economist Fawcett was not an original Consult: Stephen, Leslie, Life of Henry Fawcett (5th thinker. His Free Trade and Protection (London ed. London 1886). 1878, 6th ed. 1885), perhaps his most important intellectual work, was an admirably complete FAWCETT, DAME MILLICENT GARRETT statement of the orthodox arguments in favor of(1847- 1929), English feminist. Dame Millicent, free trade. His Manual of Political Economy whose sister, Elizabeth Garrett, became the first (London 1863, 8th ed. 1907) was, except forwoman doctor in England, was from childhood some sections on cooperation, little more than an interested in political problems and the eman- accurate but dull restatement of the Principles ofcipation of women. She was influenced at an Political Economy (5848) of J. S. Mill, by whom early age by J. F. D. Maurice, J. S. Mill and Fawcett was greatly influenced. As a teacher he other philosophic radicals. In 1867 she joined failed to stimulate the study of economics atone of the first women's suffrage committees Cambridge, partly because of his impervious-and thereafter was one of the leaders of the ness to the newer influences in economics,movement. She and her husband, Henry Faw- especially those emanating from the German cett, a professor and member of Parliament, also historical school. Although deeply concernedsupported higher education for women and with the problem of poverty, as is evident fromwere instrumental in the founding of Newnham his The Economic Position of the British Labourer College, Cambridge. (Cambridge, Eng. 1865) and his Pauperism: Its Dame Millicent spoke all over the country Causes and Remedies (London 1871), he fearedfor women's suffrage and wrote many articles the harmful effects of state intervention on initi-and books, among them Political Economy for ative and enterprise and strenuously adhered toBeginners (London 187o, 9th ed. 1904). In 1897 154 Encyclopaedia of the Social Sciences she became president of the National Union ofsought to study the variation of mental re- Women's Suffrage Societies, an organizationsponses in relation to objectively controlled and uniting the various groups hitherto functioningmeasured stimuli. Fechner's genius also pro- separately. Militant tactics appeared in 1906foundly influenced Ebbinghaus, the founder of but Dame Millicent remained leader of the quantitative method in the study of memory. In non -militant constitutional forces. Under herfact, no single individual did more to show the leadership their ranks expanded rapidly andpossibilities of experimental and quantitative by August, 1914, the agitation had reachedmethod in psychology. In his old age Fechner phenomenal proportions. During the war suf-published an important introduction to experi- frage activities were suspended but the Nationalmental aesthetics, Vorschule der Asthetik (2 vols., Union used its strong organization to facilitate Leipsic 1876; 2nd ed. 1897 -98). women's participationin war work. Dame GARDNER MURPHY Millicent wrote, "Let us prove ourselves worthy Consult: For a bibliography of Fechner's writings, of citizenship whether our claim is recognized Hall, G. S., Founders of Modern Psychology (New or not," and her advice showed not only sin- York 1912) p. 174 -77. For his life and philosophy, cerity but also the utmost political wisdom, Lasswitz, Kurd, Gustav Theodor Fechner (3rd ed. Stuttgart 191o); James, William, A Pluralistic Uni- for when the urgent question of wartime fran- verse (New York 1909) ch. iv; Merz, J. T., A History chise came before Parliament the women once of European Thought in the Nineteenth Century, 4 vols. more pressed their claims and the first women's (Edinburgh 1896 -1914) vol. ii, ch. xi. For his work in suffrage bill was passed in 1918. The following psychophysics, Titchener, E. B., Experimental Psy- chology, 2 vols. (New York 1901 -05) vol.ii, pt.ii, year Dame Millicent resigned from active par- p. xx -cxvi. ticipation in the movement. Throughout her long life she was one of the most respectedFEDERAL RESERVE SYSTEM is the cus- figures in English public life. tomary designation of the present system of cen- RAY STRACHEY tral cooperative banking in the United States. Consult: Fawcett, Millicent Garrett, What I Remember It includes the Federal Reserve Board at Wash- (London 1924); Strachey, Ray, Millicent Garrett Faw- ington, a central body of supervision and con- cett (London 1931), and "The Cause" (London 1928). trol, twelve Federal Reserve Banks, which at the end of 193o had twenty -five domestic branches, FEBRONIUS, JUSTINUS. See HONTHEIM, one domestic agency and one foreign agency (in JOHANN NIKOLAUS VON. Havana), and a large number of member banks; at the end of 193o the membership of the system FECHNER, GUSTAV THEODOR (1801 -87), comprised 7033 national banks and 1019 state German physicist and founder of psychophysics. chartered banks and trust companies. Although he made significant original contribu- The national banking system which preceded tions to physical science he is chiefly famous for the Federal Reserve had never since its incep- his struggle to reconcile his belief in exacttion in 1863 furnished altogether satisfactory science with his equally earnest conviction that service; and as it grew older it proved less and exact methods were failing to grasp the nature ofless efficient, particularly in times of special life and mind. He undertook to solve the greatstrain. During the late eighties "inelasticity of dilemma by devising methods of studying thethe currency" became a standard criticism of relations between the magnitudes of physical the system of national banks and national bank- stimuli and the intensities of psychic responses. notes. Since inelasticity was usually traced to The decade 185o -6o was spent in elaborate re-the high price of government bonds which the search with many experimental and mathe- banks were required by law to buy before re- matical devices culminating in the publication ofceiving their supplies of note currency, the res- Elemente der Psychophysik (z vols., Leipsic 186o).toration of an "asset currency" was increasingly His conviction that he had succeeded in statingurged as a remedy. During the panic of 1893 the quantitative relation between the objectivethe inadequacy of the national banknotes be- and subjective worlds (S = c log R, or "intensitycame more obvious than ever. Clearing house of sensation equals a constant times the loga-currency certificates were used temporarily to rithm of the stimulus ") has universally failed to relieve conditions, and after the panic was over win assent; but his careful experimental methodsvarious projects of reform based on asset cur- were taken over by G. E. Müller and Wundt as arency principles came prominently to the front. part of the new experimental psychology which In order to overcome objections to a pure asset Fawcett-Federal Reserve System 155 plan the demand for asset currency was con-be attained only through the mechanism of cen- verted by some propagandists into a call fortral banking, which had been so long desired "emergency currency." and so unpopular politically in the United States. Among the projects of reform the best knownThe younger school of economists had been was probably the Baltimore Plan, strongly urgedurging a return to central banking for some at the Baltimore meeting of the American Bank-years; the practical applications of this general ers' Association in the autumn of 1893 andprinciple had been developed in academic dis- founded upon a modification of the Canadiancussion as well as in proposed bills, some of system of guaranteed note issues. Several vari-which were later introduced in Congress. Among ants of the Baltimore Plan shortly appeared,these should be mentioned the Mühleman bill but the movement for a better paper currencyof 1909 and the various proposals of Charles N. was obscured by the growing agitation for theFowler, chairman of the Banking and Currency unlimited coinage of silver which constitutedCommittee of the House, which culminated in the staple of controversy in the presidential cam-the very elaborate bill of 191o. None of these paign of 1896. During the years 1897 and 1898bills, however, received serious consideration or the monetary commission, appointed by the In-was regarded as more than tentative. dianapolis Currency Convention, which repre- The panic of 1907 also forced upon Congress sented business interests (particularly banking)the necessity of immediate action, the result of from various sections of the country, revivedwhich was the Aldrich -Vreeland Act of 1908. the project for an asset currency. But the billIt was a composite measure which combined the drafted by it was thrown into the backgroundHouse of Representatives, or Vreeland, proposal by the outbreak of the Spanish American War,of an emergency clearing house currency and which deferred remedial action until 190o. Inthe Senate, or Aldrich, proposal of emergency that year a small group of Republican leaders,notes based on state and municipal bonds. This anticipating a renewed contest for the presi-law soon came to be recognized as merely an dency, drafted and pushed through Congressexperimental step in banking reform; it was the Gold Standard Act. This statute was largelyloosely drawn and had to be amended before devoted to monetary problems, but it also pro-currency could be issued in accordancewith its vided the beginning of a treatment of the bank-provisions under the stress of war conditions in ing issue by lowering the minimum capitaliza-1914. Perhaps its most importantfeature was tion of national banks, refunding the outstandingthe creation of a National Monetary Commis- bonds into a percent consols, thereby renderingsion consisting of senators and representatives. national banknotes cheaper in issue, and makingExcept for the work on the history and current a few other changes designed torender bankorganization of banking with special reference credit easier and more abundant. to the activities of European centralbanks, Conditions in trade and industry improved'which was done for the commission by a staff of after 1900, but the banking situation was hardlÿexperts among whom were some of the best au- better during the next five years. Bond retire-thorities of the academic world, the commission ments soon caused a renewed scarcity of cur-was relatively inactive. In January, 1911,Sena- rency, and when the panic of 1907 broke outthetor Aldrich, the chairman of the commission, closing of various financial institutions, whichsubmitted to it a bill which with comparatively might have been saved had there been a suitableunimportant modifications was incorporated in provision for credit currency, emphasized thethe report of the commission of January, 1912, banking and credit breakdown as an importantand later introduced in the Senate. The Aldrich factor in the crisis. bill called for the establishment of a central bank- The experience of 1907 made obvious theing organization with fifteen branches equipped necessity of some thoroughgoing treatment ofto receive deposits from the governmentand the banking problem and broadened the popu-member banks, to rediscount for banks and lar issue from currency reform to banking re-bankers and to issue notes which would form a form. There was a recognition wider than everlawful part of bank reserves. The bill never before of the necessity of welding the bankingreached a committee consideration, for, the po- system into a unit and of finding some accept-litical composition of Congress having changed able way of protecting the gold reserves of the from Republican to Democratic, the ruling party country through money market safeguards. Itin the House began preparation of a new and was becoming obvious that these objectscould different banking measure. 156 Encyclopaedia of the Social Sciences The new bill, afterward known as the Federalliability of the member banks subject to call in Reserve Act, was begun in March, 1912, reachedcase of need. The board of directors of each its first draft in November of the same year andreserve bank was to consist of nine members: was accepted at Christmas subject to a fewthree appointed by the Federal Reserve Board, changes by the then president elect, Woodrowone of them being designated as the Federal Wilson. During the winter of 1912 -13 it wentReserve agent and acting as a liaison officer be- through a series of hearings before the legislativetween the Board and the bank; and six, including subcommittee of the House Banking and Cur- three business men and three bankers, elected rency Committee, was taken up in the specialby the member banks. For the purpose of elect- session of Congress called by President Wilsoning directors the member banks were to be after his accession to office, officially presented divided into three groups according to size, each to the newly appointed Banking and Currencygroup electing one banker and one business Committee of the House in May, passed by theman. Despite differences in capital contribution, House on September 18 and in a considerablyeach member bank was entitled to only one vote modified form by the Senate on December 19,within its group. Member banks included all put through a conference committee which vir-national banks- membership was made a con- tually restored the bill to the form in which itdition for the retention of the federal charter - left the House, and finally put on the statuteand those state chartered institutions which sat- book on December 23, 1913. In drafting the isfied the definite requirements of eligibility and new law the Mühleman bill, the Fowler bill ofproved acceptable to the Board. 1910 and the Aldrich bill as well as many others The new reserve banks were to receive within were given careful consideration. Its legislative a period of three years the reserves of the na- history was marked by the rejection of the planstional banks. Central reserve city banks, for- evolved by McAdoo, then secretary of the Treas-merly required to hold 25 percent of deposits ury, and Senator Owen, chairman of the newin vault cash, were now to maintain a reserve of Banking and Currency Committee, and by con-only 18 percent, of which 6 percent was to be cessions made to the Bryan wing of the Demo-cash in vault, 7 percent was to be represented cratic party in the matter of note issue andby a balance on the books of the reserve bank governmental control of the Federal Reserveof the district and 5 percent might be in either Board. form. Banks outside central reserve cities were The Federal Reserve Act sought to recon-to hold smaller reserves divided in the same struct the entire banking system of the Unitedgeneral proportions. This plan,atfirst de- States by superimposing upon existing banks a nounced by the large banks in reserve and cen- new system of organization. This was furnishedtral reserve cities, whose managers believed it by the twelve Federal Reserve Banks headedwould reduce the volume of deposits of other and controlled by the Federal Reserve Board atbanks which they could obtain, and by country Washington. The Board was to consist of sevenbanks, which would lose interest on their de- members (after 1922 the number became eight),posited reserves, resulted eventually in a com- including the comptroller of the currency andplete shift of the reserves called for without secretary of the Treasury ex officio, the member- friction or financial stringency. In 1917 Con- ship to be appointed by the president and con-gress reduced the required reserve of central firmed by the Senate; not less than two of thereserve city banks to 13 percent, of banks in members were to have practical knowledge ofreserve cities to 10 percent and of country banks banking and no two members were to representto 7 percent, the entire reserve to consist of a the same Federal Reserve district; the term ofbalance on the books of the reserve bank of the membership eventually contemplated was tencorresponding district. years. To the Board, which in some circles was Each reserve bank was authorized to redis- regarded as "the supreme court of finance," wascount eligible commercial paper for the member committed the large power of making inclusivebanks. The rules of eligibility were laid down rules and regulations for the conduct of the in the act in general terms: the paper was to bear system. Each reserve bank was to have a capitalevidence of growing out of bona fide commercial subscribed for by member banks in the propor-transactions; its maturity was not to exceed tion of 6 percent of their capital and surplus;ninety days for commercial paper and six months of the subscribed amount only one half was tofor agricultural and livestock paper. Eligible pa- be paid in full, the remainder constituting aper was to have two signatures; but one -name Federal Reserve System 157 paper was not thus excluded, for endorsementTreasury; they also constitute obligations of the by the member bank furnished the necessaryUnited States and have full legal tender powers. second signature. In order to prevent the use of Among the many new provisions of the Fed- reserve system funds for stock market specula-eral Reserve Act there were two which deserve tion, paper with a security collateral other thanspecial attention because of their later impor- government security was made ineligible, buttance. One was the grant of authority to national security collateral was not forbidden if the paperbanks to engage in fiduciary business on a lim- was otherwise eligible. The more detailed regu- ited scale. After being called in question on lation of eligibility in accordance with theseconstitutional grounds and sustained by the Su- principles was left to the Board at Washington.preme Court of the United States, these powers Rediscount rates were to be established fromof the national banks were enlarged to the full time to time by each reserve bank subject tolimit. The second provision was the grant of approval by the Board. The balances establishedauthority to national banks to accept time de- by member banks with the reserve bank through posits, usually referred to as savings deposits. rediscounting were to be treated in the sameFor these the reserve requirement was to be way as balances established by the deposit ofonly 5 percent; after 1917 it was reduced to only gold, i.e. as lawful reserves. This rule did not3 percent. Both provisions were intended to apply in the transition period from 1914 to 1917,conciliate banking support in order to render when no more than a half of the balance withthe adoption of the measure easier; and both reserve banks could be established through re- were to furnish occasion for later difficulties and discounting. The reserve banks were requiredproblems. to maintain a gold reserve of not less than 35 The new system was by far the most signifi- percent of their liabilities on deposit balances.cant and important change in American banking Each reserve bank was also authorized to buysince the adoption of the national banking sys- and sell paper and securities in the open markettem during the Civil War. Yet all its provisions subject to considerably less control from thegrew out of experience in American banking Board than in the case of rediscounting; the openhistory, and precedent was found for each in market powers of the reserve banks made thepast legislation. It differed from European cen- funds of the reserve system available to sometral banks in method and technique, but not in extent also to non -member banks. fundamental principle. Unlike all other central The note issue problem, which at the begin-banks it adopted the regional system, with one ning of the movement had been primarily re-independent bank to a given area instead of a sponsible for the attempt to correct existingsingle main bank with branches. Unlike the conditions, aroused much less controversy thanBank of England it adopted the system of did the reserve provisions, largely because it wascommercial asset protected notes instead of the possible to deal with it in such a way as to avoidsecured currency of the Pitt Act of 1844, and much trespassing upon vested interests. Theit prohibited dealings with the public except Federal Reserve Act retained the national bank-through open market operations. It differed note, merely authorizing the Board to makefrom the Reichsbank in that it refused the issue gradual provision for its retirement; but it fur-of notes which could be counted in member nished the necessary element of elasticity bybank reserves and required the building up of authorizing reserve banks to issue Federal Re-deposit balances by the member banks which serve notes, based to the extent of their fullwere to trade with it. It declined to support the value on liquid commercial paper rediscountedextension of collateral loans by its members, with the reserve banks and placed in the handsand it refused all direct relations with the se- of the Federal Reserve agent; these notes arecurities market or those operating in it. In con- protected in addition by a 40 percent gold re-trast with the Bank of France it rejected the serve maintained by the reserve bank itself.principle of widespread direct contact with the When commercial paper held behind notes ex-public through branches, and it evidently in- pired it was to be replaced with similar papertended to extend the bulk of its accommodation or gold or its equivalent. The notes were to beby means of deposit credits rather than notes. retired by depositing with the Federal Reserve The introduction of the new system obviously agent the notes themselves or gold or its equiva-demanded the establishment of extensive finan- lent. The notes are redeemable in gold eithercial machinery. The act almost unavoidably left by the reserve bank issuing them or by thea good many matters to be subsequently deter- 158 Encyclopaedia of the Social Sciences mined, merely laying down general rules orapplications in order to be ready to obtain aid broad principles for the guidance of those whoand protection in case of urgent need. were to put the details of the system into opera- With the declaration of war by the United tion. In order to furnish the means of making aStates the system felt the first severe test. The definite start the act provided for the creation ofTreasury Department was largely unprepared; an Organization Committee. This committee neither through issue of loans in the usual fashion held hearings in various cities and after ascer- nor through the imposition of taxes, whose yield taining popular opinion determined upon thewould necessarily be considerably deferred, location of the reserve banks and laid out thecould it expect to get within a short time the re- districts of which they were to be the respectivesources it needed. The government fell back at centers. A committee of technical experts ap-once upon the Federal Reserve system, practi- pointed by the Organization Committee pre-cally instructing the twelve banks to purchase pared plans for the internal organization of thepro rata a $50,000,000 issue of 2.5 percent cer- system, which were largely incorporated in thetificates of indebtedness with a six -month matu- first set of regulations and operating instructionsrity. This way of collecting money frightened the issued by the Federal Reserve Board organizedbanking community and led to the working out on August io, 1914. Upon the basis of the plansof other methods of financing. The Treasury offi- and rules so furnished, the new system wentcials devised a general plan of borrowing which into operation on November 14, 1914. called for the issue at brief intervals of short term The reserve banks came into existence under certificates with recurring Liberty bond place- exceedingly unfavorable auspices. Not only were ments, the funds obtained through the latter the larger commercial banks unfriendly to themeans being used to take up and "refund" the system, as the result of the friction developedoutstanding short term evidences of debt. As in passing the new act, but the advent of thethe new taxes began to yield revenue the pro- World War thrust upon the Federal Reserveceeds were to be used in paying war expense, Board all sorts of unexpected and more or lessbut the immense and unprecedented cost of the irrelevant problems with which it had to deal.war was such that the proceeds of taxation never Prior to the opening of the reserve banks theamounted to more than a fraction of the re- outbreak of the war had compelled the revision quirements and the government found itself of the Aldrich -Vreeland Act of 1908 and theobliged to rely upon borrowing as a regular re- issue under its provisions of some $375,000,000source. This policy was strongly enforced by the of emergency currency. The duty of retiringgenerally accepted necessity of making large ad- these emergency notes and the necessity of pro-vances to the Allied governments, which were viding an emergency currency of the reserve very short of money. With these added burdens note type prevented the new banks for somethe Treasury gradually found its periodic bond time from getting actively into the exercise ofloans, placed presumably in large part with the their non -currency powers. During the firstpublic, increasingly inadequate, and it tended period of the system's history, from the date ofmore and more to rely upon biweekly issues of its organization to the entry of the United Statescertificates of three to six months' maturity, into the war in April, 1917, the early difficultieswhich were given a special position as collateral were slowly overcome, reserves were graduallysecurity at reserve banks with a discount rate transferred and a limited control over the moneyequal to the coupon rate. Thus by the middle of and credit situation was established. Such con- 1918 the government had fairly definitely ac- trol did not attain recognized proportions untilcepted the creation of bank credit as the basis near the end of 1916, but it was sufficient to of war finance. enable the system to do real work during the Reserve banks had little choice but to adapt first four months of 1917 in preparing for thethemselves as well as they could to the require- war, which was now recognized as inevitable.ments of the time. They did their best to effect The discount rate question was under discus- a wide distribution of certificates and bonds, but sion but was largely academic. The system,their efforts were necessarily limited by the moreover, was beginning to make a strong ap-willingness of the public to buy. The system peal to the state institutions which at the begin- found itself increasingly forced into the position ning had abstained from giving it their support. of a mere adjunct of the Treasury. The Board Foresighted trust company executives and statelost power and finally ceased largely to exert bankers were beginning tofile membershipauthority except in serving to carry out Treasury Federal Reserve System 159 instructions. Commercial paper became scarcesider their suggestions for an advance in rates. because of the general extension of productionDuring the war the system had had perforce to for or by the government. About the close of themaintain a discount rate equal to the interest on war on October 25, 1918, the twelve banks hadLiberty bonds, and after the war a quarter point combined assets of $5,270,785,000, of whichdifferential had been added to the bond rate of $350,311,000 were bonds and other governmentthe Victory loan in order to induce overbur- obligations directly owned, while $1,092,417;dened banks to go still further. Yet the banking 000 were bills secured by government war obli-conditions were such and the political opposition gations. On the same date the member banksto a conservative policy was so strong that it reporting to the Board owned $1,967,860,000was not possible to advance discount rates on government war obligations and granted $1;commercial paper as distinct from bills with a 165,738,000 in loans on government securitygovernment security collateral until January, collateral. For many months it proved impos- 1920. After January discount rates were steadily sible to cease either the advances to Allied gov-raised, reaching 7 percent in June, 1920. The ernments or the heavy borrowing from thewholesale price level reached a peak in May, public, so that inflation and heavy lending con- 1920, from which it slowly receded thereafter. tinued. The fifth Liberty or the Victory loan ofThe recession was sharpened by the dumping $4,500,000,000 was sold in the spring of 1919;of great quantities of hoarded commodities, the average daily holdings of war obligations ofwhile continued overproduction of grain sharply the government by the reserve banks were at areduced prices of farm produce. The price of maximum in September, 1919, while discountedland fell in line with the price of its produce; bills secured by government war obligationssecurity quotations likewise suffered consider- reached a peak on May 16, 1919, with $1,863,-able shrinkage. By autumn the existence of a 476,000. At the opening of 192o two thirdsofcrisis was universally recognized, and general all bills in the hands of the reserve banks werebusiness conditions did not make any real re- based on war paper. covery until late in 1921. The expansionof the The reserve system was now obliged in theloans of the reserve banks continued until early interest of safety to retrace its steps and to turnin November, 1920, and in Federal Reserve note from the inflationary policy which had beenissues until December 23, but during 1921 the forced upon it to a plan of conservation of re-reserve banks strengthened their condition con- serves and moderation in lending.The Boardsiderably. By the close of 1921 government recognized the necessity of eliminating as muchsecurity holdings of the reserve banks had been as possible of the governmentobligations fromreduced to $241,444,000, while loans on govern- the portfolios of the banks; it likewise felt thement securities had fallen to $487,193,000. Farm urgency of restricting the advancesfreely madecredit, so excessive in amount, had been some- by member banks to borrowers who had nowhat curtailed. The ratio of reserves of the really Iiquid assets. Many such borrowers hadtwelve banks to their deposit and note liabilities, purchased land at very high prices in order towhich had fallen to 42.4 in April, 1920, had been increase their holdings; business men had bor-restored to 72.7 percent in November, 1921, rowed in order to carry commodities bought atand the gold holdings of the reserve banks re- high prices in the belief that prices would goplenished by importation had risen to $2,869; still higher; it was known, moreover, that a part óoo,000 by the end of the year. The close of 1921 of the funds advanced by the reserve banks tothus marks the restoration of the Federal Re- their members for the purpose of carrying gov-serve system to a position in which it wasable ernment securities found its way eventually intoto begin the work for which it was originally speculative channels. The inflation of credit wasplanned -the strengthening of American bank- clearly reflected in the rise of prices. The whole-ing for peaceful pursuits. sale price level, as measured by the Bureau of In the first seven years of its existence the Labor Statistics index with 1913 as a base, wassystem had undergone important alterations of 197 in February, 1919; it now proceeded torisestructure introduced by amendments to the act with a steady and apparently uncontrollableas well as by Board rulings. Thesemodifications movement to 272 in May, 1920. were the result of strong pressurefor change The war period of reserve banking came to awhich has been felt almost from the date of the close in December, 1919, when the Board noti-passing of the act; some of them were also caused fied the reserve banks that it was ready to con-by exigencies of war financing. The effect of 16o Encyclopaedia of the Social Sciences these changes was accepted during the war aswas disregarding the interests of the farmer led part and parcel of the financial mobilization ofto a number of developments in the legislative the country; after the war, however, it wasrec-situation. A congressional inquiry into agricul- ognized that they had permanently altered thetural credit conditions, prosecuted in 1921 and character of the system in important particulars. 1922, revealed errors of judgment and inade- An amendment adopted in 1916 provided forquacies of performance but on the whole gave the direct discounting at reserve banks of thethe reserve banks and the Board a tolerably notes of member banks collateraled by any paperclean bill of health. In 1922 by an amendment eligible for rediscount, the maturity of suchto the Federal Reserve Act the membership of notes not to exceed fifteen days. The provisionthe Board was increased by one to make room was highly important when it began to be usedfor a "dirt farmer." Finally, the Agricultural as a means of obtaining reserve bank fundsCredits Act passed in 1923, which created inter- through the discounting and renewal of papermediate credit banks in order to furnish working backed by government obligations. After the warcapital to cooperatives and other associations this provision was to furnish the material basisserving the farmers' intermediate credit needs, for the financing of speculation. Members' ac-contained also amendments to the Federal Re- cess to the funds of the reserve banks was simi-serve Act. The general tenor of these amend- larly facilitated by the amendment which re-ments was to make the funds of the reserve sys- duced the required reserves of member banks.tem available to intermediate credit banks and When the United States entered the war, infla- agricultural credit corporations: reserve banks tion interests again sought authorization to havewere permitted to buy acceptances and deben- reserve banknotes counted as an element in thetures of these institutions as well as to discount vault cash of members. The plan was only partlypaper intended to finance the carrying of agri- successful; discussion resulted in a compromisecultural staples; the maturity of agricultural which cut the required percentage of reservepaper eligible for rediscount was also raised to from 18, 15 and 12, according to the class of thenine months. This easy access to the reserve sys- bank, to 13, to and 7 without any local vaulttem funds involves considerable danger, which, cash requirement. Since vault cash must, as hashowever, has never yet been fully felt. been shown by experience, constitute approxi- More significant because more immediately mately 5 percent of demand deposits, this change successful was the very great development of in the law implied that Federal Reserve notesthe bankers' acceptance system. The Federal might be used as a part of the actual reserves,Reserve Act had for the first time permitted a privilege which was not enjoyed theretoforenational banks to accept drafts drawn on them, by reserve notes or national banknotes. Whenbut it attached to this power certain qualifica- in the period of expansion following the wartions: the acceptances were to be foreign trade reserve banks encountered difficulties in main-documentary acceptances limited in amount to taining a strong control over credit extension,loo percent of the capital and surplus of the a solution was thought to have been found inaccepting banks. In 1916 this provision was the Phelan Act passed in 192o providing for theamended to add the making of acceptances in graduation of discount rates by the reserve banksdomestic trade and to permit the making up to in proportion to the volume of accommoda-an additional 5o percent of a bank's capital and tion secured from them. This device, however,surplus of non -documentary acceptances in or- proved unsuccessful and the act was repealedder to furnish "dollar exchange" in trade with in 1923. designated countries. At first the growth of ac- Even before the organization of the Federalceptances of all kinds was slow; then serious Reserve system certain sections of the countryabuses crept in and had to be eliminated. A new were continually pressing for a better adaptationera opened after the crisis of 192o, and when of commercial banking to the satisfaction ofthe Board on March 29, 1922, practically sur-. agricultural credit requirements. The Federalrendered its control over the making of the Reserve Act permitted national banks to extendpaper to the reserve banks the paper began to credit secured by mortgages on farm land withbe drawn with much greater freedom. The low a maturity not to exceed five years and madebuying rates for acceptances, which were stead- eligible for discount with reserve banks agricul-ily maintained, served to act as a temptation tural paper with a maturity up to six months.to convert into acceptance form many transac- After the war the charges that the reserve systemtions hardly suitable for such treatment, and Federal Reserve System 161 with the growth of the volume of acceptances members and that the Board or a designated much of the paper tended to become illiquid. reserve bank should act as a clearing house for Recently it has become clear that after 1927,the reserve banks themselves. The Board carried when European countries resorted to short term out this latter provision by creating soon after borrowing as long term accommodation grew itsestablishment a "gold settlement fund" harder to obtain, many of the European financeplanned in accordance with the recommenda- bills assumed the form of bankers' acceptances.tions of the technical experts of the Organization Thus the German collapse in the summer ofCommittee. The organization for national clear- 1931 made hundreds of millions of dollars non- ing was on the whole successful; it resulted in collectible. Moreover, one of the major purposeseliminating the shipment of gold to and from for which bankers' acceptances were introduced,different parts of the country and in thus con- the decentralization of the short time moneycentrating gold resources in what was for all market, has largely failed of accomplishment.practical purposes a single available fund. The Nevertheless, they remain important as the de-clearance functions of the several banks proved vice through which reserve credit becomes ac-harder to develop; after various experiments, cessible to non -member banks, particularly pri-however, there was definitely adopted a plan vate banking institutions. according to which reserve banks received checks In this connection should be mentioned theand drafts from members upon deposit and open market powers of the reserve banks. They credited them to reserve account after the lapse had not been much used during the war, butof a brief period of collection. The length of this soon after its close they assumed a more impor-period was carefully graduated to correspond tant place and after 1923 were exercised throughwith the time required in each district to obtain an open market committee, which includedreturns by mail from each of the several banks. several reserve bank governors and enjoyed aBut country banks resented the loss of their considerable degree of autonomy although tech-exchange charges, and while member banks nically under the general oversight of the Fed- could not help themselves, non -members de- eral Reserve Board. During 193o, the first yearclined to join the par collection system. The of depression after the crisis of 1929, therecontroversy between the reserve banks and the developed a strong feeling that the open marketstate institutions eventually led to protracted powers had been used without much regard tolitigation; moreover, several states, chiefly in the the ultimate purposes of the system, particularly south, had adopted antipar collection legisla- in 1927 and 1929, and that open market opera-tion. Although the Supreme Court upheld the tions had on occasion offset or neutralized thepar collection system in its main outlines, its discount policies, over which the Board exer- growth outside the Federal Reserve membership cises a much greater degree of control. As ahas of late years been retarded. Yet the Federal result a new administrative mechanism was de-Reserve system has accomplished a very great vised in 193o, and the open market organization reform in collection, the elimination of the dan- now includes all twelve of the governors of thegerous "float," or uncollected items, and the reserve banks. Its duty is to determine the totallifting of a serious expense from the shoulders of open market purchases and to apportion them of the community. The future prospects of par among the reserve banks in consultation withcollection are promising: experience has shown the Board. that the convenience of par collection is so great Another important achievement of the systemas practically to insure the gradual extension of was the establishment of par clearance upon athe system. definite basis. For many years before the adop- The year 1922 marked the opening of a new tion of the Federal Reserve Act there had beenperiod in reserve banking. The powers of the dissatisfaction throughout the country becauseBoard were in large measure distributed among of the indirect routing of checks with corre-the reserve banks, and the administration of the sponding postponement in collection. This waslatter was gradually altered by custom and prac- due in part to the inadequacy of the correspond-tise so as to vest the chief authority in the gov- ent system, which linked country banks withernor of each bank. The period from 1922 to institutions in reserve and central reserve cities, 1927 was one of great industrial and financial and in part to the practise of charging and grant-growth as well as of rapid recapitalization and ing exchange. The act provided that each reserve"rationalization" of industry. During these years bank should serve as a clearing house for itsthere developed a new instalment credit system 162 Encyclopaedia of the Social Sciences of domestic marketing and the practise of cor-.policy of discount rate reduction was on the porate financing through security flotation ratherwhole in the ascendant in the system. Discount than borrowing from banks on commercial pa-.rates were kept down to low levels and credit per. Particularly after 1925 did the system ofwas rapidly inflated. An enormous volume of floating new issues of capital obligations, usingbankers' acceptances came into existence; these the proceeds to take up outstanding debts at thewere largely purchased and held by the reserve banks and employing a large part of the balancebanks, partly for their own account and risk and in call or time loans on the stock exchange be-partly for those of foreign banks. Stock quotations come generally accepted among the larger insti-were pushed to fabulous heights by the free use tutions of the country in nearly every branch ofof brokers' loan funds in advances to speculative industry. The result was a constant increase incustomers. After the 1928 presidential election the number of bonds and shares listed on thea further general inflation of credit took place. stock exchanges and a decline in commercialIt was not until the following spring, with the paper and direct borrowings at the banks. Asteady advance of prices and the growing reck- parallel development characteristic of this periodlessness of the market, that the higher rate party was the steady acquisition of gold by the country in the reserve system achieved an incomplete and the reserve system; the monetary gold stockvictory. In the course of 1928 discount rates of the United States was thus increased fromwere raised three times from 3.5 to 5 per- less than $3,000,000,000 at the beginning ofcent at the Federal Reserve Bank of New York; 1921 to over $4,600,000,000 in May, 1927. The in August, 1929, they were advanced to 6 per- reserve banks placed few or no obstacles in thecent. way of the financial community, which used the As these figures were far below the current inflowing tide of gold for commercial and indus-charges for call money at the time and as the spec- trial expansion. Nor did the reserve banks at-ulative public paid little heed to these changes, tempt constructive action in controlling the the rate advance did no good. The rise of prices, expansion of foreign investments of the Unitedparticularly in a limited list of shares, continued States, which proceeded at a rapid pace. Thestill further, and brokers' loans maintained their aid of the system, which usually acted through steady growth. The culmination came on Octo- the administrative machinery of the Federal Re- ber 24, 1929, when a severe crisis occurred in serve Bank of New York, was, however, essential the stock market. This was followed by succes- and effective in supporting and financing thesive periods of liquidation alternating with tem- operations of European central banks by whichporary and partial recoveries extending through- the principal European countries found theirout the year 193o and the first half of 1931 (the way back to a gold or a gold- exchange monetary last period for which information is available at standard. Unfortunately serious mistakes werethe time of writing). The credit position of the made in supporting hasty or too ambitiousmember banks of the system was radically schemes of monetary reform. changed, with correspondingly decisive effects The period beginning with 1927 presents theon the reserve banks. Brokers' loans to cus- latest phase of Federal Reserve policy. At thetomers, as measured by borrowings on collateral beginning of this period the behavior of theby members of the New York Stock Exchange, business community at large displayed evidence had been steadily increasing until the fall of 1929, of unrestrained optimism, a state of mind whichwhen they totaled about $8,500,000,000. The seemed justified by the constant advance of stockoutbreak of the panic led to the active calling market prices and the apparent certainty thatof these loans and within six months they had almost every kind of security, if provided withbeen reduced by more than a half. This decline what was called satisfactory sponsorship, wouldin brokers' loans, the result of a withdrawal from move to higher levels of value. It was a situationthe market of non -banking lenders and of banks in which the reserve banks had a great oppor-outside New York City, was offset to some ex- tunity to apply corrective measures. Sharp dif-tent by an increase in loans on securities by New ferences of opinion, however, had broken out York City banks. By the spring of 1931 borrow- among the managers of the system. Betweentheings by brokers and dealers in securities were Board and several of the reserve banks, amongagain at their pre -war level, while loans on se- the banks themselves and within the Board'scurities by member banks had reached their peak own membership these differences hadbecome in the middle of 1930. Reserve banks cut their pronounced. During the early part of 1927 the rates as soon as the existence of the crisis was Federal Reserve System 163 definitely recognized; the last series of reduc-immense volume of short term treasury certifi- tions declared in May, 193i, brought the ratescates available at all times as a basis for un- down to 1.5 percent for New York and from zlimited extension of credit. Thus a mechanism to 3.5 percent for the other banks. Meantimehas been set up for increasing credit without suspension of foreign financing had induced aregard to the total of commercial paper out- further inward movement of gold and had againstanding. It has been the contention not only of given a fresh impetus to "easy money." Themany reserve bank officers but of capable com- reserve banks, however, had not been able tomercial bankers as well that the decline of the prevent the steady increase in bank failures,old fashioned type of bank loan growing out of which reached a maximum of 1345 in 193o; thebusiness transactions had largely driven the re- resources of the banks suspended in that yearserve banks to a policy in which advances were were probably in excess of $1,000,000,000. made indiscriminately against the treasury cer- Experience during the last period of the his-tificates as collateral; since such loans afforded tory of the system renders possible its evaluationon their face no evidence as to the necessities in the light of the expectations of its advocatesthat gave rise to them or the uses to which their and founders. In both of the major depressionsproceeds were to be put, this system of granting during its existence the system has proved fullycredit almost unavoidably enabled borrowers to adequate as a preventive of currency "panics,"draw what they needed from the reserve banks which before 1913 were so familiar as to appearfor speculative operations. However it may be inevitable. Few banks which could present sat-explained, there is no reason to believe that isfactory paper have been refused accommoda-since the creation of the reserve system the pro- tion or have been unable to obtain notes inportion of banking funds devoted by the nation amounts sufficient to satisfy depositors desirousat large to speculative operations has been at all of drawing their "money." Far less success haslessened. On the contrary, it has been consid- been enjoyed in connection with the control and erably increased, although it would be difficult direction of credit. But perhaps the least satis-to venture even an approximate estimate as to factory phase of reserve banking is its ineffec-whether such increase has been out of propor- tiveness in relation to bank failures; there is notion to the general expansion of industry and conclusive evidence that member institutionstrade and the growth in the number of listed have been less liable to failure than have others.issues. Opinion is divided as to the reasons for this lack Much greater success has clearly been attained of success. Some observers emphasize the in-in regulating the geographical distribution of ability or indisposition of reserve institutions tofunds among different parts of the country; this use their power of examining orinspectingmay doubtless be regarded as one of theprin- members, others the indiscriminate methods ofcipal achievements of the reform. The manner rediscounting and still others the lack of creditin which the clearing and gold settlement pro- control methods applied at a date sufficientlyvisions of the act have been carried out, the early to prove effective. To some extent theexercise of open market powers and the use from inability of reserve banks to aid large membertime to time of rediscounting between reserve banks which have found themselves in a criticalbanks have tended to diminish the hitherto pro- position is to be ascribed to fundamental changesnounced regional differences in rates of interest in the prevailing methods of financing business,and discount for short term paper. Whatever which have basically altered the character of the differences remain are explicable chiefly in terms paper held by member banks,thus preventingof variations in risk and in character of security them from holding as large a quantity of eligibleoffered. Moreover, in insuring a decidedly better commercial paper as they should. and easier movement of loan funds to regions It is this change in the nature of the memberwhere they are needed the system has eliminated portfolios that has perhaps more than anythingwhat might otherwise be wide seasonal fluctua- else led to departures in practise from the orig-tions in rates and in the current supply of inal intent of the act and has furnished a plausi-"money." The crop moving season, formerly so ble reason for discount policies often chargeddifficult and disturbing each year, has ceased to with an undue friendliness for "speculation."be regarded as an important factor of financial The amendments to the act, as they have workedfriction between communities and regions. out under conditions of war and post -war public It is more difficult to evaluate the effect of finance, have put in the hands of the banks anthe reserve system upon the credit technique of 164 Encyclopaedia of the Social Sciences commercial banking. During the first years ofnatural expansion of the system has been the their operation the reserve banks succeeded in failure to develop a genuine local discountmar- raising somewhat the standards of banking prac- ket about each reserve bank. The regionalsys- tise, as was intended at the time the act wastem of organization had been criticized from passed, but the effort was interrupted by thethe outset by bankers who desireda single cen- entry of the United States into the war. At-.tral institution and was defendedon the ground tempts to reintroduce two -name commercialthat only by regional organization would local paper, the trade acceptance, were not resumedmarkets be likely to be brought into existence. after the close of the war. With the growth of aExperience has shown that such marketscan practise of lending against Treasury certificates be successfully evolved. In at least twoor three there was less interest in the building up ofdistricts outside New York considerableprog- elaborate credit files; and in lieu of the latter theress has been made in that direction; but else- custom of demanding collateral to protect eli-where the correspondent bank system, strongest gible paper offered to reserve banks has gainedin New York and Chicago, has tended to inhibit ground. In the course of time the reserve bankssuch development so that the reserve banks of have been increasingly inclined to follow exist-some districts still buy in the New York market ing practise in most directions and to abstainthe acceptances made by their own members from efforts at leadership. The expectation thatand sent to New York for disposal. The failure the creation of the reserve system would improveto develop local markets is cited by critics as and strengthen credit technique has thus beenevidence that they are not wanted or not needed largely disappointed. Much the same is true ofand that one central bank with branches would bank examination, although some results havehave been preferable to the regional organiza- been accomplished in various districts throughtion. It is to be observed, however, that the collaboration with state and national examiningregional plan is approved at present by many authorities. of those within the system who opposed it in It was anticipated that reserve banks, whosethe beginning and that some of the factors which management was elected by the members on aprevented a more rapid development of local democratic basis ("one bank, one vote "), wouldmarkets will prove less important in the future. arouse the interest of the local banker and de- The reserve banks have had far greater suc- velop a strong corps of observers and criticscess in the integration of the entire banking who would keep the system under constant su-system of the United States than appears on the pervision and eventually modify it to accordsurface. Although disappointment at the failure with local interests and the best local practise.of state institutions to become members in larger But later experience showed that these hopesnumbers is justified, it is not to be overlooked were not justified; the small banks in particularthat non -member state banks have indirectly generally make little use of their voting rights. received nearly as much benefit from the system With this feeling inside of the system it has been as have those which accepted membership. The difficult to build up a clientele of support fromcreation of an incipient discount market, the the outside. At first state banks were slow to joinfree purchase of acceptances whether originated because of the loss of interest on their reserveby state or national institutions and in some balances. They came in much more freely later,cases the purchase of state bank paper with when the United States entered the war, be-member endorsement have all been factors of cause they feared a severe credit stringency and support and sometimes of emergency relief. Ag- thought that the help of the system would ma-ricultural credit organizations, which were per- terially strengthen them. After the panic andmitted by the act of 1923 to deal in specified depression of 192o and 1921, during which thecircumstances with reserve banks, have from performance of the system fell short of theirtime to time received much needed help and expectations, their membership fell off. Thehave been able to accomplish many results that membership of state institutions reached a highwould otherwise have been impossible. For the point in 1922, when it numbered 1639; it hasfirst time in American history there has been a declined fairly steadily since then, but an im-substantially uniform foreign banking policy portant factor in this connection is a reductionwhich, whether sound or not, has been repre- in their number owing to mergers and sus-sentative of the entire nation. pensions. A general evaluation of the Federal Reserve A factor which has doubtless retarded thesystem and its work is thus composite in nature. Federal Reserve System -Federal Trade Commission165 Few of the dangers and probably none of the Systems, 4 pts. (1931); Federal Reserve Bank of Rich- mond, Letters to College Classes in Economics and injustices foreseen by its opponents at the outset Banking, published monthly except during summer have been incurred. Without it the war couldmonths in Richmond since 1921; Beckhart, B. H., not have been financed with anything like the The Discount Policy of the Federal Reserve System success actually attained. General suspensions (New York 1924); Riefler, W. W., Money Rates and Money Markets in the United States (New York 1930); of payment like those of the national banking Spahr, W. E., The Federal Reserve System and the era have been dispensed with, and a serviceable,Control of Credit (New York 1931); Tippets, C. S., even if not very flexible, banknote currency hasState Banks and the Federal Reserve System (New been furnished in adequate amount. Some con- York 5929); Chapman, J. M., Fiscal Functions of the trol over foreign financial relations has beenFederal Reserve Banks (New York 1923); Young, Allyn A., An Analysis of Bank Statistics for the United provided, and the ability to exert a genuine in- States (Cambridge, Mass. 1928); Northwestern Uni- fluence upon the volume of domestic credit andversity, Bureau of Business Research, Banking Stand- its distribution has been exhibited, however ards under the Federal Reserve System (Chicago 1928); fitfully and hesitantly. Business has at times been Watkins, Leonard L., Bankers' Balances (Chicago 1929). See also Federal Reserve Bulletin, published materially aided and cost of credit standardizedmonthly by the Federal Reserve Board since May, and reasonably lowered. Checks are more nearly 1915, and Annual Report of the Board beginning with at parity throughout the country than ever be- 1914. fore and a severe burden of exchange charges has been lifted from the shoulders of the busi-FEDERAL TRADE COMMISSION. This in- ness public. Gold has been economized and itsdependent commission, created by Congress in constant shipment back and forth across the1914, is part of the federal structure designed to country ended. But the termination of the sub -safeguard the competitive scheme of economic treasury system is still to be given its full effectorganization in the United States. Its particular by a skilled and non -political use of public fundsrole is to make various economic investigations and public borrowing powers. And most of theand reports, to prevent certain abuses of the greater objects of the system -such as the fairer competitive system by legal processes of its own division of banking facilities, the real controlinitiation and to act in an advisory capacity in of credit and the sound limitation of specula-the administration of the federal antitrust laws. tion- remain to be more fully accomplished inThe Commission also supervises export asso- the future. ciations under the terms of the Export Trade H. PARKER WILLIS Act of 1918. The Commission's powers of investigation, See: BANKING, COMMERCIAL; NATIONALBANKS, apart from those incidental to its work of law UNITED STATES; STATE BANKS, UNITED STATES; CEN- TRAL BANKING; CREDIT CONTROL; BANKNOTES; BANK enforcement, were intended to make possible a RESERVES; CLEARING HOUSES; BROKERS' LOANS; FARM continuing public check by an expert govern- LOAN SYSTEM, FEDERAL; FINANCIAL ADMINISTRATION; mental body upon the operation of the com- WAR FINANCE; FINANCIAL ORGANIZATION. petitive system and to protect that system from Consult: Glass, Carter, An Adventure in Constructiveabuses by inviting the "curative power of public Finance (Garden City 1927); Willis, H. P., The Federalopinion," antitrust law enforcement or added Reserve System (New York 1923); Warburg, P. M.,legislation. By the act creating it the Commis- The Federal Reserve System, z vols. (New York 193o); Laughlin, J. L., A New Exposition of Money, Credit sion was empowered to "investigate ... any and Prices, 2 vols. (Chicago 1931) vol. ii; Harding, corporation engaged in commerce" except banks W. P. G., The Formative Period of the Federal Reserve and common carriers whose regulation is en- System (Boston 5925); Conway, T., and Patterson, E. trusted to other governmental agencies, and to M., The Operation of the New Bank Act (Philadelphia 1914); Dowrie, G. W., American Monetary and Bank- "require ... annual and special, reports ... or ing Policies (New York 193o); Chamber of Commerce answers in writing to specific questions,fur- of the United States, Banking and Currency Com- nishing to the commission such information as mittee,The Federal Reserve System (Washington it may require as to the organization, business, 1929), and accompanying Auxiliary Statements (Wash- conduct, practices, management, and relation to ington 1929); United States, House of Representa- tives, 69th Cong., 1st sess., Committee on Bankingother corporations, partnerships, and individ- and Currency, Stabilization, 2 pts. (1927); United uals." It was also authorized to investigate "trade States, House of Representatives, loth Cong., 1st conditions in and with foreign countries" which sess., Committee on Banking and Currency, Stabili- "may affect the foreign trade of the United zation (1928); United States, Senate, 71st Cong., 3rd sess., Committee on Banking and Currency, Opera - States," and upon direction of the president or tion of the National and Federal Reserve Bankingeither branch of Congress to "investigate and 166 Encyclopaedia of the Social Sciences report the facts relating to any alleged violations laws, apart from those in the enforcement of of the antitrust Acts by any corporation." which it was given jurisdiction, the Commission With the exception of trade secrets and nameswas given various advisory powers, the legisla- of customers the Commission was authorized totive design being to temper the enforcement of make public such portions of the informationthese laws with expert economic counsel. Upon obtained through its investigations as it shouldthe application of the attorney general, who "deem expedient in the public interest" and toheads the other major part of the federal estab- make annual and special reports to Congress,lishment designed to protect the competitive including recommendations for legislation. To system, the Commission was empowered "to in- reenforce the Commission's powers of investi- vestigate and make recommendations for the gation, in the exercise of which it was designed readjustment of the business of any corporation to continue and expand the work of the Bureau alleged to be violating the antitrust Acts" to of Corporations created in 1903, provision wasbring it in accord with law. Upon similar appli- made for the recourse to the courts for manda- cation or its own motion the Commission was mus proceedings; and the imposition of fines onempowered to investigate and report on the corporations and of both fines and imprison-manner of compliance with any final antitrust ment on persons was authorized in case of re- law decree. And at the request of a federal court fusal to comply with its requests for information. it was authorized to serve as a master of chan- The powers of the Commission to preventcery in the framing of suitable decrees in equity abuses of the competitive system by legal proc-suits brought under the antitrust laws. esses instituted by it were embodied in section 5 The organization of the Commission, whose of the act creating it and in sections 2, 3, 7 andauthority is vested in five commissioners ap- 8 of the Clayton Act passed in the same yearpointed for seven -year terms by the president and as part of the same legislative endeavor.and confirmed by the Senate, reflects its dual By the sections of the Clayton Act, in the en-nature as an investigating and law enforcing forcement of which the Commission was given abody. Its principal divisions, in addition to an supplementary jurisdiction, price discrimina- administrative division, are economic and legal, tion, "tying agreements," intercorporate stockthe former being concerned primarily with gen- acquisitions and interlocking directorates wereeral economic investigation and the latter with prohibited under certain conditions believed bythe enforcement of statutory provisions relating Congress to obstruct materially or to destroyto competition. While the Economic Division competition. By section 5 of the Commissionhas remained a single unit under the immediate act "unfair methods of competition" were de-direction of a chief economist, the Legal Divi- clared unlawful, and the Commission was "em-sion has become progressively more complex in powered and directed" to prevent them whenorganization and at present consists of six sepa- such a course "would be to the interest of therate and independent units, also designated as public." Banks and common carriers were ex-divisions, each responsible only to the Corn- cepted from the Commission's field of law en- mission. forcement, as meat packing establishments and The relationships of these legal divisions may stockyards have been since 1921, when specialbe suggested by a rough review of the Commis- federal legislation was enacted to deal with them.sion's procedure in handling its work of law The administration of these provisions was re- enforcement. When the Commission receives an enforced by no criminal penalties. After estab-application to eliminate an offense against the lishing an offense the Commission was empow-statutes entrusted to its enforcement, the appli- ered to issue its order to "cease and desist."cation is referred to the Chief Examiner's Divi- Should the order be ignored, the Commissionsion unless it involves a charge of false and was authorized to appeal to the appropriatemisleading advertising, in which event it goes United States Circuit Court of Appeals, as couldto a Special Board of Investigation set up in those seeking to have the order set aside. Ulti- 1929 to deal exclusively with such offenses. The mate appeal to the United States Supreme CourtChief Examiner's Division, which also handles on writ of certiorari was authorized with provi-inquiries directed by the president, Congress or sion that in all court proceedings "the findingsthe Commission when they are primarily con- of the commission as to the facts, if supportedcerned with a legal question, then determines by testimony, shall be conclusive." the substance of the application and, unless it In the administration of the federal antitrustis patently unsuited to Commission action and Federal Trade Commission 167 capable of informal disposition, makes a reportposes of law enforcement. Both byvoluntary and recommendation. This is then referred tocontributions of information and contributions the Board of Review, or directly to the Com-secured in response to resolutions directing in- mission, if dismissal of the application is rec-vestigations of alleged violations of the antitrust ommended. The Board of Review then recom-laws the Commission has compiled a substantial mends to the Commission outright dismissal oflibrary of economic reports. During recent years the application, dismissal after the entering of a most of the additions have been made in re- "stipulation" or the issuance of a complaint onsponse to Senate resolutions. Some of theCom- behalf of the Commission. In the latter eventmission's investigations and recommendations, the complaint is prepared by the chief counsel, notably those on Cooperation in American Export who represents the Commission in subsequentTrade and the Meat Packing Industry, have re- legal proceedings, acts as its general legal advisersulted in legislation. and supervises the work of an Export Trade In the field of law enforcement most of the Division engaged primarily in administering theCommission's work has been predicated upon Export Trade Act of 1918. If the complaintis the mandate to prevent "unfair methods of com- contested it is referred to the Trial Examiner'spetition." In construing this phrase the Com- Division, a representative of which takes themission has held it to cover not only violations evidence and prepares a report of the factsforof the Sherman Act of 189o, the basic federal the Commission. After the conventionallegalantitrust law, but also practises of an immoral formalities the case is then brought before theand fraudulent nature which are related only Commission for final argument, and its orderremotely if at all to monopoly and restraint of of dismissal or to "cease and desist" is entered.trade. While it has thus addressed itself to cer- To deal with unfair methods of competitiontain practises and arrangements of an essentially en masse as opposed toindividual cases the Com- monopolistic nature, the general drift of its de- mission has since 1926 maintained aTradecisions has been toward emphasis upon certain Practice Conference Division. Here the proce-standards of commercial conduct without im- dure, first adopted in 1919, is to have represen-mediate reference to monopoly and restraint of tatives of an industry assemble voluntarily undertrade. In recent years misbranding, false and the Commission's auspices and at itsdiscretionmisleading advertising, misrepresentations of with a view to devising rules to eliminateunfairvarious sorts, "passing off" and commercial competition in the entire industry. Those rulesbribery have constituted the basis for the bulk which are jointly approved by the Commissionof its decisions. and a satisfactory representation of the industry In defining "unfair methods of competition" are officially designated asthe "final rules ofthe Commission has been largely controlled by the trade practice conference." Theyfall intothe federal judiciary. The United States Su- two groups: (1) those coveringpractises whichpreme Court has held that "it isfor the courts, in the judgment of the Commission areillegal not the commission ultimately todetermine as and subject to elimination by its formal com- a matter of law what theyinclude." This court plaint, and (2) those which are expressionsofhas also undertaken to determine the "interest opinion as to desirable practises for the industry of the public" which the Commission is directed to follow. After the final rules arepromulgated,to protect (as has the Commission byformal the Trade Practice Conference Divisionendeav-statement of policy) but in terms so general that ors to secure compliancewith them by estab-the only abiding proposition established is that lishments not represented at the conference atthe judgment of the courts is controlling. which they were formulated and reportsdirectly The Commission's policies of law enforce- to the Commission all violationsof the rules.ment have recently tended strongly toward em- Such reports on group 1 rules may be the basisphasis upon what has been termed prophylaxis it has for the Commission's formal complaint. as opposed to prosecution. Since 1925 In the field of economic investigationthe extensively followed a policy of settling cases by Commission has carried out only a part of the"stipulation" and on generous terms with refer- but in pursu- program contemplatedby Congress in creatingence to publicity. In its discretion it. The Commission still awaits a decisiverulingance of a policy that "all casesshall be settled by the courts on its power to commandinfor- by stipulation except where the public interest mation for purposes of general enlightenmentdemands otherwise," a party liable to formal as opposed to the much morerestricted pur-complaint is allowed to sign a stipulation of the 168 Encyclopaedia of the Social Sciences facts about the practise and an agreement toJustice and the Commission have worked quite "cease and desist forever," with the under- independently on the same question but recently standing that "should he ever resume it theefforts to develop a greater degree of cooperation facts, as stipulated, may be used in evidencehave been reported. against him in the trial of a complaint which the Viewed in relation to congressional design in commission may issue." The proceeding is thencreating it the accomplishment of the Commis- dropped without making public the name of thesion has been meager. As an instrumentality for offending party but with an anonymous state-information and publicity about the perform- ment of the practise condemned. This publicityance of the competitive system it has done much arrangement has been bitterly attacked by avaluable work but only a small fraction of the minority of the Commission as placing that bodywork of this type requisite to an enlightened in the position of protecting lawbreakers, butpublic control of competition; nor has this work it has been retained. And the general "stipula-been done by other governmental agencies. As tion" procedure, which was employed for thean adviser on antitrust law enforcement the first two years of the Commission's existencepowers of the Commission have been barely and then dropped until 1925, has been exten-touched. In law enforcement its most extensive sively used, 672 "stipulations" having been en- accomplishment has been in the field of com- tered in the five -year period prior to June 3o,mercial ethics rather than of monopoly and 1930, in comparison with 431 formal complaints.restraint of trade, to which the legislation cre- In keeping with the prophylactic motif theating it was primarily directed. Commission has also greatly extended the scope For the fact that the Commission has had of its trade practise conferences. During the yearrelatively little success a great variety of causes ending June 3o, 1930, fifty -seven such confer-might be assigned. Among these a lack of sym- ences were held, almost half the total numberpathy with certain of the main objectives of the held since the proceeding was originated in 1919. 1914 legislation on the part of some of the In pressing this procedure, which the Com-members, the great technical difficulty of the mission asserts "performs the same function asprogram involved and adverse court decisions a formal complaint without bringing charges,would probably bulk large. The principal cause, prosecuting trials, or employing a compulsoryhowever, has probably been the change in public process, but multiplies results by as many timesattitude toward the question of antitrust law as there are members of the industry who for-enforcement since 1914. More recently there merly practiced the methods condemned andhave been some slight evidences of a renewed voluntarily abandoned," the Commission mayinterest in the general objectives sought by the have paved the way for some violations of the1914 legislation. Should these materialize in any antitrust laws. The officer of the Department ofsubstantial degree, the Federal Trade Commis- Justice in immediate charge of antitrust lawsion would probably reflect the change as it has enforcement stated in 193o that "there havereflected general changes in economic ideology been recent instances where ... price fixing hassince its organization. been attempted by the misuse of so- called Codes DEXTER MERRIAM KEEZER of Ethics or Trade Rules." Since then the Com- See: GOVERNMENT REGULATION OF INDUSTRY; COMMIS- mission has revised the rules adopted by most SIONS; EXPERT; TRUSTS; COMPETITION; CUT -THROAT of the trade practise conferences held under its COMPETITION; UNFAIR COMPETITION; PRICE DISCRIM- auspices. INATION; BUSINESS ETHICS; TRADE ASSOCIATIONS; Ex- The role which Congress contemplated for PORT ASSOCIATIONS; INVESTIGATIONS, GOVERNMENTAL. the Commission as an expert economic adviserConsult: Henderson, Gerard C., The Federal Trade on the enforcement of the antitrust laws by the Commission (New Haven 1924); Rublee, George, "The Department of Justice and the federal courts Original Plan and Early History of the Federal Trade Commission" in Academy of Political Science, Pro- has been very little developed. The attorney ceedings, vol. xi (1924 -26) 666 -72; Stevens, W. H. S., general has rarely called upon it for advice, and "What Has the Federal Trade Commission Accom- the Commission has proffered little except indi- plished?" in American Economic Review, vol. xv (1925) rectly, as in response to congressional resolu-625 -51; Seager, Henry R., and Gulick, Charles A., tions. The Commission has never been called Trust and Corporation Problems (New York 1929) chs. xx- xxiii, xxvii; Keezer, Dexter M., and May, upon to act as a master of chancery in framing Stacy, The Public Control of Business (New York an antitrust decree. At times, as in the case of 193o) chs. ii -iv; United States, Federal Trade Com- resale price maintenance, the Department ofmission, Statutes and Decisions Pertaining to the Fed- Federal Trade Commission -Federalism 169 of the eral Trade Commission, 1914 -1929 (193o), andAnnual of Nations) and, similarly, that the parts Report, published since 5915, the first volumeof state (the member of confederatestates) also be which, including decisions beginning with 1915,constituted on a federal plan. In this sensefed- appeared in 192o. eralism aims at a universal socialorganization FEDERALISM in its broadest and most gen-which attempts to realize liberty byestablishing conceives of thefraternity without being equally concerned about eral sense is a principle which federalism federation as the ideal form of socialand politi-equality. Accordingly, the theory of aitendency to sub-frequently acquires a utopian character. cal life. It is characterized by prob- stitute coordinating for subordinatingrelation- In its application to concrete political dynamic ships or at least to restrict the latter asmuch aslems federalism becomes a relative and possible; to replace compulsion fromabove withprinciple. One may distinguish a centrifugal and reciprocity, understanding and adjustment, com- a centripetal federalism.The federalist tenden- mand with persuasion and force withlaw. Thecies of continental Europe during the nineteenth centrifugal basic aspect of federalism is pluralistic,its fun -and twentieth centuries were mainly and its-a reaction against theunitarism which was ¡damental tendency is harmonization and regulative principle is solidarity. Carried to anprepared in France during the monarchy pacifistic and ap-put into practise in an exemplaryfashion during extreme, federalism becomes and by proaches syndicalism and anarchism.Proudhon,the French Revolution by the Jacobins the French socialist, wrote in 1863:"Only fed-Napoleon. Under French influence unitarism Peter the eration can solve, in theory and practise,theprogressed in Russia, especially under the princi-Great; in Prussia under Frederick William I; problem of an adjustment between the ples of liberty and authority by leaving to every-and in Austria under Joseph 11. Similarly, his true competence, andunification of Italy took place in conformity with one his proper sphere, fed- his full initiative. Thereforefederalism alonethe principles of unitarism, because there warrants on one hand theineffaceable respecteralism was considered a doctrine of disintegra- for the citizen as well as for the government,tion and foreign domination. Besides, the exist -, impeded a solution and on the other, order, justice,stability andence of the Papal States peace." In 186z Constantin Frantz, theGermanalong federalist lines. Although the unitarian journalist, had employed the modes ofthoughttendencies in Germany foundered in 1848 and of the speculative- romantic philosophy to ex-the Reich which Bismarck created in 1871 was press similar ideas:"What must federalism doorganized according to federal principles, the in order to found such a union?Nothing morereform of the Swiss constitution of 2848 tended than draw particularism, i.e. individuality, outtoward unitarism. At the same time Austria ex- of its retirement and introduce it into the com-perimented with a greater centralization, which munity, at the same time that it complementswas also the aim of theGerman constitution centralization by means of individuality and ren- of 1919. ders the union more real through theliberation In the face of a tendency to establish complete unitarism federalism becomes a principle of op- of individuality." Unconsciously theFrenchman had in mind the memory of the bloodyconflictsposition. It unites itself with forces which are at the height of the FrenchRevolution betweenunpolitical, hostile to the state and, if carried the federalism of the Girondists andthe cen-to an extreme, anarchical; andthrough this alli- tralism of the Jacobins. The Germanthinkerance or psychological coloringit becomes dis- was guided by theorganismic conceptions of acredited as a constructive political principle. philosophy conceived against the backgroundofThe government and such groups asmaintain whicha positive attitudetoward the state fear that the complicated constitutional relations the had developed in the old German Empire.Hefederalism may bring about a weakening of in the form of was also influencedby his antagonism to thestate and lead to disintegration first steps of the centralizing Prussianpolicy by irredentism or separatism. If federalist tenden- which Bismarck intended to establish the em-cies conquer a state constituted mainly onthe pire. In modern sociology federalism was re-principles of unitarism, the result is more likely federalism proper. vived by the neoromantic schoolof Othmarto be decentralization than transi-/ Spann under the term "universalism." For all practical purposes, however, the Federalism postulates that the state likewisetion from federalism to decentralizationremains should join a more comprehensive federal sys-one of degree. tem (Concert of Nations, pan-Europe, League Wherever federalism consciously and system- 17o Encyclopaedia of the Social Sciences atically and by the use of proper measures andnical but upon local and traditional factors, institutions emphasizes and guarantees uniondetermined by the particularistic and conserva- and solidarity in the federal state it becomes ative mentality of the Alemannic race as well as patently centripetal and conservative principle.by the geographic conditions of a mountainous In such a case the antithesis of federalism is notcountry and peculiar sociological conditions. unitarism, but particularism and separatism. InConsequently, Switzerland achieved the earliest the Anglo -Saxon countries and especially during and most enduring form of a purely republican the last decades in the British Empire federalism and democratic federalism. Similarly, the fed- has possessed such a positive meaning. Thereeralism of the Anglo -Saxon and the Iberian federalism, by professing the principle of thenations is based primarily upon geo- political equal rights of all members, acts as a counter-and historical circumstances and not upon race weight to the desire of the component parts foror nationality, the differentiating effects of which independence and hegemony. It is noteworthywere of only secondary importance. The thir- that the same symbol or institution, the crown, teen British colonies in North America gained which stood for centralization in France nowtheir independence in a manner reminiscent of stands for federalism in the British Empire.the original cantons of Switzerland and formed While federalism as an element of oppositionthemselves into a democratic and republican easily becomes doctrinaire and degenerates intoconfederation which, like the Swiss, later aug- anarchism, in connection with certain forms ofmented its territory. About the middle of the imperialism it has definitely proved itself an aidlast century England seemed threatened with to the highest kind of statesmanship and hasa progressive decomposition of the empire, un- furthered the preservation of the state. Even intil about 186o British imperialism entered into the former Austrian Empire, in spite of stronglyits peculiar synthesis with federalism. The crea- centrifugal tendencies, a peculiar combinationtion of colonial and imperial conferences, a of monarchism and federalism postponed for agradual raising of the status of the dominions long time the threatening disruption, until finallyand reduction in the hegemonial demands of defeat in the World War brought the collapsethe mother country and the assistance of feder- of the empire. Thereupon its peculiar problemsalism have enabled the empire so far to adapt were transferred to the countries which suc- itself successfully to a changed world. Bismarck ceeded it. mastered an especially difficult task in federal Federalism in its practical application mani- organization by opposing the revolutionary tend- fests itself differently according to the sociologi- encies of 1848 with a carefully tempered legiti- cal factors which it attempts to regulate andmistic federalism and by creating the new Ger- which form its basis. The purest and most con-man Empire as a poly-dynastic federation with sistent form of federalism appears where it fol-the office of the emperor as its presidial head. lows traditional political lines. The old states ofThe articles of the German constitution of 1871 Europe are almost entirely of dynastic origin.were wisely formulated so as to spare the par- In many instances territories were added byticularistic sentiments of the German sover- conquest, by bequest or at times by purchase.eigns and states and yet prepare the way for an While mediaeval feudalism facilitated the dis-organic coalescence into a more unified empire. integration of ethnically homogeneous regions,The development after 1918 proved that this the absolutism of the early modern period,consolidation had advanced sufficiently to keep which even in France began its centralizingthe Reich from disintegrating even after the work very circumspectly, generally developeddisappearance of its dynasties. Yet in spite of the from a personal union into a real union and only strongly unifying tendencies of the Weimar con- gradually prepared the way for unitarism. Ter-stitution the traditional federalist forces within ritories which received a new suzerain retainedthe states have proved so strong that only a few their self -administration under native leadershipconsolidations (mainly in Thuringia) of the over - and their traditional rights, customs and regionaldivided German territories had taken place. The peculiarities. It was possible to spare local tra-Republic of Austria in 1919 also constituted dition as long as the principle of absolutismitself on a federal plan in spite of its ethnic remained unshaken and the tasks of the centralhomogeneity and opposed quite strongly the state were limited in scope as compared withcentralizing tendencies of the Austrian Social the autonomous territorial and local jurisdic- Democrats. tions. Swiss federalism did not rest upon eth- With the spread of nationalist ideas in the Federalism 171 nineteenth and twentieth centuries the principlefactory demarcation of the national districts it of federalism acquired a peculiarsignificanceproved partly impossible, partly inexpedient, complicated.was proposed to register theethnical groups and and at the same time became more and cultural pur- In former centuries differences inreligion andto organize them for national customs demanded different treatmentof sub-poses as cooperative unions.In this case feder- terri- jects. Now differences in nationalityrepresentedalism was replaced by the principle of a chiefly by different languages and, incountriestorial autonomy, or "group federalism." which possessed colonies, racial differenceshave While in central Europe ideas of autonomy made themselves felt as factors endangeringthebecame, theoretically at least, increasingly prev- principle of civic equality. Federalism could bealent as a solution of the problem of nationalism, applied within a state to the organizationofthe national aspirations of the rest of theworld national groups wherever these inhabited dis-continued largely to move within federalist ide- tinctly separate territories and especially whereology; for example, certain national aspirations in the course of history they had beensubjectwithin the British Empire and in the Near East. to a uniform administration.Yet even whereYet even the radical federalism put into practise this was the case the obvious trend was notby the Soviet Union offers merely a sham solu- toward federalism, but toward autonomy or de-tion of national and especially cultural problems. centralization. Federalism presupposes a certain The formation of Soviet republics and autono- equality in size and cultural level and a common mous territories with nationalnomenclatures allegiance among the nationalities joined underseems to follow the principle ofseparating the the same state; actually they were often numer-domain of cultural activities from that of govern- ically weak minorities, possessed a low culturalment proper. While politics as such isstrictly level or as the inhabitants of conquered terri-centralized in Russia, culture as determined by tories were suspected, rightly or wrongly, ofsocial and religious factors is to a certain extent irredentism and separatism. Besides, a politicallydecentralized. The Communist zeal for revo- conservative federalism frequently clashes withlutionary reorganization goes so far that the a demand of long standingfor a redistributioncentral organization artificially revives the na- of territory on an ethnical basis. This is true totional life of even the smallest nations and tribes. a certain extent even ofSwitzerland, which isThis very procedure of the Communists dem- wrongly considered a model for the solution ofonstrates that they are not seriouslyconsidering national problems. The federal organization ofa real recognition of nationalindividualities. the cantons is in no way based upon ethnic orTheir efforts serve mainly the ideas of the social linguistic principles; there are several polyglotrevolution, the mobilization of the illiterates and cantons, and neither German, French nor Ital-of the conquered and uncivilized tribes against ian Switzerland is a constitutionally recognizedtheir own upper classes. This policy is further.. individuality within the confederation as a whole.more used in propaganda abroad torevolution- The same statement can be applied to formerize the neighboring countries in the west (espe- Austrian territory, where the historical provincescially Poland and Rumania) and to excite the (crownlands) lacked ethnographical unity, as didnatives of the British colonies. Its final aim is the largely autonomous administrative districts solely the winning of allies in the revolutionary of Hungary (the Comitats). Accordingly, all proj- class struggle and world revolution. Accord- ects of a federal organization discussedin Aus-. ingly, Russian methods cannot be applied to tria-Hungary after 1848 by Palacky and Löhner countries which adhere to a Christian culture met the violent opposition of conservative-fed -and to stable social traditions without endanger- eralist circles and frequently even that of theing the foundations of their very existence. national groups themselves, who wished to as- Yet the propaganda of Soviet federalism gains similate their own ethnic minorities and there-strength from the social and constitutional crisis fore did not favor a clean cut reorganizationwhich the British Empire and the continental along ethnographic- territorial lines. They con-European countries are undergoing, and in sidered as revolutionary the proposals, arisingwhich the ideology of federalism plays an im- primarily from within the ranks of the Austrianportant part. This applies especially tothose Social Democratic party and advocated by Bauer polyglot countries of Europe which have mod- and Renner, for a regulation of the legal statuseled their centralism on the pattern of France of the nationalities according to "personal" in-and which are therefore now finding themselves stead of "territorial" principles. Since a satis-in serious difficulties. In France itself a move- 172 Encyclopaedia of the Social Sciences ment opposing the centralization of culture onrequirements of war. The characteristics of fed- the basis of a so- called regionalism had alreadyeralism in a broader sense may be found in sprung up about the middle of the nineteenthregional economic agreements, such as customs century and manifested itself chiefly in southernunions, and also in such movements as Pan- France, in the Provençal, Basque and CatalanAmericanism, Mitteleuropa, the pan- European regions but also in Brittany and among themovement and pan -Slavism. With some reser- Flemings of northern France. The very strongvations even the League of Nations may be so autonomous tendencies within Alsace -Lorraineclassified. Such programs and institutions are have considerably increased the political strengthfrequently abused as a shield for a particular of French regionalism, which is tending in itsbrand of hegemony, as in the pan- Slavic move- program partly toward economic, partly toward ment. When international federalism is sincerely political, federalism. The attempt to unite Serbs,conceived it frequently does not progress be- Croats and Slovenes in a Jugoslav nation, in spite yond the stage of impractical idealism. Yet it of their considerable difference in language, cul-cannot be denied that pacifism, growing every- ture and especially religion, met strong opposi-where as a result of the enervating effects of the tion, mainly because of the desire of the Serbs toWorld War and the fear of new wars, has cre- exercise hegemony. This opposition has caused ated a readiness to solve international problems revolutionary disturbances in Macedonia andwith the aid of federalism. As yet the forms of recently also in Croatia. To a lesser extent thethese solutions are perceptible only in vague same statement could be applied to the attemptoutline upon the horizon of practical politics. to weld Czechs and Slovaks into a unified Czech- MAX HILDEBERT BOEHM oslovakian nation. The added factor of a large See:FEDERATION; AUTONOMY; REGIONALISM; LO- and compact German speaking territory in CALISM; DECENTRALIZATION; SELF- DETERMINATION, Czechoslovakia might suggest to that country a NATIONAL; HOME RULE; DOMINION STATUS; NATION- reform along federal lines; this, however, the ALISM; MINORITIES, NATIONAL; INTERNATIONAL OR- Czechs oppose. Even a single people, the Poles, GANIZATION; STATE; GOVERNMENT; ANARCHISM; SYN- DICALISM. after the restoration of their state showed them- Consult: Proudhon, P. J., Du principe fédératif (Paris selves so differentiated through the Russian, 1863); Frantz, Constantin, Der Föderalismus als das Austrian and German domination that centrali- leitende Princip far die soziale, staatliche und interna- zation was not possible without friction (for tionale Organisation (Mainz 1879); Jellinek, Georg, example, the promise to give autonomy to Upper Die Lehre von den Staatenverbindungen (Vienna 1882); Silesia). Furthermore, in both Spain and Bel- Le Fur, Louis, État fédéral et confédération d'états (Paris 1896); Les aspirations autonomistes en Europe, gium the demand for federalism has increased ed. by C. Seignobos (Paris 1913); Jean -Desthieux, since the war. In Belgium the nationally con- F., L'évolution régionaliste; du félibrige au fédéralisme scious Flemings and some of the Walloons de-(Paris 1918); Hauser, Henri, Le problème du régiona- mand separate administrations for their respec-lisme (Paris 1924); Hoffmann, Karl, Das Ende des kolonialpolitischen Zeitalters (Leipsic 1917); Deman- tive regions. The overthrow of the Spanish geon, Albert, L'empire britannique (Paris 1923), tr. by monarchy in 1931 was caused largely by theE. F. Row (London 1925); L'Europe fédéraliste, aspi- attempt of the dictatorship to suppress by forcerations et realités, ed. by J. Hennessy (Paris 1927); the federalist aspirations of the Catalans andBoehm, Max H., Europa irredenta (Berlin 1923); Basques. Finally, even in Germany tendencies Peters, Hans, Zentralisation und Dezentralisation (Ber- lin1928); Hintze, Hedwig, Staatseinheit und Fa- toward a new territorial demarcation have sprung deralisnzus im alten Frankreich und in der Revolution up since the war, tendencies that are not founded (Stuttgart 1928); Popovici, Aurel C., Die Vereinigten upon linguistic and ethnical principles but rather Staaten von Grossösterreich (Leipsic 1906); Triepel, on cultural traditions; it is not likely, however, H., Unitarismus und Föderalismus im Deutschen Reiche (Tübingen 1907); Naumann, F., Mitteleuropa (Berlin that revolutionary upheavals will result. An- 1915); Haushofer, K., Geopolitik der Pan -Ideen (Berlin other victory was gained for the principle of 1931); Coudenhove -Kalergi, R. N., Pan -Europa (Vi- federalism when Ireland received the status of enna 1923), English translation (New York 1926). a dominion, although the question of Ulster continues unsettled. FEDERALIST PARTY, UNITED STATES. Federalist theories are also frequently em- See PARTIES, POLITICAL. ployed by movements advocating a confedera- tion of existing governments without the im-FEDERATION. The term federation is vari- pairment of their sovereignty, in contrast to theously employed to indicate a relationship, the customary leagues ultimately determined by theprocess of its establishment or the entirety of a Federalism-Federation 173 complex organization that embodies it. The ety- or indirect methods, the decisions of thecentral mological kinship of the word (from Latinauthorities of a composite state within the field of foedus) with ideas of treaty and of contract illu-their competence can secure certain and orderly minates but no longer fixes the meaning of acompliance. The logical difficulty of divided sov- protean and widely applicable principle.Theereignty can be avoided (if, indeed, such escape essential relationship involves a division of ac- seems profitable) by regarding aconfederation tivities between the autonomous parts and theas merely a comprehensive andcohesive form common or central organs of a compositewhole.of international administrative union, whereas a Arrangements inherently so conditional do notfederal system is regarded as a multiple govern- foster an absolute nomenclature. Usage mustment in a single state. look in two directions. As a deliberate phase of The Hellenic unions -the Boeotian, Aetolian, the structure of certain modern states federationAchaean and in Asia Minor the Lycian leagues, has acquired legal attributes which should benot to consider early, slighter instances of some- insisted upon, if only to retain the perspectivething akin to federalism in Phocis, in Acarnania necessary to an appreciationof the significanceand in Epirus -cannot unqualifiedly be called of institutional variations and inventions. But inmere confederations. They weresufficiently de- another direction conscious looseness is advisa-veloped to warrant the application of the term ble. The federal principle cannot be constrainedfederal to the period in the history of ancient by the analogies appropriate to territorial gov-Greece after the passing of both strict town ernments operating in an inchoate internationalautonomy and Macedonian empire and before society. The principle is manifested in innumer-complete subordination to Rome. E. A. Freeman able types of association. The basis of groupage remarks that the Achaean League in the years need not be spatial. The element of federationfrom 281 to 146 B.C. was "the first attempt on may even be unintentionaland implicit, result- a large scale to reconcile local independencewith ing, on the one hand, from the inevitable inter-national strength" and had given "to a larger dependence of supposedly separate things or,portion of Greece than any previous age had on the other hand, from the natureof man'sseen, a measure of freedom, unity,and general mind, which by dividing his attention and quali- good government, which may well atone for the fying his loyalties imparts a vaguely federallack of the dazzling glory of the old Athenian character to all authority. Democracy" (p. 553 -54). Traces of federalism are ubiquitous, but fed- No other unions so definitely federal in tex- eration when deliberate implies relative sophis-ture seem to have existed until modern times. tication. The exact limits of the history of federalOn the Italian peninsula the early urban leagues government are a matter of definition, dependingof Etruria and Latium were imperfect and im- upon the differenceswhich are conceived topermanent. Later, Rome's sprawlingempire exist between federations proper and confedera-involved quasi -federal elements, but they were tions and between the latter and the leaguesandnegated by a theory which despite the flexibility alliances into which their looser forms almostof its conception of Roman citizenship had no imperceptibly merge. When the proponents ofroom for the idea of a voluntaryunion of equals. the Constitution of the United States soughtFeudalism was vaguely federal, although the historical support for what their sense of needpattern of confederate government waslargely prompted, they necessarily dealt in terms of stillconcealed in personal relationships. The Holy unfixed meaning with institutions which wereRoman Empire, while fiefs were evolving into imperfectly understood and in part legendary.principalities and kingdoms, was a kind of con- They could point surely to no true analogy infederation that lapsed into an even more am- past experience, but only to unionswhich werebiguous union. The defensive alliances of cer- confederations in the sense that they emanatedtain Italian cities approached but did not achieve from and acted upon constituent governmentsthorough and lasting federation. The Lombard and not with direct reference to individuals.League, consummated in 1167, fell to pieces in This conception of the difference between con -1183; at the end of the twelfth century a concert federations and federations has been generallyof Tuscan communities was arranged; but the accepted, although realistic analysis has increas-passing of the Hohenstaufens withdrew the chief ingly recognized the fact that the distinctionmotive for such combinations. Economic pur- rests upon results rather thanforms and can beposes stimulated organizations amongnortherly read in the extent to which, whether by directcities like the Rhenish League in the thirteenth 174 Encyclopaedia of the Social Sciences century, the Swabian League in the fourteenthauthorities of the union to establish principles and the even more essentially economic unionand standards that, like Austria's contemporary which, having developed from an association ofconstitution and the scheme of multiple organi- merchants into a loose combination of corporatezation consummated in the Union of Socialist communities, long survived as the HanseaticSoviet Republics in 1923 (not to consider the League. More important were the two looselyabortive Chinese constitution of 1923), it raised composite states which in the mountains andthe question of the point at which normative by the sea successfully threw off the grasp of afederalism ceases to be federalism at all. De dynasty. The Seven United Provinces of theTocqueville truly said, speaking of federal gov- Netherlands doubtless lacked the cohesion en-ernment, that "the human understanding more tailed in the modern conception of federation,easily invents new things than new words" but in the first half of the seventeenth century(Democracy in the United States, 7th ed. Boston the union could be counted the strongest Prot- 1882, vol. i, p. zoo). estant force in Europe, and it endured until the A number of federations established in the wars consequent to the French Revolution. Thenineteenth century drew inspiration from the system of perpetual treaties of alliance whichUnited States, although the lesson learned was grew into the Swiss Confederation, spreadingsometimes a lesson of avoidance. Those of Latin by degrees from the agreement of three forestAmerica -Mexico, Argentina, Colombia, Vene- cantons in 1290, remained hardly more than azuela and Brazil -were most simulative. There permanent league until it yielded to unitarywere indigenous roots of decentralization con- government under French auspices. The inter-tending with the heritage of the old colonial ruption was temporary; the confederation wasadministration; but the introduction of federal restored in 1815 and in 1848 was transformedgovernment in these countries demonstrated into a federal government. that, in form at least, the latter is not always the The emergence of national states was accom- result of a movement toward closer union. Fed- panied by political ideas more compatible witheration in Canada in 1867 departed from the the logic of unitary than of federal constitutions.type set by the United States in numerous cru- In Germany, however, the course of unificationcial respects, notably in reversing the arrange- led through a series of unions which generatedment of delegated and residual powers. Aus- a stream of analytical writing, dating at leasttralia's union of 1901 was nearer to the pattern, from Ludolph Hugo in 1661, which in its sourceand the problems of adaptation to changing was independent of the turgid controversies setconditions which it has faced have been most in motion by the Constitution of the Unitedclosely analogous to those of the United States. States. The vestiges of the aged empire disap- The historical pattern of federation has en- peared when the semi -independent Confedera- tailed a formalized distribution of powers among tion of the Rhine was imposed by Napoleon incentral and local governments. As a natural con- 1806. This yielded in 1815 to a confederationsequence of the fact that most federal systems under the presidency of Austria, which lastedhave evolved from looser unions or conditions until the North German Confederation was en-of complete independence, it has been custom- gineered by Prussia in 1866. Meanwhile withinary to partition the sum of possible powers by the shell of the old the Zollverein illustratedassigning certain of them to the common organs, how shadowy in practise may be the line be-limiting those of the constituent governments tween international administrative unions forby exclusion only. The theory of federation can particular purposes (in this case customs, cur-no longer insist that this mode of allotment is rency and weights and measures) and compre-essential; the example of Canada and the in- hensive federations. The German constitutionstances of federalism implicit in the constitu- of 1871 did not quite end the debate as totional provisions by which certain states in the whether a Staatenbund had not at last evolvedUnited States have sought to establish munici- into a Bundesstaat, while in another directionpal home rule have sufficed to show that the the disproportionate weight of Prussia sharp-arrangement can be reversed. This indeed is an ened the problem of the degree of inequalityoutcome pointed to by the tendencies that are which is consistent with the genius of federa-embodied in the federations established on the tion. The new plan of government in 1919, stillcontinent since the World War. In distinguish- ostensibly federal, gave a fresh turn to the dis-ing true federalism from the deconcentration cussion. So broadly did it empower the centralwhich, supported by the tradition of the local Federation 175 choice of local authorities, exists in varying de- of Austria (save in the case of a general revision) grees in most unitary states, it is as proper as itand of Germany, although the referendum can is easy to say that in a federation the powers ofbe invoked under certain conditions in the latter the constituent governments, whether residualcountries. In the Union of Socialist Soviet Re- or enumerated, must be substantial. What thispublics unrestricted power to amend is given means, however, is not likely to be fixed. When to the Union Congress of Soviets, which, how- defense was the paramount purpose of union,ever, may be regarded as a periodical constituent the spirit of federation seemed to require thatassembly. A considerable degree of fixity in the the central government should be confined todivision of jurisdictions is undoubtedly an es- the care of external relations. This rudimentarysential ingredient of federal government, but, stage characterizes countless voluntary associa-on the other hand, adjustments are constantly tions which are approximately federal in struc-necessary and undue inflexibility (such as has ture; government was soon carried beyond it.resulted in Australia from the combination of It is increasingly unrealistic to conceive of aan unpliant court and a costive amending proc- federal division of functions in terms of theess) may weaken and even discredit the federal assignment of subjects as wholes. Each hasidea. phases appropriate to central and to local atten- Judicial control like a written fundamental tion. Federal constitutions which disregard thislaw has become an accepted corollary of the fact are brought into conformance with it in thetheory of federal equipoise. A court of last resort end, although tardily and imperfectly, by sub-although itis almost inevitably an emanation terfuge, indirection and fertile adaptation. of the central government has seemed the most The legal distinction between federations andpracticable method of providing relatively im- decentralized unitary governments rests uponpartial arbitrament. This plan has been devel- more mechanical considerations than the scopeoped in the United States and followed in of the powers of the constituent members ofAustralia and in the federalized states of Latin federal systems. The method whereby suchAmerica; it has appeared in Germany and Aus- powers are allotted is crucial. A federal organi-tria; it is being agitated in Switzerland, where zation can hardly be said to exist if the allotmentjudicial review (partly perhaps because frowned can be altered by ordinary legislation. On thison by ideas that were a contagion from unitary ground the Union of South Africa (not to men-states) has not been extended unequivocally to tion countries like Cuba, which are still furtheracts of the federal assembly. Canadian federal- removed from the type) is commonly excluded ism has been exceptional in vesting the right of from the list of federations. A written constitu-review in the judicial committee of the Privy tion seems to be a prerequisite of federalism,Council, while Parliament holds the technical although it can be argued that a virtually federalpower of amendment; but whatever success has structure is being created without one in theattended these expedients, which may be re- British Commonwealth of Nations. The relativeassuring to Quebec, they are not examples for difficulty of the amending process is a decisiveother federations to follow. Strictly speaking, it factor in all conceptions of federation, but likeis equally improper to allow the policy shaping the other criteria it cannot be standardized. Theorgans of the central and of the local govern- widely variant provisions for the amendmentments to determine finally the scope of their of federal constitutions indicate that a lenientcompetence. Actually in a day of great nations view must be taken or the list of true federationsand pervasive commerce the assumptions in would be a short one. It is not indispensablefavor of strength and convenience have been so to the principle of federal equilibrium thatcompelling that only the check on the action -of amendments be submitted to the authorities ofconstituent governments has seemed indispen- the member states or to their electorates or tosable. The practise of judicial review in most the electorate of the union or to a constituentplaces although ostensibly even handed has re- assembly. The amending power may be vestedflected this attitude. in the central legislative body, provided some The conception of federation which has been unusual procedure (such as an extraordinarycolored by the early example of the United majority or repassage in successive sessions orStates has tended to disapprove all non - judicial both) is required. The constitution of Brazil canforms of control over the actions of member be changed by a two- thirds majority in the na-states as incompatible with the autonomy which tional legislature, as can the recent constitutionsshould characterize the federal type of decen- 176 Encyclopaedia of the Social Sciences tralization. There were exceptions in the United The allocation of representation in federal States from the outset, of course, but they chiefly`legislatures has been the subject of much con- involved Congress, as in the consent requiredtroversy and varying practise. The necessity of for the levying of tonnage duties by the states,bicameralism has been urged on the ground and were relatively unimportant. The constitu-that for self- defensive purposes the member tion of Canada mildly challenged the theory bystates should be allowed to participate on an providing for the central appointment of theequal footing in the law making process and titular heads of the provinces accompanied bythat to constitute a single chambered legislature a real although seldom used power of disallow-on this basis might result in dissolving the union ance. The form of executive control known ininto something like a confederation. This theory Argentina and Brazil as federal intervention maywas exemplified in the United States, in the be dismissed, at least when chronic, as belonging federalized countries of Latin America, in Aus- to the pathology of federalism. It would betralia and in Switzerland. It is more applicable empty pedantry, however, to rule out as incon- to the formation of the federal states, however, sistent with federal ideals the numerous formsthan to their operation. Bicameralism by open- of direct legislative and administrative control ing the way for equal representation undoubt- over the actions of member states which haveedly facilitates compromises which may be in- been provided in the federal constitutions of thedispensable in allaying opposition to union. continent. Such forms of control have been en-Subsequently in the face of a party system and gendered partly by reliance upon indirect fed-especially where members of the upper house eral administration, which can no longer be are directly elected the constituent states are not regarded as a sign of imperfect federalism. Be-represented as such. The interests of the states yond that, however, they reflect the seeminglyas governmental entities are more likely to be inevitable tendency to bring about union, if notefficiently reflected in a body to which repre- unity, within every broad field of governmentalsentatives are sent by the state administrations. concern. This tendency is more than nationSuch was the former German Bundesrat; such, wide; it has already given rise to a congeries ofon a vastly reduced scale, is the present Reichs- international administrative unions. In weavingrat, although confined to recommendations and relationships across geographical divisions thethe carefully guarded exercise of a suspensory tendency in question is distantly related to so-veto. There is probably growing need in all called economic federalism; but, regardless offederal systems for consultation with state au- the use that various forms of the latter may thorities, but the mechanisms of association and presently serve in facilitating the devolution ofconference are not dependent on bicameralism. vexing problems of control and the interest thatTo say this is not to belittle the political utility it holds as part of a scheme of social reconstruc- of a device like the Council of Nationalities in tion, it does not appear now as a substitute forthe binary structure of the Central Executive territorial federation. In systems like that of the Committee and the presidium of the Union of United States arrangements akin to indirectSocialist Soviet Republics. It is a conclusion, federal administration are being realized in nu-furthermore, which leaves unsolved the under- merous ways. It would miss the essence of the lying problem that inheres in any gross disparity new relationships to say that they are an attempt in the strength of the component parts of a to enlist the state governments as agents offederal union, such as in the relation of Prussia to Congress, for national administration will bethe other states of Germany or the city of found as frequently to serve as agent of theBuenos Aires to the rest of Argentina. Little is states. By such means, federal systems -com- gained by protesting that the spirit of federalism pelled (as are all forms of government) to recon-is violated where federal organization at least cile the claims of localism and functionalism-tempers a natural hegemony; and much may be are contending practically with the difficultieslost by pushing too far an unreal principle of which constitute, more than does embarrass- mathematical equality. ment in external relations, the weakness of this When applied internationally the verbiage of type of organization: lack of uniformity, dupli-federation although instinct with noble prom- cation, imperfect stimulation and grave impedi- ises isstill used with little reference to the ments in equalizing the services of government meanings it has acquired in the experience of in the face of an uneven distribution of taxable modern states. The proposal for which such or- wealth. ganizations as the Union paneuropéenne have Federation 177 variously agitated, which Briand brought intofederations" of the railroad shop crafts) this official view in an address on September 5, 1929, sense of the term federation is less familiar in and which was tentatively sketched in a seriesthe United States than in Great Britain. It is of questions sent in the following May to theperhaps significant of tendencies inherent in European members of the League of Nations,federal organization that the American Federa- mentioned a lien fédéral, urged that the politicaltion of Labor, which at the outset was little aspects of the European complex should bemore than the legislative agent of a group of emphasized as a prerequisite to economic ad-unions retaining complete freedom of economic justments and indicated the need of a central action, has assumed an increasingly active role committee and other machinery. Begging the in defining the jurisdiction of its members. Fed- question of the bearing on French policy of thiserations, once begun, must struggle endlessly particular embodiment of a prevalent idea (suchfor the order entailed by balance. as its possible use as a foil to the scheme of a ARTHUR W. MACMAHON German- Austrian customs union), it suggested See: FEDERALISM; AUTONOMY; REGIONALISM; LOCAL- that fuller federation may be approached by ISM; DECENTRALIZATION ; CENTRALIZATION; ADMINIS, treaty woven tissues of confederation, integrating TRATIVE AREAS; HOME RULE; GOVERNMENT; CONSTI- regionally the pronounced economic pluralism TUTIONS; AMENDMENTS, CONSTITUTIONAL; SOVER- EIGNTY; CONCURRENT POWERS; JUDICIAL REVIEW; of the contemporary world. STATES' RIGHTS; BICAMERAL SYSTEM; UNIFORM LEG- In the almost limitless, incoherent and fluent ISLATION; FULL FAITH AND CREDIT CLAUSE; COM- fields of voluntary association the term federa- PACTS, INTERSTATE; GRANTS IN Am; ARTICLES OF tion has been used with excusable looseness. It CONFEDERATION; CENTRAL AMERICAN FEDERATION; is often merely a catchword, but its prevalence AMERICAN FEDERATION OF LABOR; LABOR MOVEMENT. is significant, for it suggests how universal is the Consult: Freeman, E. A., History of Federal Govern- human need of solving the riddle of many inment in Greece and Italy (2nd ed. by J. B. Bury, form (which London 1893); Brie, Siegfried, Der Bundesstaat (Leip- one and one in many. The federal sic1874); Dubois, Marcel, Les ligues étolienne et in such instances is usually better described as aachienne (Paris 1885); LeFur, Louis, Etat fédéral et confederation) lends itself admirably to the pur- confédération d'états (Paris 1896); Clarke, M. V., The poses of offense and defense, such ascarrying Medieval City State (London 1926); The Federalist: a Commentary on the Constitution of the United States, on advertising, promoting legislation or con- by Alexander Hamilton, James Madison, and John Jay, ducting litigation -purposes which bear a dis-ed. by P. L. Ford (New York 1898); Bryce, James, tant analogy to the cooperative diplomacy and The American Commonwealth, z vols. (new ed. New war or the propitiatory religiousrites conducted York 191o) vol. i, chs. xxix -xxx, and Modern Democ- jointly by early unions of tribes or communities.racies, 2 vols. (New York 1921); Burgess, J. W., Po- litical Science and Comparative Constitutional Law, The objectives of composite organization, how- 2 vols. (Boston 1890 -91); Fleiner, Fritz, Schweize- ever, are frequently more complexadministra- risches Bundesstaatsrecht (Tübingen 1923); Dicey, A. tively, more difficult or more vexing from the V., Introduction to the Study of the Law of the Con- standpoint of balancing the competing claims ofstitution (8th ed. London 1915) p. lxxiii -xci, 134 -76, the parts. Federated charities, for example, ex- 476 -80; Dewey, A. G., The Dominions and Diplomacy, 2 vols. (London 1929); Canaway, A. P., The Failure perienced little difficulty in maintaining clearingof Federalism in Australia (London 193o); Goodnow, house relations which facilitated specializationF. J., Principles of Constitutional Government (New in case work; but the recent development of theYork 1916) chs. ii, v -vii; Fisher, H. A. L., Political method of financing semipublic undertakings Unions (Oxford 1911); Ebers, G. J., Die Lehre vom Staatenbunde (Breslau 191o); Emerson, Rupert, State through so- called community chests has in- and Sovereignty in Modern Germany (New Haven creased the dependence of the member organi-1928); Mattem, Johannes, Principles of the Constitu- zations upon the energy of central committees tional Jurisprudence of the German National Republic and has raised difficult problems in the allot- (Baltimore 1928) p. 157 -360; Jellinek, Georg, Die Lehre von den Staatenverbindungen (Berlin 1882), and ment of funds. Allgemeine Staatslehre (3rd ed. Berlin 1954); Jacobi, Federation has been an obvious instrument of Erwin, Einheitsstaat oder Bundesstaat (Leipsic 1919); craft unionism and where labor organization has Laski, H. J., A Grammar of Politics (New Haven 1925) followed more industrial lines autonomous tend- p. 241-91,306-II, and Studies in the Problemof Sov- encies have usually been strengthened by philos-ereignty (New Haven 1917) p. 267 -76; Maclver, R. M., The Modern State (Oxford 1926) p. 390 -95; ophies impregnated with economic federalism. Sidgwick, Henry, The Elements of Politics (2nd ed. The effective conduct of collective bargaining London 1897) p. 2°8-26,505-25; Willoughby, W. W., has required regional federation on both sides, The Fundamental Concepts of Public Law (New York although (with some exceptions like the "system 5924) p. 183 -281; Nawiasky, Hans, Der Bundesstaat 178 Encyclopaedia of the Social Sciences alsRechtsbegriff (Tübingen192o); Paul -Boncour, demned by the American bar. The practise has Joseph, Le fédéralisme économique (2nd ed. Paris 5905); been dubbed unethical because it was thought Herriot, Édouard, Europe (Paris 5930), tr. by R. J. Dingle as The United States of Europe (New York to savor of champerty (i.e. the purchase of liti- 5930); Stoke, H. W., The Foreign Relations of thegation) and because it seemed to be a method Federal State (Baltimore 1931). whereby less competent lawyers might obtain practise despite their lack of qualifications. FEE SPLITTING, or the sharing of fees forWithin recent years, however, the bar's con- professional services, is a widely prevalent prac-demnation has generally faded into mild disap- tise. Its essence is the payment of a commissionproval, and the practise does not now present a for the reference of work. The practice has been contentious issue. At the present time it is only most common among lawyers and medical men,the splitting of fees with laymen that is strongly but has also prevailed to some extent in otherdenounced by bar associations. Fee splitting of fields, such as the dental and engineering pro-this type commonly occurs when a collection fessions. Fee splitting is to be found even amongagency refers a case to a lawyer. Under these clergymen in the form of the "marrying parson"conditions the lawyer who splits his fee is not who pays a commission to marriage license offi-only paying for business but is in effect employ- cials or taxicab drivers who send or bring toing the agency to solicit business for him, when him couples desiring to be married. by the canons of legal ethics he is not permitted Fee splitting within the professions is of rela-to do so for himself. The division of fees with tively recent origin. In the main the practiselaymen has occasionally led to intolerable abuses, has followed the development of professionalas in ambulance chasing. Fee splitting of this specialization. The fact, for instance, that den-type has been held illegal in various states under tists do not split fees as frequently as do physi-the general powers of the courts to disbar for cians is not because of their moral superiorityprofessional misconduct. In addition many states but because occasions to refer dental cases are have passed penal legislation specifically aimed rarer. A great deal of fee splitting also arisesat the practise. from the frequent dependence of professional Fee splitting among physicians is of relatively men upon equipment or supply houses or otherrecent origin; it was infrequent before the twenti- agencies of technological assistance. Opticians,eth century. The practise is prevalent in France, druggists, laboratories, sanitaria and applianceGermany and some other European countries; manufacturers frequently make it profitable toin Paris it is said to be almost universal. The physicians to send them business. Engineersexact extent to which it prevails in the United split with contractors. The growth of fee split- States is not known; very rare in certain sections, ting gives some indication of the extent to whichitis very common in other sections, as was the professions have adopted business methodsshown by an extensive investigation made by and become pecuniarily minded, for in business the Judicial Council of the American Medical the giving of commissions has been of longAssociation in 1913. To the question whether standing. fee splitting was justifiable 77.3 percent of those Fee splitting has become very prevalent inanswering the council's questionnaire replied in the loosely organized and theoretically unspe-the negative, 13.4 percent in the affirmative and cialized American bar. The division of fees -9.3 percent were doubtful. It is everywhere con- usually two thirds to the receiver and one thirdceded that since then the practise has increased. to the forwarder or referrer -is an accepted The most frequent type of fee splitting in practise. If one law firm refers a client whomedicine is the division of the surgeon's fee for wishes counsel relative to income tax matters toan operation with the practitioner who referred another law firm which specializes in this work,the case. Since this violates the ethical code of the latter usually sends the former one third ofthe profession and is in some places illegal, it the fee. A lawyer in one state often sends ausually takes place underhandedly, and care is collection case to a lawyer in another state andexercised to see that no evidence of the trans- frequently receives a portion of the fee. Theaction exists. Occasionally subterfuges are em- division of the fee in this instance is even moreployed; for example, a surgeon will ask the common than in the former. referring practitioner to act as his assistant dur- Fee splitting, except in so far as the divisioning the operation. Important economic factors was based upon a sharing of professional respon-seem to make fee splitting of this kind almost sibility or of legal services, has often been con-inevitable under present conditions. The general Federation-Feijóo y Montenegro 179 practitioner with a patient requiring an appen-practise and the socialization of medicine have dectomy controls a piece of business worth also been advanced as solutions of the problem. several hundred dollars. With surgeons com- Legislation to prohibit fee splitting in medical peting for work there is every temptation for thepractise has been passed in twelve states: Iowa, one to exact and the other to offer a commission.Kansas, Kentucky, Michigan, Minnesota, South Another factor is the relative overvaluation ofDakota, Tennessee, Virginia, West Virginia, specialists' services; a general practitioner mayWisconsin and Washington. The statutes of receive five, ten or twenty dollars for diagnosingVirginia and Wisconsin prohibit fee splitting a case of appendicitis, while the surgeon will"between physicians and surgeons," so that pre- receive a fee ten or twenty times as large for asumably they would not apply to splitting with relatively simple and mechanical operation. Feelaymen. The South Dakota statute only makes splitting undoubtedly tends to encourage thethe "giving" of the part of the fee unlawful. Six performance of unnecessary operations and in-of the statutes, those of Iowa, Kansas, Kentucky, creases the number of unnecessary consulta-Nebraska, Tennessee and West Virginia, make tions, laboratory tests and other medical services.the fee splitting unlawful only when done with- One of its worst features is the inducement toout either the knowledge or consent of the auction off the patient to the highest bidder,patient. Revocation of license is provided in all who may be the most poorly qualified, a course states but in some it is compulsory only after the of action which violates the trust which a patientsecond conviction. puts in his physician. Because of the lack of Louis S. REED legal control over the specialties and the absence See: PROFESSIONAL ETHICS; PROFESSIONS; SPECIALIZA- of satisfactory postgraduate facilities, many in- TION; LEGAL PROFESSION; MEDICINE. competent, unqualified specialists are now in Consult: Cohen, J. H., The Law; Business or Profes- practise, and these men gain work through fee sion? (rev, ed. New York 1924) ch. xvi; Baldwin, J. F., splitting which they would not be able to obtain"The Scandal of Fee - Splitting by Physicians" in under other conditions. Undoubtedly fee split-Current History, vol. xxx (5929) 1019 -23; "Should ting tends to increase the cost of medical service Doctors Split Fees ?" in Medical Journal and Record, vol. cxxvi (1927) Nov. 16, p. 7 -23, Dec. 7, p. 7 -23, to the public. Dec. 25, p. 7 -25; Golub, J. J., "The Problem of Fee The question of fee splitting engenders much Splitting" in Medical Journal and Record, vol. cxxviii emotional heat among physicians. Specialists (1928) 221 -22; Taeusch, C. F., Professional and Busi- who refuse to divide fees and see inferior men ness Ethics (New York 1926) p. 233-45. waxing fat by so doing are not able to view the matter with Olympian detachment. Similarly,FEIJÓO Y MONTENEGRO, BENITO JE- the general practitioner who again and again hasRÓNIMO (1676 -1764), Spanish scholar. Feijóo refused a handsome bonus has definite viewsbecame a member of the Benedictine order at about the odiousness of the practise. The pres-an early age and spent most of his life as a ent situation makes for hypocrisy and demorali- teacher at the University of Oviedo. Ile achieved zation. Few men will admit publicly that theyfame as a prolific writer on the most diverse split fees, yet many of those who in the meetingssubjects and in spite of his obvious defects and of their societies rant most furiously against thesuperficiality possessed an erudition difficult to evil split fees in private. Certainly few men havesurpass. A representative figure of his period, been expelled from medical associations for feeFeij óo devoted his critical faculties to fighting splitting. vigorously against the prevailing ignorance and In view of the failure of attempts to stop feesuperstition and against national and social prej- splitting it has been proposed that the best wayudices. He introduced to his countrymen the to resolve present difficulties is to legitimize therationalist ideas of the eighteenth century and practise and to standardize the division of thestrove to bring Spain into the contemporary fees. This would undoubtedly clear the atmos-cultural movement which had begun in France. phere and would reduce and perhaps stop theHe was frequently attacked by the traditional- tendency to send work to poorly qualified orists, who accused him of being dominated by incompetent men simply because they offer aforeign ideas and reproached him particularly split or a higher split, but it would still leavefor his Gallicisms. He was supported, however, untouched such objections as that the practiseby King Ferdinand vI. increases the cost of medical service and en- His series of essays entitled Teatro crítico uni- courages unnecessary surgery. Group medicalversal (9 vols., Madrid 1726 -41; new ed. 1781; 18o Encyclopaedia of the Social Sciences selective ed. by A. Millares Carlo, 3 vols., 1923-were organized but failed because of govern- 25) and Cartas eruditas (5 vols., Madrid 1742 -ment opposition to private enterprise of such 6o; new ed. 1781; selective ed. by A. Millaresnature. A follower of physiocratie theories, Fel- Carlo, I vol., 5928) deal with mathematics, thelenberg regarded farming as the center of econ- various sciences, philosophy, theology, history, omy and education; he introduced the English literature and aesthetics. Feij 6o 's rationalism wasfour and eight -field system, organized agricul- limited by his religious convictions, which oftentural exhibitions and improved farm implements. prevented him from carrying his ideas to their Fellenberg was not an original thinker. He logical conclusion in his critical works. In hiswas the product of such influences as Rous- philosophy he was greatly influenced by theseau's Émile, Gregoire's Paris lectures on edu- doctrines of Bacon and Newton and especiallycation, Kantian philosophy, Pestalozzi's educa- by those of Vives, whose educational ideas in-tional methods, which he did not quite grasp, spired him to advocate a number of educationalRochow's attempts to link education with agri- reforms. Through his writings he was instru-culture, Thaer's agricultural writings, but above mental in awakening the interest of the Spanishall of his parents' humanitarian cosmopolitan- people in scientific study and in the inductiveism. He was typical of the Enlightenment with method in teaching. its hope for a rebirth of humanity through the JOSÉ OTS Y CAPDEQUI systematic education of a new species of man. Works: Obras completas, 33 vols. (Madrid 178o). Being a forceful personality and a brilliant or- ganizer, he was able to build up his institutions Consult: Fuente, Vicente de la, "Preliminares" to Feijóo's Obras escogidas, Biblioteca de Autores Es- with the aid of skilled teachers, but after his pañoles, vol. lvi (Madrid 1863) p. v -xliv; Millares death his work fell to pieces. Nevertheless, he Carlo, Agustín, "Prólogo" to his edition of Teatro had international influence. Children of wealthy crítico universal, vol.i,p. 5-59; Castro, Américo, families from all countries came to Hofwyl, and Lengua, enseñanza y literatura (esbozos) (Madrid 1924) p. 281 -334; Pérez de Ayala, Ramón, Política y toros his system of combined farm work and educa- (Madrid 19,8) p. 38-59. tion was copied widely in both Europe and America. FELLENBERG, PHILLIP EMANUEL VON ROBERT REIGBERT (1771- 1844), Swiss educator. Fellenberg was the Works: Darstellung der Armen -Erziehungs -Anstalt in son of a successful jurist of noble family. After Hofwyl (Aarau 1813); Landwirthschaftliche Blätter von a short political career, during whichhe tried Hofwyl, 5 vols. (Aarau 1808 -17), a magazine largely to rally the peasantry against invading French written by Fellenberg. Consult: Hamm, W., Emanuel Fellenbergs Leben and revolutionary forces, he turned to educational Wirken (Berne 1845); Hunziker, Otto, Pestalozzi and work. He planned to create an educational re- Fellenberg (Langensalza 1879); Woodbridge, W. C., public, a closely coordinated combination of"Sketches of Hofwyl," reprinted as appendix to educational institutions which would be a model Letters from Hofwyl, by a Parent (London 1842) p. for a complete national or even universal edu- 223 -372. cational system. This was to include schools for boys and girls of various ages and all classes,FELLOW SERVANT DOCTRINE. See EM- with their focal point in a model farm on his PLOYERS' LIABILITY. estate, Hofwyl, near Berne. The grouping of institutions was to develop a common nationalFELS, JOSEPH (1853- 1914), single taxer. Fels and international consciousness through earlywas a successful Philadelphia soap manufacturer interclass contact, and each class was to bewho devoted his later years to land reform. Be- trained for useful pursuits by productive laborginning near home with vacant lot gardening he at school. A charity agricultural school was es-went on in England to costly experiments in tablished in 1804; Pestalozzi was for a short timefarm colonies for unemployed and small hold- associated with it, and from 18ío to 1833 it wasings for men of small capital. Finding that every directed by J. J. Wehrli. Another charity schoolimprovement in his own men's holdings drove trained handicraftsmen. There were also a voca-up the price of adjacent land and madefurther tional school for the urban bourgeoisie and aexpansion more costly, he concentrated his literary and scientific school for upper classefforts upon what he had long believed in children, which was for a while combined withtheoretically, the taxation of unimproved land a higher agricultural institute. Normal coursesvalues. to train public school teachers in his methods In 2905 Fels proclaimed himself a follower of Feijóo y Montenegro-Fénelon I81 Henry George. "The great God -denying crimedivine right of kings. Moreover, being a great of society," he wrote, "is [that] men are permit- admirer of antiquity, particularly of the Greeks, ted to put into their pockets... the community -and a man whose political, ethical and aesthetic made values of land." Increasingly he spoke,notions were intimately interwoven, he was wrote, traveled, lobbied and interviewed for thehaunted by the idea of a return to the simple single tax. In 1909 he established a foundationforms of primitive life, to the world of Télémaque. for single tax propaganda in America, the JosephThe point at which he coalesced with the phi- Fels Fund Commission, and he gave generouslylosophes lay in his antipathy to the system of to the movement in other countries. Fels' im-Louis xIV and in the practical policies which he mediate aim, to put the single tax into effectadvocated as a reaction from that system. Be- somewhere as an object lesson, failed, but hissides Télémaque, the famous pedagogical novel efforts transformed the movement for a timewhich he wrote for the purpose of instructing from a relatively academic to an active one. the duke of Burgundy in the ethics of governing, Fels was also an active supporter of the Jew-his political ideas are contained principally in ish Territorial Organization, hoping to test hisTables de Chaumes, which represents a summary economic theories in the Jewish pioneer colonyof his conversations with the duke of Chevreuse which it planned to establish. in 1711, Dialogues des morts, L'examen de con- DOROTHY W. DOUGLAS science sur les devoirs de royauté and An Essay Consult: Fels, Mary,, oseph Fels: His Life -Work (New upon Civil Government, which is a report of his York 1916);Zangwill,Israel,"Joseph Fels" inconversations with the Old Pretender committed Fortnightly Review, vol. cxiii (192e) 918 -29. to writing by the Scot Ramsay (London 1732). In these works he reveals himself to be an aris- FÉNELON, FRANÇOIS DE SALIGNACtocrat by tradition and a friend of the humble DE LA MOTHE (1651 -1715), French prelate,by sentiment. The government he depicts is a author of numerous political, pedagogical andmonarchy sharing its powers with the nobility, theological works. A member of an old andloving peace no less than Louis xIV loved war, noble family of Quercy, Fénelon took orderspractising economy, solicitous for the public immediately upon leaving Saint -Sulpice in 1675welfare, hostile not only to luxury but (once and in 1689 was appointed tutor to the duke ofmore in reaction from Louis xiv and Colbert) Burgundy, grandson of Louis xiv. The highto industry. (For further elaboration of Féne- position which he thereafter enjoyed at thelon's political views, see volume I, Introduc- French court was, however, forfeited as a result tion I, RISE OF LIBERALISM, p. I17.) of his support of Madame Guyon's mystical In pedagogy Fénelon's theories represent a religious doctrines, known as quietism, and offoreshadowing of Rousseau. They are most his impassioned controversy with Bossuet onclearly presented in a pioneer treatise on female the subject. In 1697, two years before the papaleducation, Traité de l'éducation des filles, which court formally condemned his position, he wasFénelon wrote for the duchess of Beauvillier in ordered by Louis xiv to retire to the diocese of1681, several years before the foundation of Cambrai, of which he had been appointed bishopSaint -Cyr. In the age of the précieuses ridicules in 1694. There he remained in virtual exile foron the one hand and of the utterly uninstructed the rest of his life. But the ascendant influencewoman on the other Fénelon presented the idea which he had exercised over his pupil persisted;that women should be educated for the role they and in the hope that Burgundy would some dayare to play in the family and in society. Their occupy the throne he continued to work outeducation should therefore be pleasurable, con- what he conceived to be the principles of justcrete and aesthetic; Fénelon assigned an impor- government. His plans were forestalled by thetant place to drawing and object lessons. He death of the duke in 1712. insisted that education should develop rather Fénelon's influence upon subsequent Frenchthan repress nature. No less characteristic than thought was tremendous. The philosophes of thehis emphasis upon nature was his conviction eighteenth century saw in him a precursor ofthat education must be subordinated to a lofty their own political ideas. In taking such a viewChristian ideal. It was this last principle espe- they credited him with a religious tolerancecially which was his guide throughout his tutor- which he hardly possessed and ignored the re-ship. actionary framework upon which his ideas were Fénelon's religious doctrines, centering about hung. No less than Bossuet he subscribed to thethe idea that effusions of pure love for the divinity 182 Encyclopaedia of the Social Sciences rather than solicitude for personal salvation con-Age of Reason, ed. by F. J. C. Hearnshaw (London stitute the essence of faith, were submerged in 1930) p. 7o-io3; Lote, René, "De Fénelon à Rous- seau ou les origines du rêve humanitaire" in Revue the immediately succeeding generations by an hebdomadaire, Année xxvii, vol. vii (1918) 6o -97. official Catholicism which echoed the voice of Bossuet and by the prevalent antireligious senti-FENIANS. See IRISH PROBLEM. ment. Nevertheless, despite a certain lack of clarity in his doctrines the vitality which theyFÉNYES, ELEK (ALEXIS) CSOKAJI (1807- have retained has been largely responsible for76), Hungarian statistician and geographer. the persistence of the mystical current in FrenchFényes' work not only served as the foundation thought. The religious renaissance under Rous-for subsequent statistical, economic and geo- seau and Chateaubriand had indeed been silentlygraphic studies of Hungary but was a unique prepared by the condemned quietism of Féne-contribution to the cause of Hungarian national- lon. In estimating the extent to which Fénelonism both prior to and after the struggle of 1848. anticipated later thought or movements hisBecause of the fact that Hungary's fiscal, eco- views on history must not be overlooked. Thenomic, educational and military affairs were di- Lettre it l'Académie Française, which be designed rected from Vienna by the imperial Austrian chiefly as a vehicle for his aesthetic ideas, de-government Hungarian national leaders lacked velops the theory that the materials of historythe information necessary for the achievement are to be found in social and political institu-of their ideals of independence and for social tions, in customs and in manners. At onceand economic reform. This Fényes supplied in positive, philosophic and dramatic, his concep-his many descriptive and statistical works on the tion recalls Michelet. economic and social resources of Hungary. Be- RENF, HUBERT ginning with the only source available, the fig- Works: Télémaque, first published as Suite du qua- ures for 183o for those counties which for cen- trième livre de "l'Odyssée" d'Homère, ou les aventures turies had enjoyed local autonomy, Fényes with de Télémaque, fils d'Ulysse (Paris 1699, rev. ed. 1911), great resourcefulness turned for valuable sup- tr. by John Hawkesworth, 2 vols. (Paris 1836); Tables plementary material to the communal registers de Chaulnes, first published as Lettres inédites à laof the Roman Catholic dioceses. He was able to duchesse de Chevreuse et au duc de Chevreuse ... (Paris 5904?); Dialogues des morts, first published as show how imperfect were any conclusions as to Dialogues divers entre les cardinaux Richelieu et Maza- national origins drawn on the basis of religious rin et autres (Cologne 1700, new ed. Paris 1883),affiliations and he compiled probably the first English translation, 2 vols. (London 1776); L'examen occupational and industrial statistics available. de conscience ... , first published as Directions pour His first work, published in six volumes from la conscience des rois et princes souverains (The Hague 1747, new ed. Paris 1888), tr. as Proper Heads of5836 to 184o, received the recognition of the Self- Examination for a King (London x747); Educa- Hungarian Academy of Sciences, and upon the tion des filles (Paris 1687, 8th ed. 5902), tr. by G.formation of the Hungarian ministry of 1848 -49 Hickes (3rd ed. London 1713); Lettre à l'Académie, he was entrusted with the task of organizing a first published as .Réflexions sur ... les travaux de l'Académie française (Paris 1716, new ed. 1899), tr. by central statistical bureau. The defeat of the revo- W. Stevenson as Dialogues on Eloquence ... with His lution forced him to retire from public life, and Letter ... (new ed. London 1808). The most recentalthough barred thereafter from new sources he edition of Fénelon's complete works is Oeuvres corn - used his original data for several additional stud- plètes,io vols. (Paris 1848 -52); a selection of hisies, showing among other things the defects of political writings has been edited by Charles Urbain (Paris 1920). official Austrian statistics. His geographical dic- tionary, published in four volumes in 1851, re- Consult: Janet, P. A. R., Fénelon (Paris 5892), tr. by V. Leuliette (London 1914); Delplanque, Albert, La mained for decades the most complete of its type. pensée de Fénelon (Paris 5930), and Fénelon et ses amis In both structure and content Fényes' works (Paris 191o); Crouslé, Léon, Fénelon et Bossuet, 2 reflect the influence of the Achenwall school, vols.(Paris1894 -95); Chérel, Albert, Fénelon au with its emphasis on all inclusive descriptive xvzrre siècle en France O715-1820), son prestige, son influence (Paris 1917); Tréca, Les doctrines et les ré-material to be used as the basis for the formula- formes de droit public en réaction contre l'absolutismetion of national policy. Nevertheless, he stressed de Louis xIv (Paris 1909); Gidel, Gilbert, La politique the development of statisticsasa separate de Fénelon (Paris 1906); Sée, Henri, "Les idées poli- science. tiques de Fénelon" in Revue d'histoire moderne et ALEXANDER KRISZTICS contemporaine, vol. i (1899 -1900) 545 -65; Lemaitre, Jules, Fénelon (Paris 19co); Jones, R. A., in Social and Consult: Keleti, Károly, Fényes Elek emlékezete (Buda- Political Ideas of Some Great French Thinkers of thepest 1878), containing complete bibliography of Fén- Fénelon--Ferdinand V and Isabella 183 yes' works; Kovács, Aloyse, "Activité statistique royal domination. A thoroughly centralized gov- d'Alexis Fényes, Magyar statisztikai Társaság" inernment was organized, resulting in an exces- Société Hongroise de Statistique, Revue, vol. ii (1924) sively bureaucratic system at the head of which 57-69. were the supreme councils and the secretaries; FERDINAND V and ISABELLA, Spanishthe latter and the councilors were generally rulers. The marriage of Isabella of Castile (1451-educated men of the middle class. The economic 1504) and Ferdinand of Aragon (1452 -1516)policy which was introduced was strongly pro- took place in 1469. Five years later Isabella suc-tective and favored commerce, industry and ceeded to the throne of Castile and in 1479 hercattle raising rather than agriculture. husband became king of Aragon. The existence The initiation of a policy of religious intoler- of a personal union between the sovereigns, how- ance brought about the expulsion of theJews ever, did not bring with it the politicalunifica-in 1492 and of the Moors in 1502, while the tion of their states. Castile as well as Aragonconverts suspected of heresy were persecuted by maintained its independent organs of govern-the Inquisition. The international authority of ment, and the subjects of each kingdom re-the pope was respected in the matter of the line garded those of the other as foreigners. This at-of demarcation separating the Spanish and Por- titude persisted even in regard to the newly dis-tuguese possessions. Within Spain, however, the covered American territories, which were po-prerogatives of the crown were strictly upheld litically united with the crown of Castile. Afteragainst the claims of the church. Isabella's death in 1504 the separation between Royal policy was favorable to the contempo- the two states became even more patent, al-rary intellectual renaissance, which wasdistin- though from 1507 until he died Ferdinand wasguished particularly by the cultivation of hu- regent of Castile. The dynastic union was ac-manism. During Ferdinand's reign Jiménez de cordingly not consolidated until the reign ofCisneros founded the University of Alcalá de Charles I, the grandson and successor of IsabellaHenares. and Ferdinand; even then the internal political In their foreign policy Ferdinand and Isabella organization as well as the intellectual life of thesuccessfully followed the traditional anti- French two states remained distinct. policy of Castile and Aragon. Aragon strength- Despite the lack of union between the twoened her hegemony over the Mediterranean by kingdoms, however, the marriage of Ferdinanddefeating the French in Italy. Granada was and Isabella created important political changes.taken by Castile in 1491. The plan of the sover- It formed the solid basis for a new typeof stateeigns to unite the Spanish peninsula through which permitted the king to realize his imperi-the marriages of their children failed, however. alistic ambitions. These found their legal back-Portugal maintained its independence, and Fer- ing in the doctrines derived from the Romandinand did not succeed in conquering Navarre law, which at that time carried great weightuntil the end of his reign. During the reign new throughout civilized Europe. Spain was thus theenterprises were undertaken of a scope hitherto first country in Europe to evolve into a nationalundreamed of; such was the discovery and colo- state, and it soon developedfrom a poor andnization of America. The sovereignty of Castile backward mediaeval country into the leadingwas firmly established inthe Canary Islands European power. and the north African cities were forced to ac- In Spanish history the rule of Ferdinand andcept Spanish dominion. Isabella represents the transition from the Mid- All the virtues as well as the defects of modern dle Ages to the modern period. The sovereignsSpain existed in embryonic form in the reign found themselves with a powerful instrument ofof the two monarchs. government and they employed it to itsfull Jost- OTS Y CAPDEQUI advantage. The keynote of their rule was theConsult: Prescott, W. H., History of the Reign of establishment of royal authority. This they ef- Ferdinand and Isabella, 3 vols. (rev. ed. Philadelphia fected by pacifying the country, by subduing 1873); Mariéjol, J. H., L'Espagne sous Ferdinand et the nobility and reducing their power and byIsabelle (Paris 1892); Ballesteros y Beretta, A., His - various administrative reforms. Absolutism be- toria de España y su influencia, vols. i -vi (Barcelona Municipal autonomy, 1918 -29) vol. iii, ch. v; Altamira y Crevea, R., Historia came firmly entrenched. de España y de la civilización española, 5 vols. (Barce- already on the decline in the late Middle Ages, lona 1900 -30), abridged translation by P. VoIkov, i was virtually destroyed.The Cortes was rarely vol. (London 1930) ch. vii; Desdevises du Dezart, G., convened and when it sat was definitely under "La politique de Ferdinand -le- catholique" in Revue 184 Encyclopaedia of the Social Sciences hispanique, vol. Ivi (1922) 285 -344; Plunket, I. L., generations and periods of history. To an ex- Isabel of Castil and the Making of the Spanish Nation (New York 1914); Hume, M. A. S., Queens of Oldamination of the evolutionary factors of conti- Spain (London 1906) bk. i. A full bibliography maynuity and of change he devotes his most pene- be found in Sánchez Alonso, B., Fuentes de la historiatratinganalysis, careful always to avoid any española e hispano -americana (2nd ed. Madrid 1927)suggestion of abstract progress as it had come to vol. ì, Q. 179 -90. be apotheosized by so many of his contempo- raries. FERGUSON, ADAM (1723 -1816), Scottish W. C. LEHMANN social philosopher. At the University of Edin-Important works: An Essay on the History of Civil burgh Ferguson occupied the chair of natural Society (Edinburgh 1767, 8th ed. Philadelphia 1819); philosophy from 1759 to 1764 and that ofPrinciples of Moral and Political Science, 2 vols. pneumatics and moral philosophy from 1764 to (Edinbugh 1792); The History of the Progress and Termination of the Roman Republic, 3 vols. (London 1785. His ability as a lecturer and his forceful 1783; new ed., 5 vols., Edinburgh 1813). and well organized restatement of certain re- Consult: Lehmann, W. C., Adam Ferguson and the cently formulated points of view gave him anBeginnings of Modern Sociology, Columbia University, outstanding position among the distinguished Studies in History, Economics and Public Law, no. Edinburghgroup,whichincluded Hume, 328 (New York 193o), bibliography p. 259 -62; Huth, Smith, Robertson and Stewart. His writingsHermann, "Soziale und individualistische Auffassung ... bei Adam Smith und Adam Ferguson" in Staats- although falling far short of an original, fully und sozialwissenschaftliche Forschungen (Leipsic 1907) rounded system led Gumplowicz to regard him vol. cxxv. as the first sociologist, the author of "the first natural history of human society." Ferguson'sFERNALD, WALTER ELMORE (1859-1924), chief significance perhaps is due to the promi-American psychiatrist and educator. Fernald nent part which he played in divorcing philos-was for thirty -seven years superintendent of the ophy from the prevailing rationalistic a prioriMassachusetts State School for the Feeble- approach and in substituting the inductive,minded. When he began his study of mental historicalmethod.Recognizingsubrationaldeficiency in 1887 little interest was shown in the drives as the mainsprings of human action hesubject by social workers and educators. Largely portrayed societal evolution as the aggregate ofbecause of the influenceof hisstatistical countless unpredictable forces which could notand interpretive studies legislation was enacted be reduced toaphilosophical system. Hisin Massachusetts and in other states establishing realistic mind, colored by Flume's skepticismadditional schools for the feebleminded and spe- and Montesquieu's sense of relativity, was im-cial provisions for the defective delinquent, pelled by an intensive if limited study of historymaking mandatory the establishment of special and anthropology to repudiate the orthodoxclasses for the mentally defective in the public contract theory as well as the quietistic implica-schools, requiring a census and registration of tions of the state of nature postulate. Passive en-the feebleminded, establishing clinics for the joyment of individual rights promotes dissen-examination of retarded school children, per- sion, active achievement union. "Man is bymitting parole of the feebleminded and initiating nature a member of society "; his emotions areinquiries on the mental status of prisoners. conditioned by the social environment in whichThrough his educational work Fernald showed his habits are formed. Self- realization in socialthat the feebleminded child may be educated to activity; restless striving after perfection, whichthe point of social usefulness when the tasks "consists ... in being an excellent part of thegiven him are graded in accordance with his system to which he belongs "; division of laborcapacity. Fernald's efforts to develop a suitable not only in industry but throughout the entirecurriculum led him to prepare the first program structure of society and the state; conflict infor the standardization of the teaching of manual commerce and war -these are the forces, thelabor according to the intellectual levels. Al- active principles, which make of society an in-though he used the Goddard and Terman revi- tegrated organism and which help to relate thesions of the Binet -Simon tests he was not con- individual and the species in an intimate func-vinced that psychological tests gave an accurate tional unity. This interrelation and unity Fer-.picture of the entire personality of the child. He guson finds not only in a cross section of a givenmaintained that for a satisfactory rating knowl- static society but also -with a sense of historicaledge is required of the child's family history, continuity akin to Burke's- between succeedingpersonal and developmental history, psychologi- Ferdinand V and Isabella.-Fernow 185 cal rating, school progress, his response to theof commodities, particularly agricultural, Fer- school test, his practical knowledge, economicnández Navarrete shared the prevailing mercan- efficiency, social history and traits, moral reac-tilist prepossession in favor of gold and silver. tions and general physical condition. His pro- EARL J. HAMILTON gram for state control of mental deficiency com- Consult: Colmeiro, Manuel, Biblioteca de economistas prised the identification, registration, education,españoles de los siglos xvi, xvii y xviii (new ed. supervision and segregation of mental defectives. Madrid 188o) p. 85; Rahola, F., Economistas españoles de los siglos xvi y xvii (Barcelona 1887) p. 48 -50; FRANKWOOD E. WILLIAMS "Advertencia sobre las obras del licenciado Pedro Important works: Waverly Researches in the Pathology Fernández Navarrete" in Biblioteca de autores espa- of the Feebleminded, ed. in collaboration with E. E. ñoles, vol. xxv (Madrid 1866) p. xix -xxi. Southard and Annie E. Taft; "Thirty Years' Progress in the Care of the Feeble- Minded" in Journal ofFERNOW, BERNHARD EDUARD (1851- Psycho -Asthenics, vol. xxix (1923 -24) 206 -19; "The 1923), American conservationist. Fernow was Feeble- Minded in the Community" in Social Aspects of Mental Hygiene (New Haven 1925) p. 109 -24. born and educated in Germany and served in Consult: Massachusetts, Department of Mental Dis-the Prussian forest service. In 1876 he came to eases, "Fernald Memorial Number," Bulletin,vol. xiv the United States, where about 1882 he assumed (193o) nos, i -ii; Wallace, George L., in Journal ofthe leadership of the incipient forestry move- Psycho- Asthenics, vol. xxx (1924 -25) 16-23. See alsoment. From 1886 to 1898 he was chief of the articles in Mental Hygiene, vol. ix (1925) 157 -61, and Division of Forestry in the United States De- in Journal of Nervous and Mental Diseases, vol. lxi (1925) 219 -22. partment of Agriculture. Subsequently he was occupied with the introduction of technical for- FERNÁNDEZ NAVARRETE, PEDRO, Span-estry education into the United States and Can- ish economist of the late sixteenth and the earlyada and with its administration. His educational seventeenth century. Fernández Navarrete wasand propagandistic activities and especially his chaplain of the court of Philip III and an officerdirection of the scientific work of the United of the Inquisition. In Conservación de monarquíasStates forest service in the interests of timber (Madrid 1626, 5th ed. 18o5), his chief work, he users won the support for conservationwhich amplified the remedies for economic decadencepermitted its elaboration into a political move- which Diego Corral y Arellano had formulatedment by Pinchot and Roosevelt. Fernow led the in 1618 at the request of the Council of Castile.forestry movement away from the sentimental- To replenish the population, depleted by colo-ism which failed to understand the historical nial emigration and the expulsion of religiousand utilitarian factors leading to the destructive dissenters, and to revive decadent agriculturework of the pioneer and which advocated the and languishing industry he advocated internallegal prohibition of the cutting of timber; he freedom of the grain trade, the exemption ofurged that concrete measures be undertaken to peasants' sales from legal maximum prices, re-guarantee a sustained supply of specifically use- wards for marriage, the immigration of foreignful woods to meet the increasing demand which Catholic artisans and technical schools for thehe anticipated. Restriction of the private oper- instruction of orphans in navigation and me-ator he held to be impractical because of unre- chanical trades. He opposed liberal education in strained competition, inadequate fire protection, rural districts, the extension of mortmain, theignorance of technical matters and American importation of foreign manufactures and thetradition, and he regarded the subsidizing of further expansion of the Spanish Empire. Heprivate enterprise as a demonstrated failure. He also disapproved of high taxes, extravagance inbelieved that the large amount of capital re- government, luxury in the royalhousehold, thequired and the necessarily long delay in return congregation of courtiers in Madrid and the in-made the practise of forestry suitable only to discriminate giving of alms. large corporations and to governments and that As an economic theorist Fernández Navarretegovernment activity should be largely fire pro- has little claim to distinction beyond his antici-tection, education and exemplary administration pation of the later mercantilist differentiation of its own timberlands. He is chiefly responsible between natural and artificial wealth. Althoughfor the basic forestry legislation of the United he recognized that the effect of specie importsStates, enacted in 1891 and 1897, which pro- upon prices obstructed theindefinite accumu-vided for the creation of forest reservations out lation of treasure and specifically stated that na-of lands in the public domain, for their protec- tional prosperity depended upon an abundancetion and administration and for the regulated 186 Encyclopaedia of the Social Sciences sale of timber Directly or indirectly he influ-Giornale degli economisti, znd ser., vol. xxii (19or) enced much forestry legislation of the American 323 -54; Battistella,Carlo, Francesco Ferrara nella states and of the Canadian dominion and prov- scienza e nella politica economica (Rome 1924); Bous- quet, G. H., "Un grand économiste italien, Francesco inces. Ferrara" in Revue d'histoire économique et sociale, vol. MAX LEVIN xiv (1926) 34.4 -77; Stefani, Alberto de, Gli scritti Important works: Economics of Forestry (New Yorkmonetari di Francesco Ferrara e di Ang. Messedaglia 1902); A Brief History of Forestry (New Haven 5907, (Verona 1908); Vecchio, Gustavo del, "Ritorni alla 3rd ed. Toronto 1913). teoria ferrariana del credito" in Economia politica contemporanea, vol. i (Padua 193o) p. 239 -50; Prato, Consult: Roth, Filibert, "Great Teacher of Forestry Giuseppe, "Francesco Ferrara a Torino" in Reale Retires" in American Forestry, vol. xxvi (1920) 209-Accademia delle Scienze di Torino, Memorie, 2nd 12, and articles on Fernow by F. Roth and others inser., vol. lxvi (1926) pt. ii, no. 2. Journal of Forestry, vol. xxi (1923) 305-48, with bib- liography; Cameron, Jenks, The Development of Gov- ernmental Forest Control in the United States (Balti- FERRARI, GIUSEPPE (i812 -76),Italian more 1928) p. 196 -214. social philosopher. Ferrari's doctrines evolved under the influence of Romagnosi's teaching, of FERRARA, FRANCESCO (1810 -1900), Ital-the study of Vico and of the friendship which ian economist. Ferrara was director of the Dire- he formed with Proudhon during his voluntary zione Centrale della Statistica de Sicilia andexile in France from 1837 to 1859. An un- founder of Giornale di statistica. He was acompromising skeptic in metaphysics, Ferrari political prisoner in 1848 and later collabo- followed Romagnosi in developing phenomenal-. rated in Cavour's Risorgimento. He was also chiefism. For him as for Romagnosi the intellect editor of the Biblioteca dell'economista (ser. i -ii,could serve effectively only sociological and 185o -68) and professor of economics at thehistorical problems; that is, the problems of University of Turin, member of Parliament,man in action. All of Ferrari's works were at minister of finance and senator in the Unitedonce doctrinal and controversial from his early Kingdom of Italy and director of the Scuola studies on Romagnosi (1835) and on Vico (1837) Superiore di Commercio in Venice. His theories through the minor writings on revolutions and are closely related to those of his contemporariesreforms to the more important volumes begin- Carey and Bastiat. Like Jevons later on Ferraraning with Filosofia della rivoluzione (2 vols., stressed the anti -Ricardian note, but his theoryLondon 1851; 2nd ed. Milan 1873). In the while more abstract than that of the EnglishFilosofia, which contains the most complete classical school is not inconsistent with it. He expositionof hisphilosophicalsystem, he recognized utility along with reproduction costshowed that while metaphysics is no more than as a determinant of value, reduced all concretea succession of antinomies, the life which dom- economic phenomena to value problems andinates these contradictions and the necessity of emphasized the unity of the economic system. liberty and equality are affirmed independently Pareto said of him: "Had he but given a mathe- of logic as natural revelations. But it is only by matical form to his reasonings, he would havestruggle that these can be carried over into law. achieved the exactness of the theories that haveStruggle will resolve the conflict between liberty, as their basis the consideration of ophelimity"which begets property, and equality, which ( Cours d'économie politique, z vols., Lausannepresupposes communism, by giving birth to the 1896 -97, vol. ii, p. tot). Ferrara's views had aagrarian law. Struggle will free Italy from the wide vogue in Italy and have recently begun topower of the Catholic church; it will realize the exert an international influence through theacme of attainable political liberty by uniting writings of Pantaleoni, Pareto and their follow-the Italian people into a republican federation. ers. Ferrara's prefaces to the issues of the Biblio-Ferrari's federalistic ideal of unification was set teca dell'economista have been incompletely col-forth at length in La federazione repubblicana lected as Esame storico- critico di economisti e(London 1851). In part a reflection of Prou- dottrine economiche del secolo xviii e prima metàdhonism and in part the result of his admiration del xix (4 vols., Rome 1889 -9o). for the constitution and religious freedom of the GUSTAVO DEL VECCHIO United States, it was also, as he thought, a de- duction from the teaching of all history, both Consult: Bertolini, Angelo, "La vita e il pensiero di Francesco Ferrara" in Giornale degli economisti, zndItalian and foreign. On the eve of the uprising of ser., vol. x (1895) 1 -58, with bibliography; Martello, 1859 Ferrari reiterated in his Histoire des révo- Tullio, "Commemorazione di Francesco Ferrara" in lutions d'Italie (4 vols., Paris 1858; tr. into Ital- Fernow-Ferreira Borges 187 ian, 3 vols., Milan 1870 -73) the idea that revolu-ics and law. He was the first to apply the sta- tion is rinascita and not distruzione. After re-tistical method to economic problems in Italy. turning to Italy in 1859 for the immediate pur-His economic works combine deductive and pose of combating Cavour's conception of unifi-statistical methods and deal principally with cation Ferrari became increasingly absorbed inmonetary problems. His works on bimetallism, the philosophy of history. The deterministicthe Latin Union, the production of precious view expressed in Histoire de la raison de l'étatmetals and the premium on gold are of great (Paris 186o) was systematically expounded invalue. His work on the -war indemnity levied Teoria dei periodi politici (Milan 1874). Here heupon France by Germany in 1871 exhibits an sought to demonstrate that successive principlesexcellent use of the inductive method as applied have been at work in history,eachsurviving for ato the study of the effects of international trans- "century" of one hundred twenty -five years andfer of capital on the balance of payments and passing through four phases: preparation, efflo-the rate of exchange of the countries concerned. rescence, reaction and dissolution. In a series ofIn a controversy with Professor Loria he wrote lectures delivered at the R. Istituto Lombardo dia scholarly volume on historical materialism, Scienza e Lettere in 1874 -75 (published in thein which with the aid of numerous historical Rendiconti of the Istituto, 2nd ser., vol. viii,facts he attacked the materialistic interpretation 1875, and vol. ix, 1876) he stated the principlesof history. Jurists appreciate the value of his of an "arithmetic of history." This mechaniza-studies on administrative law, principal among tion of history was the weakest part of his work,which are L'amministrazione locale in Italia as his theory of revolution when considered in(2 vols., Padua 1920) and the Diritto ammini- its bearing upon the Risorgimento was the moststrativo (Padua 1922 -23). Although his doc- significant. trines may have been somewhat superseded, RODOLFO MONDOLFO his works are still of importance because they Other works:Corso sugliscrittori politici italianifurnish a complete picture of the Italian ad- (Milan 186z); L'Italia dopo il colpo di stato del 2ministrative organization immediately preceding dicembre 1851 (Capolago 1852); La Chine et l'Europe the Fascist revolution. (Paris 1867, and ed. 1868). MARCO FANNO Consult: Mazzoleni, A., Giuseppe Ferrari (Milan 1877); Chief works: La rappresentanza delle minoranze nel Nicoli, P. F. G., La mente di Giuseppe Ferrari (Paviaparlamento (Turin 187o); Moneta e corso forzoso 1902); Gentile, G., Le origini della filosofia contem- (Milan 1879); Saggi di economia, statistica e scienza poranea in Italia, vols. ii -iii2 (Messina 1917 -23) vol. i, dell'amministrazione (Turin 188o); Principii di scienza p. I I -43; Ferri, L., Essai sur l'histoire de la philosophiebancaria (Milan 1892); Il materialismo storico e lo en Italie au dix -neuvième siècle, a vols. (Paris 1869) vol. stato (Palermo 1897, 2nd ed. 1897). ii,p. 229-49; Croce,B.,Storia della storiografia italiana nel secolo decimonono, 2 vols. (Bari 1921) vol. Consult: Gini, Corrado, "Commemorazione del Prof. ii, p. 115 -2o. Ferraris" in R. Istituto Veneto di Scienze, Lettere ed Arti, Atti, vol. lxxxiv, pt. i (1924 -25) 41 -61. FERRARIS, CARLO FRANCESCO (1850- 1924), Italian statistician, economist and jurist.FERREIRA, SILVESTRE PINHEIRO. See He was graduated from the University of Turin PINHEIRO FERREIRA, SILVESTRE. and completed his studies in economics in Germany and England. From Germany heFERREIRA BORGES, JOSÉ (1786- 1838), introduced into Italy the science of social ad-Portuguese economist and jurist. Ferreira Bor- ministration and in 1878 he occupied the firstges studied law at the University of Coimbra chair of this discipline in Italy at the University and was a practising attorney at Oporto from of Pavia. In 1885 he went to the University of18o8 until 182o. Subsequently he held several Padua, where he first taught statistics and later state offices, but in 1823 he was forced to emi- until his death administrative law. He was agrate because of his activities in the constitu- member of the Chamber of Deputies and in 1905 tionalist movement. He lived in London until became minister, in which capacity he made 1827 and again from 1828 to 1833. Upon his re- preparations for the transfer of Italian railwaysturn to Portugal in 1833 he was appointed chief from private to state operation. Later Ferrarisjudge of the Court of Commerce. He was the became a member of the Senate, where he wasauthor of the Codigo commercial portuguez of highly regarded for his competence in financial 1833, known as the Commercial Code of Ferreira matters. Borges and which served as the commercial law His scientific works are in statistics, econom- of the country for almost fifty -six years. 188 Encyclopaedia of the Social Sciences Ferreira Borges was also a very learned andthe possibility of readaptation to the environ- influential economist. His study of finance, en-ment and favored the application of correctives titled Principios de syntelologia (London 1831),to the delinquent. He propounded the doctrine was inspired by Parnell's writings and was theof penal substitutes, according to which the first systematic study of finance in Portugal. Itlegislator should supplement the repression of was divided into two parts, of which the firstcrimes with attempts at their prevention. As dealt with the theory of taxation, direct and in-professor of penal law in Rome and visiting direct taxes and other public revenues, publicprofessorinvarious European and South credit, public loans and the national budget; theAmerican universities, as author of La sociologia second part discussed public expenditure. Hiscriminale and as editor of the review Scuola Instituiç6es de economia politica (Lisbon 1834),positiva Ferri exercised a commanding influence although not the first Portuguese compendiumupon the criminology and legislation of Latin on the subject, was the best systematic work on Europe and South America, in the latter conti- economics published in Portugal at that time.nent particularly after his visit to Argentina, The various sections dealt with the foundations whose penal code compiled in 192I attests his and the utility of economics, the production, ac-influence. He presided over the labors of a com- cumulation and distribution of wealth, andmission which drew up a plan for an Italian money, credit and consumption. The book re-penal code in 1921 in which the positivist theo- flected the ideas of Storch particularly, but also ries triumphed. Its most outstanding innovation of Lauderdale, Malthus, Ricardo, John Stuartwas the rejection in principle of the definition Mill, Bentham, Hennet, Say, Tracy and others.and penalty relative to each of the judicial forms The InstituiçSes gave a strong impetus to theof crime (e.g. theft, homicide, rape), subordinat- study of economics in Portugal; two years aftering repression of crime to the determination of its publication a chair of economics was createdthe categories of delinquents (instinctive, insane, at the University of Coimbra. emotional, occasional and habitual). The plan MOSES BENSABAT AMZALAK was abandoned when theFascistreaction Chief works: Diccionario juridico commercial (Lisbon occurred. 1835, 2nd ed. Porto 1856); Instituiçóes de direito In the field of general sociology Ferri asso- cambial (London 1825, 2nd ed. 1844); jurisprudencia ciated Spencer's views with the historical ma- do contracto -mercantil (London 183o); Synopsis juri- terialism of Marx. In his book Socialismo e dica do contracto de cambio maritimo (London 1830); Das fontes especialidade e excellencia da administraçáo scienza positiva he endeavored to demonstrate commercial (Oporto 1835); Do banco de Lisboa (Lisbon the thesis that Marx complemented Darwin and 5827). Spencer and that the three men constituted the Consult: Laranjo, Frederico, in Instituto, vol. xxxiigreat scientific trinity of the nineteenth century. (5884) nos. v -vi; Francisco da Silva, Inocencio, in In his political activity he worked with the Archivo pittoresco, vol.ii (1859); RebeIlo da Silva, L. A., Varoes ilustres das tres epocas constitucionaesSocialist party and was for a long time editor of (Lisbon 187o). the socialist daily Avanti. At the end of his life, old and infirm, he assented to Fascism. FERRI, ENRICO (1856- 1929), Italian crimi- C. BERNALDO DE QUIROS nologist. Ferri was, with Cesare Lombroso and Works: Ferri's principal works on criminology include: Rafael Garofalo, the originator of the positiveI nuovi orizzonti del diritto e della procedura penale school of criminology, which has caused penal (Turin 1881, 2nd ed. Bologna 1884), superseded by law to take cognizance of the results of the La sociologia criminale (Turin 1884; 5th ed. by A. Santoro, 2 vols., 193o), tr. from znd French ed. by J. biological and social sciences and has affirmedI. Kelly and John Lisle (Boston 1917); L'omicidio, 2 the necessity of first studying the person who vols. (Turin 1895, znd ed. 1925); L'omicidio- suicidio commits crime and the medium in which he (Rome 5884, 5th ed. Turin 5925); I delinquenti nell' commitsitandonlyafterwardsstudyingarte (Genoa 1896, 2nd ed. Turin 1926); Studi sulla criminalità (Turin 1901, 2nd ed. 1926); Difese penali juridically the crime committed. After his con- studi di giurisprudenza penale (Turin 5899; 3rd ed., 3 version to socialism he ascribed to economic vols., 5925); Principii di diritto criminale ... in ordine factors directly, or indirectly through heredity, al codice penale vigente, progetto 1921, progetto 1927 a decisive role in the genesis of the crime. He (Turin 1928), incorporating the Italian text of Progetto also called attention to the necessity of supple- preliminare di codice penale italiano (official publication by Commissione Reale per la Reforma delle Leggi menting the Darwinian point of view, by which Penale with English, French and German versions, Lombroso and Garofalo justified the death Milan 1921); Conferenze di Enrico Ferri nella repubblica penalty, by the Lamarckian, which emphasizedArgentina, compiled by Folco Testena (Buenos Aires Ferreira Borges-Ferry 189 1911). The last editions of works, with the exception 253 -394), and two Syriac manuscripts -he had of the Conferenze, represent a final revision preparedlearned Syriac expressly for this purpose -on by the author. Ferri's writings on socialism and politics include: the Leges saeculares (the MS. of Paris, in Opere, Socialismo e scienza positiva (Rome 1894), tr. by R. R. vol. i, p. 397-441; the MS. of London in Fontes La Monte (New York 1900); Mussolini, uomo di stato iuris romani anteiustiniani, Florence 1909, pars (Mantua 1927),tr. by A. Caporale (Philadelphia altera, p. 637-75). Not satisfied with his emi- 1927); Il fascismo in Italia e l'opera di Benito Mussolini nence as a scholar, Ferrini was also an apostle of (Mantua 1927, 2nd ed. 1928). Christian charity, the "Ozanam of Italy," as he Consult: Franchi, Bruno, Enrico Ferri (Turin 1908); Scritti in onore di Enrico Ferri (Turin 1929), articles inwas called; and he has had the unique distinction Scuola positiva, n.s., vol. ix (1929) pt. i; Bonger, W. A., among his peers of having his virtues proclaimed Criminalitéetconditions économiques (Amsterdam "heroic" by the Vatican on February 8, 1931, 1905), tr. by H. P. Horton (Boston 1916) p. 99 -136;a preliminary honor to sainthood. Colin, Fernand, Enrico Ferri et l'avant - projet de code A bibliography of Ferrini's works is to be pénal italiende 1921 (Brussels1925);Colajanni, Napoleone, I partiti politici in Italia (Rome 19s 2). found in the Opere (vol. i, p. xi -xii). PAUL COLLINET FERRINI, CONTARDO (1859- 1902), ItalianConsult: Pellegrini, Carlo, La vita di Contardo Ferrini jurist. Ferrini began his legal studies at Pavia(Turin 1920); Vaussard, M., L'intelligence catholique and finished them in Germany. He was the dans l'Italie du xxe siècle (Paris 1921) ch. vii; Ryan, Mary, "Contardo Ferrini, Scholar and Saint" in favorite pupil of Zachariae von Lingenthal, Studies, vol. xvii (1928) 369-83; Scialoja, Vittorio, whose work he continued. Ferrini taught RomanIstituto di Diritto Romano, Bullettino, vol. xiv (19o1) law at Pavia, Messina and Modena, exemplify- 294-319. ing always the historical method. The many briefer studies in various languages which Fer-FERRY, JULES FRANÇOIS CAMILLE rini wrote during his short life have been col- (1832 -93), French statesman. Ferry was perhaps lected by V. Arangio -Ruiz and E. Albertariothe most hated statesman of the Third Republic, (Opere, 5 vols., Milan 1929 -30). These and hisbut in recent years he has received increasing many Inger works show Ferrini to be the least recognition as the founder of the French school specialized of masters; he paid considerable at-system and the builder of the modern French tention even to modern law. In Roman law heempire. As minister of public instruction from was at times a dogmatic jurist, as in Diritto1879 to 1882 Ferry was able to carry through romano (Milan 1885, 2nd ed. 1898), Teoria gene-the great educational reforms which are still the rate dei legati e dei fedecommessi (Milan 1889) basis of the French school system. Building upon and Manuale di pandette (Milan 190o, 3rd ed.the ideas of Condorcet and the experiments of 1908), and at times a historian, as in Storia dellethe French Revolution and guided by positivist fonti del diritto romano e della giurisprudenza ro-principles he aimed to establish the "moral man (Milan 1885). He also left a work on theunity" of France and to strengthen the foun- Roman criminal law, Diritto penale romano (Mi-dation of the Republic by the introduction of lan1899). Ferrini particularly distinguishedfree, compulsory, lay instruction in the primary himself in his original work on the law of thegrades. At the same time Ferry reorganized the Byzantine period. He published Il digesto (MilanConseil Supérieur de l'Instruction Publique by 1893), several articles on the sources of theeliminating the clerical element. The monopoly Institutes of Justinian and some pre -Justinianof granting university degrees and teachers' cer- Greek texts. Among his editions of texts are atificates was reserved to the state. Members of new edition of the Paraphrase of the Institutesunauthorized religious orders were forbidden of Justinian, Institutionum graeca Paraphrasisto teach and all such orders were dissolved. Pro- Theophilo antecessori vulgo tributa (z vols., Berlin vision was made for state secondary education 1884 -97), published under the direction of Lin - for girls and for the establishment of normal genthal; an edition of the Nomos georgikos (inschools. The primary school curriculum was Opere, vol. i, p. 375 -95); a supplement to Heim - broadened by the introduction of new subjects bach's edition of the Basilica (Leipsic 1897);like civics, natural history, singing, drawing and and the Tipucitus (bks. i -xii, Rome 1914); the manual training. Large appropriations made pos- last two were in collaboration with Mercati.sible the rebuilding of the Sorbonne and pro- Ferrini also translated Aristotle's celebratedvincial universities and the establishment of lab- work, La costituzione degli Ateniesi de Aristoteleoratories, libraries and research facilities. This (Milan 1895, republished in Opere, vol. v, p.anticlerical legislation was bitterly opposed by 190 Encyclopaedia of the Social Sciences the conservative parties and brought upon Ferryperity, diminution to decay. The stress laid by their lasting hostility. During his second min-nationalistic and religious authorities upon in- istry, from February, 1883, to March, 1885, crease and multiplication rests primarily upon the Ferry took over the portfolio of foreign affairscompetitive advantage resulting from numer- and continued the work of colonial expansionical strength. Social sentiment renders it there- which he had initiated with the occupation offore incumbent upon every member of the Tunis in May, 1881. He was convinced thatgroup to contribute toward its increase: fertility sources of raw materials and markets would be-is a merit, sterility one of the deepest of re- come increasingly necessary because of the eco-proaches. The latter is generally a ground of nomic transformation of the world and went sodivorce and in lower cultures a motive of suicide. far as to cooperate with Bismarck to circumventWhere patriarchal individualism prevails, the the opposition of the English. It was due largelytransmission of frequent property and of social to his efforts that the French position was estab-status to an heir is all important, and the desire lished in the Congo and on the Niger, in Mada-to perpetuate the family is added to that of per- gascar and in Indo- China. But his policy waspetuating the tribe. Magico- religious ideas con- attacked with great bitterness by both the radi-firm these social motives and values. cals and the conservatives. In March, 1885, on The food of hunting tribes is thought to be receipt of exaggerated news of French reversesmagically multiplied by ritual procedures, such in China he was overthrown by Clemenceau andas the intichiuma of the Australian aborigines his followers. and the buffalo dances of the Sioux. The assimi- WILLIAM L. LANGER lation of the participants in such rites to the Consult: Rambaud, A. N., Jules Ferry (Paris1903); animals over which they desire to exercise con- Billot, Albert, Jules Ferry (Paris 1904); Liard, Louis,trol suggests a connection with the conceptions and Fallières, C. A., "L'oeuvre de Jules Ferry dans of totemism. The procedures of sympathetic l'enseignement supérieuretdansl'enseignement magic by which the multiplication of food ani- secondaire" in Revue internationale de l'enseignement, mals is thought to be promoted commonly in- vol.liii(1907)5 -15; Lapie, R., "Jules Ferry as Educator" in Educational Administration and Super- clude the imitation of the sexual act and some- vision, vol. xi (1925) 525-33; Israel, Alexandre, L'école times the practise of ritual promiscuity. de la république; la grande oeuvre de Jules Ferry (Paris The fertility of the soil is likewise thought to 1931); Roberts, S. H., History of French Colonialcall for the employment of magical means no less Policy (1870 -1925), 2 vols. (London 1929) vol. i, p. than for labor and skill to promote it. Thus, for 9-33, 26o -66, and vol. ii, p. 426 -29, 437 -39; Wiene- instance, specimen seeds may be intensively cul- feld, R. H., Franco - German Relations, 1878 -1885, Johns Hopkins University, Studies in Historical andtivated in baskets or pots (Siouan basket gar- Political Science, ser. xlvii, no. iv (Baltimore 1929) p. dens, "gardens of Adonis," "gardens of Osiris," 73-78, 125 -35, 143-53, 556-70. Greek r4pya). The lighting and tending of magical fires and the waving of torches over the FERTILITY RITES. Concern for the fertilityfields are widespread features of agricultural of the human race and for the fruitfulness of themagic. Magical herbs or the remains of animals sources of food has supplied the motives for-pigs, dogs, goats, serpents -are scattered or many traditional rituals and has given rise toburied about the fields. Not infrequently human ideas which have become embodied in religioussacrifice was resorted to for this purpose, as in systems. No sphere of human interest is lessancient Mexico, among the Pawnees, through- amenable to rational apprehension and controlout west Africa, among the Bechuana and the than generation, and accordingly the desire toKhonds of Bengal. In New Caledonia a young control it tends in a larger measure than in othergirl was buried up to the neck in the ground to activities to rely on magico- religious means. promote the growth of sweet potatoes. Proces- The economic interests of primitive humanitysions in which the images of the gods are carried center round the multiplication of its food sup- form part of the rites of agrarian fertility in most ply. The desire for progeny is beyond doubtadvanced cultures. The various rites intended to largely influenced by cultural factors but isproduce rain constitute an essential part of agri- nevertheless prominent, more especially in thecultural magic. lower cultures. Upon the increase of the tribe Primitive cultivation, which is in the hands of depends its strength as a social unit, its power tothe women, is held to be dependent for its suc- compete against other groups. Numerical in-cess upon their magical skill and more particu- crease is therefore accounted equivalent to pros-larly upon their fecundity. A prolific woman or Ferry-Fertility Rites 191 one who is actually pregnant is thought to bethe male. The same rituals which are employed particularly suitable as a cultivator. Barrennessto secure abundant harvests are accounted effi- constitutes a disqualification. The fruitfulness ofcient in procuring offspring, and agricultural the earth is everywhere assimilated in the closest rites and festivals are regarded as equally effec- manner to human fertility. The fruit bearing soiltive in fulfilling both functions. Rain showers (as is assimilated to the womb, the fecundating rainamong Australian aborigines and the Hotten- to seminal fluid, and the conjunction upon whichtots), springs, rivers and holy wells are thought fertility depends is represented by the sacredto promote or to be indispensable to the fertility marriage of the supernatural powers, often en-of women. Conception is thought to be brought acted ritually by priest and priestess, in hiero-about or favored by the partaking of food, es- dulic prostitution or general promiscuity. Thepecially cereal and seed bearing fruit, whether act of sexual intercourse is regarded as impartingespecially consecrated or not, or the flesh of ani- fruitfulness to the soil and is sometimes in-mals Sacred spots where the spirits of the un- dulged in for that purpose in the fields at the born are thought to dwell are believed in central time of sowing, a custom illustrated in GreekAustralia and among the Alfurs to cause the myth and still observed by the peasantry in some women who visit them to conceive, and cross- districts of central Europe. roads where children are buried were among the Sexual license is a prominent feature of the Iroquois thought to have the same effect. Graves agricultural festivals of seed and harvest times.and shrines of saints exercise a similar influence. Thus among the Pipeles and the Musquaki In- Girdles, leaves, especially those of the fig tree, dians ritual coitus was timed so as to coincideamulets worn in the neighborhood of the geni- with the planting of the seed. Among the Bantu,tals, serve originally the purpose of fertility men and women who in ordinarycircumstancescharms, both positively by imparting fertility are modest in behavior and speech aresaid toand protectively by warding off injurious in- abandon themselves to licentiousness during fluences. these festivals. In India the harvest festival is the A large proportion of the rites commonly de- signal for general license, and such license isscribed as marriage ceremonies have reference looked upon as a matter of necessity. The agra-to securing the fertility of the union rather than rian populations of southern Algeria resent anyto its solemnization and consecration. Such are interference with the licentiousness of theirthe rites in which food or drink is ceremoniously women on the ground that such restrictionspartaken of. The food may consist of game or would be prejudicial to the success of their agri- fish procured by the bridegroom and presented cultural operations. The ritual promiscuity ofto the bride, as among aboriginal Australians and primitive agrarian festivalsis represented inthe Eskimos. Coconuts, apples or eggs are some- more advanced cultures by the licenseof thetimes employed with the same object. The bride festivals of Bubastis in Egypt and the ritual ob- is commonly pelted with flowers, cereals, dates, scenity of the Greek Thesmophoria, the Romannuts, figs, sweetmeats. The newly married pair Saturnalia, the Dionysian festivals, which havemay stand on the hide of a bull or a ram or sit on passed into the usages of southern and westernmounds of earth, which sometimes are specially Europe as the carnival festivities, May Day andbrought for the purpose from sacred spots, as in midsummer feasts. India. The invocations to the gods to bless the Human fecundity is in primitive and archaicunion frequently have reference to the promo- thought also held to derive from the powerstion of its fertility as well as to making it binding. which govern the fertility of the sources of food. Marriage is often preceded in the usages of Apart from the possible ignorance of some of the primitive and ancient cultures by observances most primitive peoples in regard to physiologi-intended to bring about the union of the woman cal processes, reproduction is commonly re- with the powers which are held to be the sources garded as the effect of supernatural agencies. Asof fertility. This is sometimes effected directly the Christian avowedly believes that childrenby copulation with the image of the god. Thus are sent by God, so in lower cultures the partofin India girls were deflowered before marriage the male in the reproductive process is held toby means of the lingam, or phallus of stone, be at most that of a vehicle of supernaturalmetal or ivory, representing the god Shiva. Ro- powers and fecundation is commonlybelievedman brides had similarly to seat themselves on to be possible by the direct action of those pow-the lap of the phallic statue of the god Mutunus ers or through the medium of vehicles other than Tutunus. In China copper images of the gods 192 Encyclopaedia of the Social Sciences were rubbed against the abdomen of women as a The sacred and solemn character which mar- cure for sterility. Survivals of the same practises riage has acquired as a sacrament appears to de- were not uncommon in Europe during therive in a considerable measure from the fiction Middle Ages with reference to statues of ithy-that it is incumbent upon the woman before be- phallic saints. ing joined to her earthly husband to enter into a The so- called phallic character of many ar-holy union with the divine powers which are the chaic deities and religious symbols follows fromtrue source of fertility. The human husband is the function of divine powers as sources of gen-thus held to act as the representative of the god, eration, a function which corresponds in manyand it is enjoined in the code of Manu and in the respects to the more advanced theological con-Pauline doctrine that he should be regarded by ception of them as creators. Although magico-the woman in that light. religious obscenity is prevalent in lower cultures, The primitive rites of fertility magic have usu- phallic symbolism is a characteristic of ratherally, as in the last mentioned instance, become more advanced cultural phases, such as those ofadapted by cultural transformation to the social India and Japan and the more developed Africanand moral demands of advanced culture. Thus, cultures. The indiscriminate interpretation ofobligatory prenuptial prostitution was com- religious symbolism as phallic has often beenmuted in the rites of Adonis at Byblos to the applied uncritically. symbolic shearing off of the woman's hair, a The god is sometimes represented by a priestcommon marriage rite which is still observed by or other sacred personage who has intercourseCatholic nuns on their dedication to the Divine with the bride before she passes to her husband,Bridegroom. Ritual obscenity, which, like actual a custom which is very widespread and consti-sexual intercourse, is held to exercise a stimulat- tutes the so- called jus primae noctis. Medicineing influence upon the powers of fertility, has men and persons with a reputation for sanctitycommonly been attenuated, as in the Fescen- are eagerly sought out by women in the hopeofnine jests of Roman harvest festivals, in the simi- offspring. The means of divine union may alsolar ritual ribaldry of Hindu marriage ceremonies be sought in prenuptial promiscuity, for it isand in the rites of Bona Dea, in which the ma- considered that in such general freedom the godstrons whispered the ritual ribaldry in each other's are afforded the same opportunity as othermales. ears, a custom which survives today among the Such prenuptial license may be limitedto peasantry of the Rhine district on the occasion of strangers, as in Tibet and some parts of southernthe feast of the Three Maries. The supernatural India, Burma and the Philippines or, as in themeans employed to promote fertility have cor - Babylonian observance of the temple of Mylitta,monly become subject to new interpretations to a single stranger to whom it is obligatory forwhich have veiled their original intention. every woman to yield herself once in herlife. ROBERT BRIFFAULT The unknown stranger is in popular tradition a See: RELIGION; MAGIC; RITUAL; SACRIFICE; MYSTERIES; common disguise of the god. The prenuptial FESTIVALS; SOCIAL ORGANIZATION; MARRIAGE; SEX prostitution of the bride is, in the usage known ETHICS. as the Nasamonian rite from the descriptionby Consult: Mannhardt, J. W. E., Wald- und Feldkulte, 2 vols. (2nd ed. Berlin 1904 -05), and Mythologische Herodotus of the custom among the Nasa- Forschungen, ed. by H. Patzig (Strasbourg 1884); monians of Lybia, confined to the male guests Dulaure, J. A., Des divinités génératrices (rev. ed. attending the wedding, who each possess her in Paris 1885); Frazer, J. G., The Golden Bough, sz vols. turn before the bridegroom is allowed access to (3rd ed. London 1911-15), especially vols. v -viii; her. Vestiges of those usages appear to survive in Seligmann, S., Der böse Blick und Verwandtes, 2 vols. (Berlin 191o); Stern, Bernhard, Medizin, Aberglaube the rights of the wedding guests to kiss the bride,und Geschlechtsleben in der Türkei, z vols. (Berlin to dance with her and sometimes to undress her. 1903); Bellucci, G., Il feticismo primitivo in Italia Such rites are sometimes represented by the (Perugia 1907); Crooke, William, Religion and Folklore custom of postponing the consummation of the of Northern India, ed. by R. E. Enthoven, z vols. (new ed. London 1926) ch. ix; Cohen, Chapman, Religion marriage for three or more nights, during which and Sex (London 1919); Knight, R. P., A Discourse on the bride is supposed to be dedicated to the god, the Worship of Priapus (new ed. London 1865); Stone, who is sometimes, as in India and ancient Mex- L. A., The Story of Phallicism, z vols. (Chicago 1927); ico, represented by sacred emblems placed on Murray, M. A., The Witch -Cult in Western Europe (Oxford 1921); Briffault, R., The Mothers, 3 vols. (New the bridal couch by the priest. The usage was York 1927) vol. iii, chs. xxiv -xxv; Talbot, P. A., Some adopted by the Catholic church under the name Nigerian Fertility Cults (London 1927); Goodland, R., of Tobias nights. A Bibliography of Sex Rites and Customs (London 1931). Fertility Rites-Fertilizer Industry 193 FERTILIZER INDUSTRY. Although the fer-damental facts of plant nutrition had been tilizer industry, involving the manufacture and established. sale of the so- called artificial fertilizers, is a Some years before Liebig's report John Bennet product of modern chemistry, the application Lawes had begun research and experimentation of animal manures to cultivated soils is as oldon soil conditions at his farm at Rothamsted, as knowledge of systematic agriculture. Chinese England. He found that apatite and other min- agriculture is still based on an extensive use oferal phosphates when treated with sulphuric such fertilizers. References in Greek mythology acid formed a superphosphate of lime which indicate the existence of similar practises in pre - proved to be a very effective manure. In 1843 Homeric times. In Rome the use of animal ma-he established the first factory for the manu- nures, ashes, clays and lime was common, par- facture of superphosphates. In the same year ticularly in the cultivation of vineyards and olivehe was joined by Joseph Henry Gilbert in his groves. A somewhat similar but less extensiveexperimental work at Rothamsted. This fruitful knowledge and practise of fertilizing existedassociation continued without interruption until among the more civilized of the Britons and thethe death of Lawes in 1900. More recent con- German tribes at the opening of the Christiantributions to the knowledge of plant nutrition era -a knowledge and practise which seem toand growth have been made for the most part have been extended greatly as a result of Romanin the study of soil bacteriology and soil physi- influence. Although throughout the Middle Ages ology. the use of marls, lime, stable manures and wood The researches of Liebig, Lawes and Gilbert ashes as a means of renewing soil fertility formedand those who have followed in their footsteps a part of the empirical knowledge of agriculture,have helped to revolutionize agriculture, par- manuring was not extensively practised. It isticularly in regions where long exploitation had probable that the decay of English agricultureexhausted the soils of their plant foods. They in the fifteenth century resulted in part fromhave necessitated modifications in the implica- inadequate fertilizing. tions of the Malthusian principle of population Soil fertility and plant growth assumed a new and the Ricardian doctrine of rent. The impor- importance with the agricultural revolution oftance of the work of these scientists is indicated the eighteenth century, the introduction of large roughly by the fact that the estimated world's scale farming and the utilization of relativelyconsumption of commercial fertilizer in 1928 large amounts of capital. Scientific fertilizing,measured in net tons of plant food -nitrogen, however, awaited the development of chemicalphosphoricacidand potash -approximated knowledge. Its basis was laid primarily by the 7,700,000 tons. chemical research of Justus Liebig and the re- Around these three plant foods the modern search and agricultural field experiments of Sirfertilizer industry has developed. In the location John Lawes and Sir Henry Gilbert. of the basic industries for supplying the raw In 1840 Liebig made his famous report to thematerials for the fertilizer industry, geologic and British Association for the Advancement of Sci-geographic circumstances played the major role ence upon the state of organic chemistry (sub-at the outset. For many years the Peruvian and sequently published as Organic Chemistry in ItsChilean coasts of South America supplied large Applications to Agriculture and Physiology, Lon- quantities of guano, derived from the excrement don 1840, 4th ed. 1847). Therein he developedof sea birds, rich in nitrogen and phosphorus and gave quantitative expression to the theoryand containing small amounts of potassium. that the maintenance of soil fertility depended Before the end of the nineteenth century guano upon the return in the form of manure of theas a source of commercial fertilizer had been mineral constituents and the nitrogen which hadlargely replaced by the Chilean deposits of so- been taken away. He recognized as the basic dium nitrate, the American and French deposits plant foods nitrogen, potassium and phosphorus.of mineral phosphates and the German deposits He further developed the principle, later formu- of potash salts. lated as the Law of the Minimum, that "by the Shipments of nitrates from Chile had begun deficiency or absence of one necessary constitu-as early as 1830, although they remained small ent, all the others being present, the soil isuntil the middle of the nineteenth century. By rendered barren for all those crops to the life 1875 Chile had become the world's most im- of which that one constituent is indispensable." portant source of inorganic nitrates through Before he had finished his experiments the fun-exploitation of her unique deposits of caliche- 194 Encyclopaedia of the Social Sciences a mixture primarily of sodium nitrate and so-nitrogen secured by fixation from the atmos- dium chloride -which extend irregularly justphere either by the Haber synthetic ammonia below the surface of a strip five hundred milesprocess developed by the Germans during the long and from five to forty miles wide. Thewar, by the cyanamide or by the arc process. industry consists of the mining and refining ofGerman industry has taken the lead in this whole the crude salts and the sale of the refined prod-field. Of a total world capacity for fixation of uct, sodium nitrate, to distributors in the majoratmospheric nitrogen amounting to 2,203,900 fertilizer consuming and industrial areas of thenet tons in 1929 Germany ranked first with world. In 1913 the Chilean output represented 938,500 tons and the United States was second approximately 55 percent of the world's nitrogenwith a tonnage of 195,600. consumption. Germany was the leading con- sumer of the Chilean product, taking more than TABLE I 32 percent of the total, while the United States WORLD PRODUCTION OF INORGANIC NITROGEN, 1913 AND 1928 -29. consumed about 23 percent. (Net Tons) The World War by demonstrating the danger SOURCE OR PRODUCTION YEAR ENDING of dependence upon the Chilean source of sup- PROCESS 1913 MAY 31, 1929 ply of nitrates for fertilizer and explosives has- Chilean nitrate 429,000 539,00o tened the development and expansion of the By- product ammonia 377,300 469,700 by- product and synthetic nitrogen industry. Air fixation: Arc process 19,800 33,000 Completely cut off from the Chilean industry Cyanamide process 66,0oo 264,000 during hostilities, Germany took the lead in this Synthetic process 7,700 I,o18,60o development. The German industry assisted by Total 899,800 2,324,300 the government advanced with such rapidity Source: United States, Department of Agriculture, "Survey of the Fertilizer Industry" by P. E. Howard, Circular, no. 129 that it not only attained the goal of economic (1931). self-sufficiency but became an important ex- porter of nitrogen products. France, England Of the total world production of fixed nitro- and Italy, although not so hard pressed as Ger-gen in 1929 about 87 percent was used in agri- many, also took steps during the war to fill theirculture. The bulk of the Chilean natural nitrate nitrogen needs independently of Chilean supply. output is similarly consumed; before the war it In the United States the government constructed was estimated that three fourths of the output a cyanamide plant at Muscle Shoals, Alabama,was used in fertilizers. which was intended to furnish nitrates but was Just as Chile prior to the development of a not completed until 1919 nor operated save for by- product and synthetic nitrogen industry en- a trial run in that year. As a result of the war'sjoyed virtually a world monopoly in the produc- influence in bringing new capacity into exist- tion of nitrates for the fertilizer industry, so ence and the subsequent development by pri-Germany at the outbreak of the World War vate enterprise of the by- product and syntheticenjoyed a world monopoly in the production of nitrogen industry Chile in 1929 was supplyingpotassium fertilizer salts. The German deposits less than one fourth of the world's consumptionof potassium salts were discovered accidentally of nitrogen. The restrictive taxation policy pur-in 1859 in a mine sunk by the Prussian fisc sued by the Chilean government and the quasi -in the neighborhood of Stassfurt in a search for monopoly conditions under which the productadditional supplies of rock salt. From the five has been marketed have contributed to this de-major producing areas subsequently delimited velopment. in pre -war German territory came virtually the As a pre -war source of nitrogen, ammoniumentire world output of potash for fertilizers. The sulphate, a by- product of the distillation of coal,industry involved the mining, refining and mar- ranked next in importance to the Chilean de-keting of potash salts from these sources. The posits of sodium nitrate; but in 1929 only onemining process is similar in its fundamentals fifth of the world's nitrogen supply came fromto that of coal. To eliminate unnecessary freight this source. In the production of by- productcharges most of the crude salts are put through nitrogen the United States has held first placea refining process at plants located nearthe for some years; in 1929 American output repre- mines. The crude salts consist for the most part sented approximately 40 percent of the worldof carnallite, hartsalz and sylvite. The task of total. Far more important today, however, thanrefining is to separate the potash salts from the by- product and Chilean nitrogen is atmosphericother ingredients by precipitation. The potash Fertilizer Industry 195 salts are then dried and stored in bulk or sacked TABLE II for shipment. The process is highly mechanical WORLD PRODUCTION OF POTASH BY COUNTRIES, and is conducted on a large scale basis. 19,13 AND 1928 In 1913 approximately 90 percent of the Ger- (Metric Tons) man potash production was utilized as fertilizer. 1913 1928 About 46 percent was exported. The World War Germany 1,328,000 1,691,000 was accompanied by an almost complete cessa- France 447,E United States tion of German exports and the customary for- - 54,000 Poland 53,000 eign users of potash were hard pressed to find Others 20,000- I0,000 substitute sources of potash not only for ferti- Total 1,348,000 2,255,000 lizer but for explosives, in the manufacture of Source: International Institute of Agriculture, International Yearbook of Agricultural Statistics (Rome 293o). which it is an essential ingredient. A variety of American sources were tapped. Giant seaweedare widely distributed throughout the world. on the Pacific coast, lake brines in California andAmerican production of phosphate rock dates Nebraska, and cement and blast furnace dustfrom 1868. The output of the mines of Florida were made to yield potash in commercial quan-and Tennessee has made the United States the tities. These sources were adequate to meetlargest single producing country, but since the essential war needs but insufficient for custom-World War the combined output of France and of ary agricultural consumption. mines in Tunis and Algeria has come to exceed Since the war the German world monopolythat of the United States. French and American has been broken by the cession to France ofproduction in 1928 amounted to about 85 per- Alsace, which has abundant deposits of sylvite.cent of the world total. Most of the remainder Of the American war born industries most havecame from the island of Nauru ceded by Ger- succumbed to the vigorous post -war onslaughtmany to England under the Treaty of Versailles. of the more mature foreign industry. An excep-Deposits of phosphate rock occur for the most tion is the Searles Lake plant in California,part near the surface and are mined by the open which supplied approximately 15 percent of thepit method. Small amounts of phosphate rock entire American consumption of potash in 1928.are used directly in agriculture after fine grind- Salts from the promising deposits in southeast-ing; but because of its slight solubility in raw ern New Mexico were first placed on the marketform the bulk of the output is subjected to treat- in 1931. Although in the Atlantic coast andment with sulphuric acid to form the so- called southern states, where most of the potash is nowsuperphosphates, or acid phosphates. These are consumed, the foreign product would seem toprepared for the most part in the consuming have an advantage in freight rates, the Americancountries. In 1928 the United States, France, product is likely to supply an increasingly largeItaly, Japan and Germany were the leading pro- percentage of the domestic demand. Since theducers. The United States' output represented war, deposits of water soluble potash salts have29 percent of the total. been mined and refined on a small scale in Secondary to phosphate rock as a source of Poland and Spain. Output from these areas hasphosphorus for fertilizing purposes is basic slag, shown a continuous increase, and it is not un-a by- product in the manufacture of steel from likely that these two countries may assume aores containing phosphorus. This source fur- more important place in future production.nished more than one fourth of the world's Among other countries Soviet Russia has an-fertilizer phosphates in 1928, the leading pro- nounced the discovery of potash deposits, butducing countries being France, Germany, Bel- it is now using sunflower plants to produce fer-gium and Luxemburg. tilizer rich in potash. World production of It is estimated that in 1928 a total of 43,000,000 potash, exclusive of Spanish output, for whichtons of fertilizer salts containing approximately specific figures are not available, increased 67 7,700,000 tons of the three essential plant foods percent from 1913 to 1928 as indicated in Tablewas consumed throughout the entire world.

II. Germany, the United States and France were The major commercial source of the thirdthe largest consumers, using more than one half essential plant food, phosphorus, is phosphatethe world total. On a per acreage basis the rock. Phosphate rock, containing high percent- Netherlands and Germany were the largest con- ages of tribasic phosphate of lime, is availablesumers. The lead taken by these two countries is in practically unlimited quantities and depositsin part a reflection of the natural deficiency of 196 Encyclopaedia of the Social Sciences TABLE III WORLD PRODUCTION OF SUPERPHOSPHATES OF LIME AND BASIC SLAG, 1913 AND1928 (Metric Tons)

SUPERPHOSPHATES OF LIME BASIC SLAG

COUNTRY 1913 1928 1913 1928 United States 3,248,000 4,057,241 18,144 France I,920,000 2,265,000 730,000 1,475,000 Italy 972,317 1,151,100 Japan 548,625 926,175 Germany 1,863,000 792,000 2,280,000 1,639,000 Belgium 450,000 400,287 655,000 955,625 Luxemburg 250,000 632,775 All others 2,747,271 4,561,197 587,000 719,221

Total 11,749,213 14,153,000 4,502,000 5,439,765 Source: International Institute of Agriculture, International Yearbook of Agricultural Statistics (Rome 193o). the central European soils in plant food, particu-sale under trade names. Some of the post -war larly potash; in part a reflection of the intensive manufacturers of nitrogen, particularly the Al- character of the farming which has developed lied Chemical and Dye Company, the American with population increase; and in part a reflection Cyanamid Company and Du Pont de Nemours of the intensive propaganda carried on by theCompany, likewise produce mixed fertilizers. German potash syndicate in these areas. Ameri- These mixed fertilizer manufacturers purchase can consumption is confinedlargely to the At-most of their potash through the exclusive sell- lantic coast and southern states in the produc-ing agency of the German and French potash tion of truck crops, tobacco and cotton. syndicates. In the past they have secured their For the most part the European consumernitrogen salts primarily through an exclusive uses the major commercialfertilizers in an un-selling agency serving the by- product nitrogen mixed form, applying each separately to the soilindustry or direct from importers. The market- in such quantities as his judgment or knowledgeing of mixed fertilizers is a highly competitive dictates. The American consumer, on the otherbusiness, one of the chief characteristics of which hand, generally applies his plant foods to thehas been the confusing multiplicity of brands soil in the form of a mixed fertilizer. The organi-and trade names. Sales are made direct to the zation of the fertilizer industry has conformedfarmers, to agricultural associations and to local in a rough way to these contrasting practises.retailers, who are frequently seed or implement In the United States it has been organized pri-dealers. The manufacture of branded mixed marily around the manufacture of superphos-fertilizers has made the American consumer, phates by companies who own and operateuninformed and ignorant as he frequently is, plants for the production of mixed fertilizers,peculiarly subject to deception and abuse. For located for the most part in the major fertilizerhis protection by March I, 193o, all but seven consuming areas. The manufacturers have been states had enacted laws regulating the manufac- the purchasers of nitrates and potash and theture and sale of fertilizers. In general these laws distributors of the finished mixed fertilizer. Inhave provided for the periodic registration of numerous instances they arealso producers ofbrands, accurate and not misleading labeling, the raw phosphate. The bulk of the Americanminimum plant food contents and inspection fertilizer output is in the hands of a few largeand analysis of fertilizers by state officials. Amer- companies, such as the Virginia Carolina Chem- ican manufactured mixed fertilizers have been ical Corporation, the American Agricultural customarily of low plant food content, contain- Chemical Company, the International Agricul-ing until recently as little as a6o pounds of plant tural Corporation and the Davison Chemicalfood to a ton of fertilizer, the remainder con- Company, engaged in these several integratedsisting of the associated salts of the original raw processes. In addition there areseveral hundredmaterials, chlorine, sodium, calcium and the manufacturers of mixed fertilizers, who pur-like, and inert material such as sand added by chase finished fertilizer salts and mix them forthe manufacturer to bring the product to the Fertilizer Industry 197 desired consistency. As a result of education andaganda program and a common price policy, legislation the plant food content has been raisedunder the terms of which competition in the until at the present time it approximates 16 per-sale of their products is effectively eliminated. cent of the total. With the manufacture of moreThe agreements as extended and modified have concentrated constituent salts and an increaseresulted in the stabilization of prices both in the in the knowledge of their proper use the trendforeign and domestic markets at levels some- toward a more concentrated mixed product iswhat higher than are likely to have prevailed in likely to persist for some time. the absence of such agreements. In addition to the inorganic salts utilized by The German manufacture of synthetic nitro- the American fertilizer industry a considerablegen is concentrated in the hands of a few large volume of organic nitrates is furnished by thecompanies, the most important of which is the packing industry from tankage, dried blood andI. G. Farbenindustrie, the German dye trust. fish scrap and of phosphates from bones. TheseThese several companies are associated for the are marketed under a variety of trade names bysale of their products into the Stickstoff- Syndi- organizations which are affiliated with the largekat. In 1929 an agreement was entered into by packers. the German nitrogen syndicate, Imperial Chem- The American fertilizer industry is closelyical Industries, Ltd. (controlling the bulk of the associated with the chemical industry. It is theEnglish output of synthetic nitrogen) and Chil- largest consumer of sulphuric acid, accountingean nitrate producers for the purpose of joint for approximately one third the total consump-propaganda and uniformity of price policy in tion; it furnishes an outlet for sulphate of am-the sale of nitrogen salts in the world's major monia secured in the distillation of coal andmarkets. petroleum; itis dependent upon the cement In recent years the I. G. Farbenindustrie in industry, the copper industry and other chemi-addition to its manufacture of nitrates has en- cal industries for raw materials and finishedgaged in the production of a mixed fertilizer, products. a precedent that has been followed by several In contrast to the American industry, shapedproducers of potash. Inasmuch as savings in around the manufacture of mixed fertilizers, thefreight are effected through the production of European industry until very recently has con-a more concentrated product, it is possible that sisted of three separate branches specializingthis practise may undergo considerable expan- respectively in the manufacture of potash, ni-sion in the future. trogen and phosphate fertilizer salts. The latter Thus far the manufacture and sale of super - two are subdivisions of the chemical industry,phosphates have experienced no such concentra- with which the manufacture of potash is alsotion of control as that to which the nitrogen and closely associated. In Germany the potash in-potash industries have been subjected. Never- dustry is under the control of the Deutschestheless, a tendency in this direction has been Kali -Syndikat. Before the World War the actualmanifest. In the United States a few companies production, mining and refining, of potashcontrol the bulk of the output. In France from salts was distributed among a large number of6o to 7o percent of the output is in the hands of producers who were members of the syndicate.two large companies. In Germany, although the Since the war production has been much moremanufacture has been relatively decentralized, concentrated, approximately 8o percent of theproducers have united for marketing purposes total being produced by three large companies.in a sales cartel. Moreover, the leading pro- Of some half dozen additional producers theducers of the world are associated for purposes of Prussian fisc is the most important. The saltsmutual benefit in the International Superphos- are placed on the market as muriate of potash,phate Manufacturers' Association with head- sulphate of potash and the so- called manurequarters in London. Twenty -four countries with salts and sold by K20 content. They are soldabout 7o percent of the total world output are exclusively through the syndicate direct to agri-said to be represented in this organization, one cultural associations, fertilizer dealers or ferti-of the primary functions of which seems to be lizer manufacturers. joint activity in scientific agricultural research In 1925 the German potash syndicate and theand joint propaganda in the sale of phosphate French syndicate organized after the war en- fertilizers. tered into an agreement for the division of the It is a long step from the early activities of world's markets, for the conduct of a joint prop-Liebig and Lawes in the small scale manufacture 198 Encyclopaedia of the Social Sciences of artificial fertilizers to the modern fertilizerchemischen Industrie (Halberstadt 1928); Germany, industry, world wide in its character and ofAusschuss zur Untersuchung der Erzeugungs- und Absatzbedingungen der deutschen Wirtschaft, Unter- fundamental importance to permanent agricul- ausschuss für Gewerbe, Die deutsche chemische Indus- ture. Despite the increased dependence of agri- trie (Berlin 1930). culture upon this basic industry, however, the earlier fears regarding an inadequacy of fertilizer FESTIVALS derive for the most part from col- materials have given way to a realization that alective ritual. The tendency of primitive behav- surplus of producing capacity and an excess ofior to rely upon magic involves the participa- output of its basic materials are apt to become tion of the social group -clan, tribe or family - the major problem confronting the fertilizerin activities which are held to affect the interests industry. Developments in the field of syntheticof the whole group. Hence the greater propor- nitrogen manufacture during the war and in thetion of primitive ritual is collective, and most decade following have resulted in a plant capac- activities involve collective rituals. Meals par- ity far in excess of current demands. Meanwhiletaken of in common assume the character of it has become evident that the Chilean natural ni-religious ceremonies. The admission of new trate deposits have as yet been scarcely touched. members to the tribe, the disposal of the dead, Phosphate deposits richer in content and largerceremonies for the propitiation or placation of in volume than were presumed to have existedsupernatural powers, for relief from sickness and have been discovered, and new potash depositsepidemics, for the preparation of warriors, hunt- threaten to break the post -war Franco -Germaners and fishermen before an expedition, are potash monopoly. The most pressing futureoccasions for collective rituals, or festivals, in needs of the industry may prove to be a mecha- which the entire community joins. Agricultural nism for control of capacity and an appropriateoperations are associated with a series of ritual distribution of world markets. festivals. GEORGE WARD STOCKING Primitive collective rituals are often governed See: AGRICULTURE; AGRICULTURAL EXPERIMENT STA- in their incidence by the phases of the moon. TIONS; SOILS; NITRATES; POTASH. The intichiuma of central Australia and the ma- Consult: Hall, A. D., Fertilizers and Manures (3rd ed.jority of ritual dances take place at the full moon. London 1929); Nostitz, A. von, and Weigert, J., Die The new moon and the interlunary days, on the künstlichen Düngemittel (Stuttgart 1928); Parrish, P., other hand, usually regarded as unpropitious and Ogilvie, A., Artificial Fertilisers, Their Chemistry, periods, are the occasion for the observance of Manufacture and Application, vol. i (London 1927 ); rites of mourning and aversion. Agricultural Waggaman, William H., and Easterwood, H. W.,civilizations observe seasonal feasts, the chief of Phosphoric Acid, Phosphates and Phosphatic Fertilizers (New York 1927); Finot, M., Le marché des phosphates which usually take place at the time of the sum- (Paris 1929); United States, Federal Trade Commis- mer and winter solstices. The dates of the ob- sion, Report on the Fertilizer Industry, 2 vols. (1916- servances are subject to considerable variation. 23); United States, Bureau of Foreign and Domestic The Celtic festival of Samhain, for instance, Commerce, "Fertilizers, Some New Factors in Do- which was celebrated in Ireland on the thirty - mestic Fertilizer Production and Trade" by H. A. Curtis, Trade Information Bulletin, no. 372 (1925); first of October, was observed in Gaul at the United States, Department of Agriculture, "Survey beginning of January. In several instances the of the Fertilizer Industry" by P. E. Howard, Circular, rites which were originally related to the monthly no. 129 (1931); New York State, Cornell Agriculturalcycle have become transferred to the yearly Experiment Station, "Prices of Fertilizer Materials, cycle, the dates being, however, still determined and Factors Affecting the Fertilizer Tonnage" by E. E. Vial, Memoir, no. 119 (Ithaca 1928); Unitedby the older lunar calendar and not by the later States, Bureau of Foreign and Domestic Commerce, solar reckoning. Sometimes the incidence of Trade Information Bulletins as follows -"Fertilizers, periodic festivals is determined by the rotation Production, Consumption, and Trade in Variousof crops, necessary in early stages of agriculture, Foreign Countries" by H. A. Curtis, no. 305 (1925), "Chemical Industry and Trade of Switzerland" byas in the instance of the Greek trieterica, or A. H. Swift, no. 664 (1929), "German Chemical three -yearly festival. Developments in 1929" by W. T. Daugherty, no. 690 Primitive collective rituals, primarily designed (193o), "French Chemical Industry and Trade in as magical operations to influence supernatural 1929" by D. J. Reagan and E. C. Taylor, no. 726 agencies, have sometimes retained that character (193o), "British Chemical Developments in 1930" by R. R. Townsend, no. 75o (1931), "Italian Chemicalin the later phases of cultures, as in the majority Developments in 1928 and 1929" by E. Humes, no. of purely religious festivals and in those con- 705 (1930); Waller, Peter, Probleme der deutschen nected with agriculture. Rites of abstinence, Fertilizer Industry-Festivals 199 penance and mourning, such as the celebrationdue to the opportunity which those cults af- of passions, lamentations, agneia, fasts and ro-forded of indulging their passions. It is largely gation days, have for obvious reasons tended toowing to the impossibility of inducing the mul- preserve their religious character. Commonly,titude to forego those opportunities that the however, the magical function of collective ritualchurch felt compelled to adopt the policy for- has undergone decay, and other purposes havemulated by Pope Gregory viz of transferring come to acquire greater interest and importance. pagan festivals to Christian auspices and of be- Funeral feasts, primarily characterized by abne- stowing an outward sanction on the gratification gation and mortification, and intended to exer-of deep seated yearnings, which were afforded cise a placatory action and to avert envy, oftenan outlet in the occasional release from the assume even in primitive cultures the avowedausterity of social and moral restrictions. character of carousals and of occasions for social The social utility of such relaxations of social conviviality and indulgence. The transition fromcodes in safeguarding the established order is magico- religious functions to simple festivityacknowledged in formulae like panem et circen- and revelry is generally favored by the nature ofses. The popularity of Roman officeholders was collective rites, which commonly include orgies largely dependent upon their liberality in fur- of eating and drinking and the removal of cus-nishing popular festivals. The utilitarian pur- tomary restraints, particularly sexual tabus andpose of festivals is even emphasized in religious class distinctions. The Jews were fond of re-doctrine, as in the chartered license of the car- garding their religious festivals as manifesta-nival as a preparation for the mortifications and tions of joy, and indeed the term chag (Arabicprivations of Lent or the 'id es- saghir following hadj) by which their ceremonial festivals werethe Moslem fast of Ramadan. The temporary denoted comes from the root which means toobliteration of class distinctions, the innocuous dance in a circle, and the pesach, or Passover, isfraternization of masters and slaves, character- the "feast of leaping." The license common in istic of the Roman Saturnalia and Lupercalia fertility rites, which was originally magic in in-and paralleled in the servants' ball and similar tention, is also indulged in for its own sake.feudal institutions of England, the transitory Rituals connected with agricultural and otherillusion of affluence and luxury afforded by cults have given rise to theatrical drama and largess to the populace, the relaxation of rigid comedy. Festivals originally intended to promote sexual codes, all operate as powerful elements in the activity of nature by sympathetic exertionthe appeal of chartered festivities and serve at on the part of the participants have tended to bethe same time as safety valves against the dan- valued for their own sakes as dances, athleticgerous effects of continuous restraint. The pro- contests and sports. The vestments, disguisesfessedly benevolent concern of established au- and ritual symbols, which at first possessed athorities in the supplying of amusements and functional magical significance, have given risepleasures suited to the tastes of the multitude to pomp, decoration, ceremonial and displayis recognized as a valuable means of allaying that are enjoyed on their own account. Disposi-disaffection, of turning the edge of disloyalty tions generally disavowed and inhibited, suchand of distracting the popular mind from more as the interest in bloodshed and cruelty, aredangerous, if more serious, interests. Organized afforded in primitive ritual an outlet which hassports, nearly all of which may be traced to long survived in popular festivals, as, for in-primitive rituals having a magic purpose, are stance, in the Roman gladiatorial games, in theovertly preconized, in the English public school baiting of animals, in bullfights, in the torturing'system, for instance, as the most suitable outlet and burning of heretics, which formed a partfor exuberant vitality that would naturally tend of popular, religious and dynastic festivals into flow in more perilous channels. And the grav- Spain, and in public executions, which wereity of periods of political and social unrest may until late times occasions for festive popularbe gauged by the amount of attention devoted holidays in England and on the continent. Theby the authorities and the official press to sport- potent appeal of license, festivity, merrymakinging events and festive pageantry. and the "holiday spirit" has naturally contrib- The extreme license and orgiastic character uted in a large measure to the survival of what of festivals directly derived from primitive ritual were originally ritualistic observances. Clementwere from an early date subjected to moderating of Alexandria denounced the attachment shownregulations on the part of religious and political by Greco -Roman populations to pagan cults asauthorities. The drunkenness and disorder which 200 Encyclopaedia of the Social Sciences characterized the Jewish harvest festival of chagconstant object of ecclesiastical denunciations. hasuccoth, the Feast of Tabernacles, called forthThe Lord of Misrule was suppressed in Scot- the denunciations of the prophets. A similarland in 1555, and the Feast of Fools succumbed ascetic disparagement of feasting is found into the repeated condemnations ofecclesiastical Buddhism. In Athens the phallic symbols in thecouncils. Protestantism, fundamentally hostile Thesmophoria and Dionysian festivals had toto all festive manifestations, was keenin scenting be covered or disguised, the obscene hymnsout the pagan character of churchfestivals and submitted to censorship, and Solonic laws, ac-in waging war against their chartered license. cording to Plutarch, regulated the outgoings ofMay Day festivals, once among the most popu- the women and their festivals, forbiddingall lar in England, were all but suppressed by Puri- disorder and excess. The corresponding ritualtan zeal. In like manner the weeklyfeast of feasts in southern Italy and Rome, the Baccha-rejoicing, or Day of the Sun, taken over by nalia, were during the second century B.c. thethe early church from current Roman Mithraic object of much fierce state opposition, amount-usage has, like the continentalSunday, been the ing to persecution. object of the fierce denunciations of Puritanism; In both the Attic and the Italian festivals theand the observance of the Sabbath or Saturday, image of the god was drawn in a chariot shapedwhich had been severely condemned by the early like a ship -originally, as in Egyptian proces-Christian church and tradition for its Judaizing sions, the ship in which the deity navigated thetendency, was adopted and with strange incon- waters of the celestial ocean -andthe engine,sistency transferred to Sunday. Early Puritan similar to the floats in modern pageantry, wasopposition to Christmas and other church festi- known as the currus navalis, an expressionwhichvals led for a time to their neglect. The com- has given rise to the term carnival. Anidenticalmercial interests involved in the observance of usage obtained in Flanders, thedeity being inthose festive seasons has, however, operated as this instance the goddess Bertha (theNerthusa potent factor in preservingthem from obso- of Tacitus) whose wheeled ship was followedlescence. The celebration of Christmas and the in torchlight processions by disorderlycrowdsNew Year, of Easter and of minor feasts, such of scantily dressed women. The festival despite as St. Valentine's Day andApril First in France, its extremely licentious character was, like otheris encouraged on account of the benefits which occasions, such as pagan observances, adoptedby the Catholicaccrue to trade. New festive church. The Teutonic feast of Fastnacht (Fase- Mother's Day, have been promoted from similar nacht, or Vigil of Folly) and the Celtic brandonmotives. feast were similar, although less pronouncedin Secular authorities have never neglected the their license. The carnival feasts, in which themany social advantages to bederived from the participants wore masks and were often dressedencouragement of festivals, pageantsand holi- in white shrouds to represent ghosts (thepier - days. State festivals, although deriving their pat- commonly been rots and the punchinellos of latertimes), excited,tern from religious ritual, have notwithstanding their adoption by the churchpurely secular and political in origin. InChina authorities, the repeated denunciations of thethe utmost importance was attached to the cele- of clergy. bration of the birthdays of the emperor and The Roman feast of sowing, known asthethe empress, to the day of receiving theimperial Saturnalia, or Libertas Decembri, was of a like message at the monasteryand to the anniver- of the character. It began on the seventeenth ofDe-saries of the deaths of all the emperors cember and originally lasted three days but wasreigning dynasty. The feasts of the new moon gradually extended to the first days in January.and the full moon were likewise associatedwith In their Christian form the December orChrist-concern for the welfare ofthe Son of Heaven. what was known asDemocratic, republican and even communist mas festivities constituted tradition of the Feast of Fools, the revels beingunder thestates have taken over much of the mock presidency of a personage variouslyknown civic policy from autocratic and theocratic states and have shown themselves no less eager to use as the Lord of Misrule,the Abbot of Unreason, the Boy Bishop, some of whose traits havebeen the solemnity and pageantry of festivals as means transferred to the adopted Teutonic Santa Claus. for cultivating civic loyalty and patriotism. The The guisers, or Christmas waits, of Scotlandpomp and circumstance thathad been devoted still wear miter shaped caps of brown paper. The to inspiring martial ardor and tostimulating adopted pagan festival was, like the carnival, the loyalty to the throne have come to be used to Festivals-Fetishism 201 inculcate enthusiasm for peace, for liberty, equal- or because of the presence of a spirit. In a more ity and fraternity and for the social revolutionpopular sense the term stands for any sort of against capitalism and militarism. materialism in religion, any tendency to treat Collective festivals, the symbolism of pag-divine power or mind as having a body or as eantry and ceremonials are among the most pow-operating like a physical force. The word was erful means influencing the psychology of crowds first used by the Portuguese, who reached west and will doubtless always serve their purpose asAfrica in 1481 and classed the cult objects of the most concrete expression of collective emo-the natives under the loose and general head of tions and loyalties. The chief disadvantage at-feitiFos, or charms. taching to such collective expressions lies in the At first the term and its derivatives referred inevitable tendency of formalism and ritual toonly to west African practises. Purchas in his take the place of genuine feeling and conviction Pilgrimage (1613)described "strawenrings and in the hypocrisy which frequently attendscalled Fatissos or Gods," and used fetissan for the customary, formal or compulsory participa- fetishlike and fetiséro for the fetish -man. Dap- tion of the individual in regulated expressions ofper (Naukeurige beschrijvine der afrikaensche, sentiments which he may not always truly share.Amsterdam 1668; French translation Amster- The wasteful expenditure lavished on frivolousdam 1686, p. 307, 313) wrote of fetisis and the occasions of festivity has, since the Middle Ages,fetiséro, the former including "idols of wood been the object of protest and criticism. and green herbs" and an "old earthenware pot." ROBERT BRIFFAULT Bosman (Nauwkeurige beschryving van de guinese See: RITUAL; CEREMONY; RELIGION; MAGIC; SOCIAL Gond- Tand -en slave -kust, Utrecht 1704; English ORGANIZATION; CALENDAR; FERTILITY RITES; BIRTH translation 2nd ed. London 1721, p. 348), while CUSTOMS; DEATH CUSTOMS; MARRIAGE; AMUSEMENTS, allowing a general belief in "one true God," PUBLIC. supposed it to have been acquired through con- Consult: Frazer, J. G., The Golden Bough, 12 vols. (3rd tact with Europeans and contrasted with it the ed. London 1909 -15) vol. ii; Spohr, Wilhelm, Kultur und Feste, Flugschrift des Dürer -Bundes zur Aus- fetish as represented by "the false god Bossum," druckskultur, no. 209 (Munich 1926); Buddingh', D., as also by animals, plants and stones. Most eth- "Feesten en feesttijden natuur- , kerk- en volksfeestennographers dealing with this part of Africa in oorsprong en beteekenis" in Académie Royalehave been wont to refer in the same indis- d'Archéologie de Belgique, Annales, vol. xxv (1869)criminate way to the fetishes, or jujus, without 229 -425; Thumwald, Richard, "Fest" in Reallexikon der Vorgeschichte, vol. iii (Berlin 1925) 230 -33; Dow - trying to indicate how far such terms of purely den, John, The Church Year and Kalendar (Cam-European origin and of decidedly dyslogistic bridge, Eng. 1910); Le Liber pontificalis, ed. by Louis import have any precise counterpart in the Duchesne, 2 vols. (Paris 1886 -92); Kellner, K. A. H., indigenous vocabulary or scheme of thought. Heortologie (2nd ed. Freiburg i. B. 1906), tr. as Heor- tology: a History of the Christian Festivals from Their Rattray, however, in Religion and Art in Ashanti Origin to the Present Day (London 1908); Franklin, A. (c-h. ii, p. 322 -24), while vigorously protesting M., The Lupercalia (New York 1921); Weinhold, against fetishism as a suitable description of Karl, Über die deutsche Jahrtheilung (Keil 1862); Du Ashanti religion in general,isprepared to Tilliot, J. B. L., Mémoires pour servir a l'histoire de la identify the fetish with the suman, defined as fête des foux (Lausanne 1751); Weigall, A. E. P. B., The Paganism in Our Christianity (London 1928) chs. "an object which is the potential dwelling -place xxi- xxiii; Fowler, W. W., The Roman Festivals of the of a spirit or spirits of inferior status, generally Period of the Republic (London 1899); Harrison, J. E., belonging to the vegetable kingdom; this object Prolegomena to the Study of Greek Religion (2nd ed. is also closely associated with the control of Cambridge, Eng. 1908) chs. i -iv; Green, W. H., He- brew Feasts in Their Relation to Recent Critical Hy- the powers of evil or black magic, for personal potheses concerning the Pentateuch (New York 1885); ends, but not necessarily to assist the owner Natesa Sastri, S. M., Hindu Feasts, Fasts and Cere- to work evil, since it is used as much for de- monies (Madras 1903); Bredon, Juliet, and Mitropha- fensive as offensive purposes." The power of now, Igor, The Moon Year: a Record of Chinese Cus- such objectsis not derived from the gods toms and Festivals (Shanghai 1927); Ancient Records of Egypt, ed. by J. H. Breasted, 5 vols. (Chicago 1906- (abosom- Bosman's Bossum) but from spirits 07); Loth, J., "L'année celtique" in Revue celtique, of an inferior order such as the sunsum of plants vol. xxv (1904) I13 -62. and the mmoatia, or "fairies." The priest of the high god Ta Kora would have no suman in FETISHISM is the magico- religious belief in his temple, declaring that "suman spoils the and use of material objects held to possessgods." The samanfo, or ancestral ghosts, which supernatural virtue either in their own rightRattray regards as "the predominant influences 202 Encyclopaedia of the Social Sciences in the Ashanti religion," have nothing to doproperties, as an iron ring to give firmness, or a with suman. The latter, in short, are the instru-kite's foot to give swift flight." He restricted ments of a supernatural power conceived asthe use of the term fetish to an object which relatively blind and unmoral in its workings,"is treated as having personal consciousness whereas gods and ancestors are definitely benefi-and power, is talked with, worshipped, prayed cent beings. The word ought then to be usedto, sacrificed to, petted or ill- treatedwith ref- only in reference to the suman even whenerence to its past or futurebehaviour to its strictly confined to west African phenomena.votaries." By this definition the word which Its use as a technical term is hampered by theoriginally meant charm now had that very fact that it belongs to the slang of the coastmeaning expressly disallowed. and having a derogatory implication leads to an Tylor's authority held undisputed sway until undervaluation of the higher elements undoubt-the end of the century, when his doctrineof edly present in the complex of native beliefs. animism was attacked or rather supplemented Fetishism was first promoted to the statusfrom two sides at once. It was urged that room of a general category of comparative religionmust be found within the complex ofprimitive when President C. de Brosses published his religion both for a dynamism involving notions famous work, Du culte des dieux fétiches (Paris of the type of mana-a contagious wonder work- 176o). Until Tylor's animism displaced it fetish- ing power of a more or less impersonal kind - ism stood as the established name for the mostand for an anthropomorphic theism involving primitive type of cult, treated as a stage throughhigh gods conceived as "magnified non -natural which humanity as a whole had passed andmen," not wholly explicable in terms of animism. regarded as a sort of lower idolatry, in which Modern anthropology would do well to treat the idol is rather the embodiment than thefetishism as an obsolete term for ethnological symbol of the associated spiritual power. Depurposes. Moreover, the scientificethnographer Brosses thought fétiche to be connected withmight be wise to dispense with the word fetish chose fee, fatum-an etymological error whicheven in its historic sense,namely, as it applies may have helped to investthe phrase withto "a limited class of magico- religiousobjects additional vagueness. By the time that Comtein Africa." Meanwhile popular writers will tried to envisage it as the initial stage of humandoubtless continue to use fetishism and fetish, religion it had become equivalent to the ven-together with phrases such as "making fetish" eration of the powers of nature as revealed in(i.e. holding a ceremony) and "takingfetish" any of its forms and manifestations.It is in(i.e. swearing an oath), without regard to con- accordance with this sweeping conception thatsistency of meaning and as if concerned with McLennan, the discoverer of totemism, de-one dead level of basesuperstition. scribed the latter as "fetishism with certain R. R. MARETT peculiarities." When Tylor in Primitive Culture See: MAGIC; RELIGION; CULTS; TOTEMISM; ANIMISM. (1871) proposed animism, "the belief in Spir- Consult: Tylor, E. B., Primitive Culture, 2 vols. (3rd itual Beings," as a minimum definition of reli- ed. London 1891); Waitz, T., Anthropologie der Naturvölker, 6 vols. (Leipsic 1859 -72) vol.ii,p. gion he virtually sounded the death knell of'74-75; Ellis, A. B., The Tshi- speakingPeoples of fetishism as a classificatory term by directing the Gold Coast of West Africa (London 1887) ch. xii; attention to the principle that causes a given Kingsley, M. H., West African Studies (2nd ed. object to be accounted sacred. Tylor, who be- London 1901) chs. v -vii; Nassau, R. H., Fetichism in West Africa (London 1904); Lippert, Julius, Kul - lieved that in all cases an indwelling spirit of turgeschichte der Menschheit, 2 vols. (Stuttgart 1886- some kind is held to beimplicated, retained87) vol. ii, p. 363 -504; Haddon, A. C., Magicand the term fetishism as a "subordinate depart- Fetishism (London 5910) p. 64 -94; Hoste, W., "Fe- ment" of animism, which consists in "the doc- tichism in Central Africa and Elsewhere" in Victoria trine of spirits embodied in, or attached to, or Institute, Journal, vol. liii (1921) 749 -65; Nieuwen- hius, A. W., "Der Fetichismus im indischen Archipel conveying influence through, certain material and seine psychologische Bedeutung" in Archivfür objects" including the worship of "stocks andReligionswissenschaft, vol. xxiii (1925) 265-77; Rat - stones" and passing "by an imperceptible gra-tray, R. S., Ashanti (Oxford 1923), Religionand Art dation into Idolatry" (vol. ii, p. 144). He denied, in Ashanti (Oxford 1927) ch. ii, and Ashanti Law and Constitution (Oxford 1929); Spencer, Herbert, De- however, that all objects "to which ignorantscriptive Sociology: African Races, compiled by E. men ascribe mysterious power" amount to"realTorday, vol. iv (London 193o); Schmidt, Wilhelm, fetishes" and excluded "symbolic charms work- The Origin and Growth of Religion, tr. from German ing by imagined conveyance of their specialms. by H. J. Rose (London 1931) ch. v. Fetishism-Feudalism 203 FEUDALISM EUROPEAN MARC BLOCH SARACEN AND OTTOMAN ..ALBERT H. LYBYER CHINESE O FRANKE JAPANESE K. ASAKAWA

EUROPEAN. The adjective feodalis (relating to them, the term vassal, taken by the Romans the fief) and the French substantive féodalité,from the Celts -with Germanic elements by its used in the restricted sense of a quality peculiar very medley represents the singularly mixed to a fief, date the first from the Middle Ages,character of the society in which feudalism took the second probably from the sixteenth century. its rise. But it was not before the eighteenth century that The most remarkable characteristic of the the custom arose of using for the designation ofwestern world at the beginning of the Middle a whole system of social organization either com-Ages was the fact that it had been constituted pound expressions like feudal regime, govern-by the encounter and fusion of civilizations ex- ment or system or, a little later, abstract sub-isting at very unequal stages of evolution. On stantives such as féodalité or feudalism. German the one hand, there was the Roman or Romano - historians in general have adopted LehnwesenHellenic world, itself hardly a unit in its foun- from Lehn, the German equivalent of fief. Thedations- For under the apparent uniformity of extension of the use of a word derived from athe imperial façade many local usages persisted particular institution, the fief, which can scarcelywhich imposed conditions of life at times quite be considered the central and only significantdissimilar upon the various social groups.', On institution of feudalism, to characterize the so- the other hand, there was the still comparatively cial regime prevailing widely during the Middleprimitive civilization of the peoples of ancient Ages, and more particularly from the tenth to Germany, who had invaded the Roman domains the thirteenth centuries, in the greater part ofs_ánd carved kingdoms out of western and central Europe is mainly attribut- The bankruptcy of the state represents the able to the influence of Montesquieu. Althoughmost potent fact during this period. Whatever Montesquieu considered the establishment incare the kingdoms of the barbarians may have Europe of "feudal laws" a phenomenon suitaken to turn to their profit the formidable ad- generis, "an event occurring once in the worldministrative system of ancient Rome -already, and destined perhaps never to occur again,"moreover, far advanced in decay at the time of modern sociologists and comparative historiansthe great invasions -however remarkable an have detected in other civilizations the existence effort at rehabilitation the monarchy of the first of institutions analogous to those of the MiddleCarolingians may have represented after a cen- Ages. Consequently the term feudalism hastury of extreme disorder, the powerlessness of come to be applied to a mode of social organi-the central government to exercise an effective zation that may recur in divers forms in differingcontrol over a territory much too extensive for periods and environments. Mediaeval Europeanthe forces at its disposal betrayed itself more feudalism nevertheless remains the model of alland more glaringly, and for a long period after feudal systems as well as the best known. the middle of the ninth century, in a manner The origins of the European feudal regimetruly irremediable. Undoubtedly the reenforce- have too frequently been discussed under thement accruing from the Germanic traditions form of an ethnic dilemma: are they Roman orwas not in this regard entirely negligible; the Germanic? As a matter of fact the social type conception of royalty as the appanage of a sacred that is called feudalism was born in Europe offamily, which derived from the most primitive conditions peculiar to the society from whichnotions of ancient Germany, resulted in a dy- it sprang. Since feudal society did not stampnastic perpetuity better established than any itself upon a clean slate, but evolved little by/that the Roman Empire had ever known. The little through the slow adaptation and modifica-idea of the state -or, more accurately, the idea tion of older usages, it is not difficult to discoverof royalty -never entirely vanished. Likewise in it traces of earlier systems of organization.the institutions codified by the Carolingians But these elements were borrowed from very long continued, more or less deformed, to exer- diverse environments. The feudal vocabularycise an influence. Men, however, lost the habit itself, which combines Roman elements -one ofof expecting protection from a too distant sov- 204 Encyclopaedia of the Social Sciences ereign. They sought it elsewhere and supplanted existence of every man to depend narrowly upon their obedience to the more remote ruler byhis possibility of disposing in some way of the other ties of dependence. The state tax ceasedresources furnished by a portion of the soil to be collected and the administration of justiceplaced under his control. But an important frac- was parceled out among a crowd of local author-tion of the population drew its revenue from ities that had little or no connection with athe land only indirectly under the form of per- central organism. sonal service in money or in kind for the use of Less apparent but not less grave was the dis-the land. Moreover, the possession of superior turbance among social groups founded but lately rights to the land was for the possessor in many upon a kinship more or less remote and ficti-respects but a means of exercising an effective tious, such as clan or tribe. It is impossible topower of command over the men to whom he ascertain to what degree the tradition of the oldconceded or permitted the direct enjoyment of clannish relations had been able to survive inthe fields. One of the essential characteristics of) Roman Gaul and Italy, although in Great Brit-feudalism isthat ,prestige and social worth ain the history of the imperfectly Romanizedsprang less from the free disposal of property Celtic lands at the beginning of the Middle Agesthan from the free disposal of human forces. shows(them still very strong. On the other hand, But the difficulty of commercial exchange had a it cannot be doubted that this kind of social considerable effect upon the structure of society. group was of great importance among the Ger-The absence of an easy flow of sales and pur -1 man peoples during the period immediatelychases such as exists in present day societies preceding that of the invasions. But the greatprevented the formation of agricultural or in- turmoil of the conquest, together, no doubt,dustrial salaried classes and of any body of func -+ with certain tendencies from within, weakenedtionaries remunerated periodically in money. 1 these ties. Not that kinship relations ceased In the absence then of a strong state, of blood during the entire Middle Ages to be a humanties capable of dominating the whole life and of bond of immense strength. The numerous fam- an economic system founded upon money pay- ily feuds which jeopardized the active and pas- ments there grew up in Carolingian and post - sive solidarity of groups in all grades of the Carolingian society relations of man to man of 4 social hierarchy bear witness to the strength ofpeculiar type. The superior individual granted these ties. So do various institutions juridicalhis protection and divers material advantages\ and economic. But these ties came to apply onlythat assured a subsistence to the dependent di -1 to a comparatively restricted group whose com- rectly or indirectly; the inferior pledged various mon descent was easy to establish, namely, theprestations or various services and was under a1 family in the strict sense of the word and nogeneral obligation to render aid. These relations longer the clan or the tribe., This group, whichwere not always freely assumed nor did they made room for paternal as well as maternalimply a universally satisfactory equilibrium be- kinship, was not very clearly defined and mosttween the two parties. Built upon authority, the of the obligations or modes of living imposedfeudal regime never ceased to contain a great upon its members resulted rather from habitsnumber of constraints, violences and abuses. and feelings than from legally defined con-However, this idea of the personal bond, hier- straints. The ties of kinship continued to exist archic and synallagmatic in character, dominated very powerfully in the feudal society but theyEuropean feudalism. took their place beside new ties after which they Societies before the rise of feudalism already tended to pattern themselves and to which theycontained examples of relations of this sort. were at times considered inferior. These did not, however, play the preponderant Çhe social environment in which the feudalrole that they were to assume later. (Rural lord- relations developed was characterized by an eco- ship existed in the Roman world, and also at least nomic system in which exchange although notin germ in the Germanic world. Roman society entirely absent was comparatively rare and in never ceased to give a large place to patron and 4,vhich the not very abundant specie played butclient relationship. Around the powerful surged) a restricted role)It has sometimes been saida great crowd of persons -at times themselves that at that time land was the only form of high rank -who commended themselves to wealth. This statement needs explanation and hem. In addition these clienteles included as a qualification. It cannot be denied that the pau-general rule numerous former slaves freed by city of commercial relations caused the verytheir masters in exchange for certain obligations Feudalism 205 of an economic nature and a general duty ofconsidered necessary to revive the tie. Being fidelity (obsequium). Celtic society before theattached to concrete forms the vassalic right conquest also contained similar groups. In Ger- held bound only the two persons whom the many alongside the normal relations that unitedceremony brought face to face. the freeman to his family, his clan and his The reciprocal obligations of lord and vassal people others more transitory had grown up inrested upon general simple principles suscep- ,the form of bands of faithful men of every origintible in their details of infinite modifications and gathered aroûnd a chief. Nourished in his dwell- regulated with an increasing precision by local ing, receiving from him horses and armor, theycustom. The vassal owed the lord fidelity, obe- accompanied hi tto battle and constituted hisdience in the face of the whole world and aid in strength and pres ige. In this way people becameall circumstances in which the lord might need accustomed to a certain conception of socialit. He supported him with his counsel, assisted bonds which developing in a favorable environ-him on occasion in his judicial functions and ment were to give rise to feudalism proper. opened his purse to him in case of necessity. The leading features of feudalism in its fullyLittle by little the cases in which this pecuniary developed form are the system of vassalage andaid -also called tallage -was legitimately exact- the institution of the fief. As early as the Frank-able tended to become more defined and re- ish and Lombard periods a great number of free-stricted to such occasions as the celebration of men of all ranks felt the need of seeking thethe knighthood of the lord's eldest son and of protection of someone more powerful than them- the marriage of his eldest daughter, ransom and selves or of securing a decent livelihood byso on. Above all the vassal owed the lord mili- offering their military services to a superior.tary service. This form of aid gradually came to The poorest became slaves or simply tenants.\predominate over all others. But all who could clung to their dignity as men In return the lord owed his man his protection; legally free and preferred not to lower them -.he assumed his defense before the tribunals, selves to the less honorable services which búr-when there still were state tribunals; he avenged rdened the tenant liable ,to the corvée. They his wrongs and cared for his orphans until they "commended" themselves ingenuili ordine. Ex-became of age. Besides he assured him a liveli- alted persons, on the other hand, sought tohood in various ways and especially in the fdrm surround themselves with loyal people whoof an economic grant generally known as a fief. should be attached to them by solid bonds. Thus In the absence of a salary system there existed""' arose the contract of dependence most characr/but two means of remunerating services. The teristic of the feudal system. master could receive his dependents in his own In Frankish law, at least, the relations ofhouse, assure them food and shelter (provende), vassalage were established by means of a formaleven clothe them; or he could assign them a act to which a little later the name homage waspiece of land upon which they might support applied (in German Mannschaft or Hulde). Thethemselves either directly or through returns future vassal placed his hands in the lord'sreceived from those allowed to work it. joined hands while repeating a few words prom- Of "provided" vassals nurtured in the lord's ising loyalty, after which lord and vassal kisseddwelling there were certainly a great number each other on the mouth. As this ceremony,in the ninth and tenth centuries. They were still probably borrowed from old German traditions,to be met with in the France of Philip Augustus. gave no place to any religious elements, theBut vassals and lords early agreed in preferring custom early arose of following it up with anthe system of allotments of land, which pro- oath of fealty taken by the vassal on the Gospelvided the former with a greater independence or on relics. and relieved the latter from the responsibility The obligations created by homage and fealtyof looking after the support- particularly diffi- held as long as both contracting parties werecult under a rudimentary economic regime -of alive. They were extinguished upon the deathnumerous and at times turbulent bands. Grad- of either. When heredity later came into playually most of the vassals found themselves it undermined the whole system of vassalage."housed" (chasés, casati). The land assigned to But heredity itself, as applying to the vassalicthem derived its peculiar features from the fact bonds, always remained rather a matter of prac- that it carried with it certain clearly defined serv- tise than of law. In case of the death of lord orices that were to be performed for the grantor. vassal a new offer of homage was in every caseThe property thus granted was at first called 206 Encyclopaedia of the Social Sciences beneficium. Then little by little in the countries The seigniory, or manor, was the fundamental of Romanic speech which had adopted Frankishunit of the feudal regime. Under the name of customs this term was supplanted (to such anvilla it was very widespread in Gaul and in extent that it has left not a trace in the Gallo -Roman Italy and in both cases doubtless went Roman dialects) by a term of Germanic origin:back to very old traditions such as those of vil- fief (Avum or feodunz). The possession of landlage or clan chieftains. The seigniory usually con- without obligation to any superior was, after thesisted of several small farms. The cultivators Frankish period, called alodial tenure. When awere not the owners of the land but owed vari- freeholder of this kind felt the need of commend- ous duties and services to a lord who exercised ing himself he was in most cases forced to turnover them a general power of command and over his holding to the lord and receive it backfrom whom they held their lands on condition as a fief. With the more complete feudalizationof a renewal of the investiture and the payment of society these alodia decreased in number. of a certain sum with every mutation. Generally As the tenure service was a general institutionin the Frankish period the lord also possessed of the economy of the period, there always ex-a vast farm, the demesne, whose cultivation was isted a very great number of fiefs whose holdersassured in large part by the corvées due from were not vassals: fiefs of artisans attached to the the tenants. After the twelfth century these lord, such as painters and carpenters; of serv-demesnes, chopped up into small farms, de- ants, such as cooks and doorkeepers; of officialscreased in importance, first in France and Italy, charged with the administration of the manors, more slowly in Germany, and the lord tended such as mayors and provosts. But any landto become a mere receiver of land rents. granted to a vassal could be only a fief. Little by In gathering round the seigniory humble folk little, in proportion as the class of vassals tendedobeyed the same need of protection that men of to be transformed into nobility their fiefs ap-a higher rank sought to satisfy in vassalage. The peared of a superior condition to those thatsmall peasant handed over his alodium to the were encumbered with humbler services, andlord and received it back under the form of a eventually the jurists inclined to regard themtenure with dues and corvées attached. Often as the only true fiefs. The institution of the fief,he pledged his person and that of his descend- like that of homage, retained its personal char-ants by the same act, thus entering into personal acter and was effective only for the lifetime ofservice. The life of the seigniory was regulated the contracting parties. Whenever either of themby custom. As the lords had every interest in died the concession had to be renewed in thekeeping their lands peopled, the habit speedily form of the symbolic tradition of investiture.arose of considering the peasant tenures, even With the establishment of the hereditary prin-the servile ones, as hereditary. Again, the seign- ciple this ceremony became the means wherebyiory fortified itself in the feudal period by ap- the lord collected a sum of money (relief) as thepropriating a great number of state functions price for the renewal of the fief. and by assuring the remuneration of the military On the other hand, it frequently happenedclass, which tended to rise above the others. that the vassal himself disposed of the very fiefs The churches figured among the principal he held from a superior lord as fiefs for his ownpossessors of seigniories. Some of them from men. This subinfeudation, in principle, pre-the end of the Roman Empire obtained the right sumed the assent of the grantor of the originalto retain the taxes levied upon their subjects. fief, but social necessities made it more andThese privileges, confirmed and extended to more customary to dispense with this. Thuschurches more and more by the Frankish sov- alongside of and to a large extent parallel to theereigns, were the first form of immunity. This chains of personal dependence there arose chainssoon carried with it another advantage: the pro- of landed dependence. Mediaeval law in con-hibition of representatives of the law- exacting trast with the Roman and modern notions ofand prone to be tyrannical -from trespassing landed property conceived the soil as beingupon immunized land to exercise their func- subject to a great number of real rights differingtions, notably their judicial powers. Analogous among themselves and superimposed. Each ofimmunities were early obtained by lay lords. them had the value of a possession protected by In theory the men who lived upon a seigniory custom (saisine, seisin, Gewehr) and none wasthus privileged remained answerable to the royal clothed with that absolute character which thecourts; their lord was responsible for their ap- word property carries with it. pearance. In reality the lord more and more Feudalism 207 tended to become a judge; he always had beenconfided to them a part of their functions and so for his slaves, who at least in their relationsthe administration of a part of their property. to one another and to their master were answer- Social and economic conditions thus made for able by the nature of things only to him. On thedecentralization and produced a veritable par- other hand, his role as protector seemed to con- celing out of all the powers of the state, such as fer upon him the right to maintain good orderjustice, the right to coin money, tolls and the among his free tenants and his vassals. Underlike. The profits accruing from these powers fell Charlemagne the state itself considered his in-not only to the former direct representatives of tervention a guaranty of good order. After thethe state, such as the counts, or to the immu- fall of the Carolingian state the judicial powernized churches, but also by a sort of secondary of the lord found a new lease of life in the usur-appropriation to the representatives of these firs) pation of public functions, itself the consequenceusurpers. p/ of the utilization of vassalage by the sovereigns. The introduction of the principle of heredity In the Frankish period all freemen wereinto the feudal system was of paramount im- liable to military service. But more and moreportance. The lord, who had need of men,i the strength of armies seemed to center in horse-sought to retain the services of the dead vassal's men equipped with complete armor and servingsons. The vassal's son was usually quite willing as leaders for little bands of other horsemen andto do homage to his father's lord, in whom he of footmen. To remunerate the services of thesefound a natural protector. Above all it was at knights, who accompanied them to the royalthis price alone that he could keep the ancestral army or aided them in their blood feuds, thefief. In fact heredity was adopted little by little noblemen had acquired the habit of distributingas a rule of conduct demanded first by public fiefs among them; and, to make sure of theiropinion, then by custom, and the lord who de- fidelity, of . requesting homage. The sovereignsmurred ran the risk of offending his men. soon did the same. Notably Charles Martel,Charles the Bald considered it to be normal. In engrossed in his struggle against the Arabs andItaly the emperor Conrad II established it as domestic enemies, created numerous militarylaw for fiefs below those of a count. Neither in. fiefs, carved largely from the domains of theFrance nor in Germany was`iit ever the subject churches which he usurped. Commendation,of any legislation. In France it was early made which had in the beginning been a sure means general with but few exceptions and in Germany for men of every class to find a protector, tended it was adopted more quickly for fiefs of a lower thus to become a social tie peculiar to a class oforder and more slowly for fiefs of greater im- military vassals (of the king or the nobles), whoportance. were at the same time possessors of seigniories. At the same time that they became hereditary 1By a parallel tendency the old ceremony of thethe fiefs tended to become alienable. Of course delivery of arms, a heritage from Germanicthe lord's assent would always be necessary for traditions originally distinguishing the majorityalienation. But it became less and less admissible of all freemen, now applied only to specializedto refuse it. The fiefs, together with the author- warriors. This was the "dubbing "; whoever hadity attaching to them and with the fragments of received it could give it in his turn and therebystate functions that often went along with them, make knights. This class, until the twelfth cen-became hereditary, resulting in a confusion of tury still open to adventurers of every origin,powers over men and things. Heredity, how- t had an ethics of its own, a code of honor andever, while it put a seal on the feudal system fidelity tinged more and more with religiouscertainly compromised its very foundations. ideas, and felt itself to be virtually an order. In all consistency the vassal system would On the other hand, to reward their represen-have required each vassal to have but one lord. 4 tatives throughout the country, in particular theThat was the very condition of the entire devo- counts, the kings, not being able to put them ontion which was the first of his duties, and the salary, distributed fiefs among them consistingCarolingian legislation had so decided. But it either of lands or of a share of the royal revenueswas a great temptation to take fiefs wherever one in the provinces. To bind them by a tie thatcould get them; when the fiefs had become patri- had some strength they chose them from amongmonial it sometimes happened that a vassal re- their vassals or exacted homage of them. Theceived by inheritance or purchase a fief that was royal vassals in their turn and the churches sur- held from some lord other than the one to whom rounded themselves with their own vassals andhe had first done homage. Cases of vassals of 208 Encyclopaedia of the Social Sciences two or more lords are found from the tenththe hands of the royal power. The emperors also century and they become more numerous in themaintained a long and effective struggle against later period. How was one to apportion obliga-the inheritance of the great fiefs. But they had tions to the various masters? In France in theto accept the obligation to enfeoff again the fiefs eleventh century the custom arose of choosinghaving the powers of earldoms when they were one of these allegiances as more binding thanleft without heirs or had been confiscated. This, the others. This was called liege (pure) homage. unlike the case of France, prevented the increase But in the thirteenth century this system, in itsof the royal domain itself. In Italy the previous turn, was rendered ineffectual by the very mul-importance of the cities and the urban habits of tiplication of the liege homages offered by thea great part of the knights themselves early cre- same vassal to different lords. One was thenated a formidable rivalry to the powers of the reduced to consider, among the liege homages, landed lords. which always took the first place, and, among In Russia a real feudal regime was in full the simple ones, the first homage in date, orprocess of development up to the moment when sometimes the one attached to the greater fiefit was stifled by the power of the Muscovite as the strongest. In Germany and Italy, wherestate. As in the west, the vassalage of the boyars the liege homage never took root, these classi-became transformed into a state nobility.They fications by dates or according to the importancewere, however, more strictly subject to the czar of the fiefs had always been in vogue. But suchsince the synallagmatic character of the con- multifarious allegiances could no longer counttract of service had always been less marked than for much. in the west. The seigniory, vigorously consti- An essential characteristic of the feudal con-tuted, survived for a long time. In the Byzantine tract was the theory that if one of the two con-state of the first centuries there existed tenures tracting parties broke his pledges he therebyburdened with military service for the state but freed the other party from all obligations. Butthese were tenures of peasant soldiers. The em- precise definition as to the circumstances underperors viewed these free peasants as constituting which non -fulfilment of the contract, whetherthe strength of the army and struggled against on the part of the lord or of the vassal, justified their being crushed by the seigniories. From the the rupture was completely wanting. In spite ofeleventh century their resistance weakened and the efforts of Carolingian legislation this salientfinally the seigniory, favored with immunities point remained vague. The absence of all recog-and obliged by way of compensation to furnish nized superior authority left it to the interestedsoldiers to the state, became the keystone of the parties to arbitrate the particular case. This un-military organization. But these seigniories were certainty, the unforeseen consequence of thenot themselves subdivided in hierarchical form synallagmatic character of the bond, smoothedby bonds of fiefs and vassalage; so that one of the way for all kinds of felony. the essential characteristics of feudalism -that Although the salient features of the feudalgradation of obligations which in Europe pre- regime were very nearly the same in all countriesserved the homogeneity of the political organi- of western Europe there were, nevertheless, cer-zation -was always lacking in Byzantium. The tain national differences and peculiarities. Thus Scandinavian peninsula offers a clear case of in France the parceling out of the powers ofa country in which for want of one of the pri- the state, notably the appropriation of justice,mary elements of feudal organization, that of was carried farthest. There too the military classseigniorial economy, a real feudalism failed to became most solidly constituted and developed arise. its chivalrous code, which from there spread4C.tMuchmore significant is the distinction be- over all Europe. In Germany feudal conceptionstween countries in which feudalism had grown did not pervade the judicial life so profoundly,up spontaneously and those in which it had been and two codes of customary law developed sideplanted by conquest. In the former the feudal by side, the general laws of the different coun-regime was never able to attain that systematic tries (Landrecht) and the laws of fiefs (Lehn-character that hardly belongs to any but insti. recht). The alodia there, as in Italy and thetutions formed fully accoutered and thereby south of France, persisted in greater numbersunembarrassed with survivals. It appears, on the than elsewhere. The exclusive right to investcontrary, as a much more symmetrical edifice the superior judges who dealt with criminalin the countries in which it was planted by con- cases involving the death penalty remained inquest, such as the Latin states of the Holy Feudalism 209 Land, the Norman kingdom of southern Italyman. In Italy, habituated to a kind of life increas- and especially England. ingly urban, he was hardly to be distinguished The social condition of England at the timefrom the rich burgher. In France, on the con- of the conquest was in many respects analogous trary, the nobility made of itself a single closed to that of Frankish Gaul at the time when theclass to which only the king could introduce feudal system began to take shape. Both werenew members. In Germany a whole hierarchy marked by a slow absorption of the free peasantsestablished itself within the nobility, and accord- in the framework of a seigniory whose depend -'ing to the theory of the Heerschild no member ents still obeyed juridical statutes of extremeof one of these subclasses could without dero- variety, by a tendency toward the generalization gation accept a fief from a man occupying a lower of dependent relations, by the appropriation ofgrade. justice by the powerful, by the existence of Beginning in the twelfth century economic tenures burdened with military service and exchange became moreactive.The cities devel-i called as in Germany Laen, and by the impor-oped and relations quite foreign to the feudal tance of the thanes, a class fairly similar to thattype came to light. Bound to his fellow towns- of the Frankish royal vassals. But all that wasmen by an oath of mutual aid, which unlike the poorly coordinated and the fusion of the rela-vassal oath united equals, the townsman needed tions of fief and vassalage had not been effected. no other protector than the community to which The Norman kings imposed upon the countryhe belonged. His social code too was quite dif- a feudal system conceived to their advantage.ferent from that of the military vassal. More- The boundaries of the seigniories (called man-over, the advent of a new economic regime ors) were definitely fixed; a sort of serfdom wasfounded upon exchange and money payment introduced which, however, was in the coursepermitted the extension of the salaried class and of time to evolve in a very different directionat every step of the social scale took away from from the French; in spite of the much greaterthe fief and the enfeoffment any raison d'être fòr power of royal justice than in France the English their functions. lords were considered the exclusive judges of This economic transformation in turn con1 their tenants in their relations with them, whichtributed to the rebirth of the state. Hired troops was finally to prevent the inheritance of tenures.took the place of the vassals, who nearly every- Above all, the kings divided the whole countrywhere had greatly succeeded in limiting their into military fiefs according to a system broughtobligations. Corps of salaried officials subject to over from their Norman duchy. The tenants indismissal were formed. Such concentration of chief were each to furnish the king with a certainpower did not redound solely to the advantage number of knights. To be able to do so theyof the kings. In France and Germany certain distributed fiefs in their turn. But these chainsroyal vassals had brought under their control a of dependence soon becoming practically hered-great number of earldoms and multiform seign- itary all led back to the king, from whom in theiorial rights and exalted their power above the last analysis all land was held, even that of thecrowd of lesser seigniories. While in France the church (under the form of the "free alms "). Thegreat principalities thus formed were at last ab- alodium, a foreign body in the feudal world ofsorbed by the royal power, in Germany they the continent, did not exist at all in England.well nigh annihilated it. In Italy the states Finally, the king could demand the oath offormed around and by leading cities chiefly ben- fealty of his vassals' vassals. efited from this movement. Everywhere the state, At the end of the twelfth century a profoundwhatever its nature, was henceforth a master change took place in European society charac-and protector. He who now depended only on it terized by the formation of classes, economicwithout "commending" himself to anyone no transformations and the development of thelonger felt isolated. state. In the tenth or eleventh century society The rural seigniory lasted much longer. Being consisted primarily of groups of dependents. Asadapted to the needs of the capitalistic era it still the sense of personal ties wore away, the human continued to flourish throughout the sixteenth, mass tended to organize itself inlarge classesseventeenth and eighteenth centuries;it was 1 arranged in a hierarchy. Knighthood becametransplanted by Europeans into various colo- hereditary and changed into nobility. ?n Eng-nies, notably French Canada. It was not abol- land indeed the noble never had precise lawfulished in France until the revolution; it disap- privileges clearly separating him from the free-peared definitely from Germany -aside from a 210 Encyclopaedia of the Social Sciences few survivals -in 1848; in England it disap-with every grave dereliction by the superior peared but very slowly from the statute bookthe release of the inferior in the eyes of the law and left behind a very strong imprint on thewas transferred in the thirteenth century to the constitution of rural society. state. Practically everywhere, but with peculiar The same needs from which vassalage tookclearness in England and Aragon, the idea was its rise long continued to make themselves felt,expressed that the subject is bound to the king at least intermittently in troubled periods. Theonly so long as the latter remains a loyal pro- homage, now but an empty rite, had its substi-tector. This sentiment counterbalanced the tra- tutes. The English liverymen in the time of thedition of royal sanctity and finally triumphed Wars of the Roses are reminiscent of the mesneover it. tenants of the early Middle Ages. In the France MARC BLOCH of the seventeenth century to belong to a great lord afforded the gentry the* best means of get- SARACEN AND OTTOMAN. The conditions which ting on. The orders of knighthood were inventedgave rise to feudalism in Moslem countries by the princes at the close of the Middle Agesvaried fundamentally from those under which to insure the fidelity of those admitted to them;it arose in western Europe. The economic basis Napoleon himself in establishing the Legion ofof western feudalism was a natural economy, Honor had much the same idea. But those orderswhile the economic organization of the East re- that have survived, as well as their contemporary sembled more closely a money economy. In the imitations, have lost every role but that of hon-West the feudal system had its roots in the orific distinction. problem of military protection, whereas the In the last centuries of the Middle Ages theMoslem military fiefs developed not as a means states had sought to turn to account the oldof insuring military protection, but as an abuse feudal organization, requiring of vassals if notof the existing system of revenue collection. In an active military service at least a compensatorythe Saracen Empire of the ninth century feudal tax. But these attempts had little success. Indisintegration was apparently more an effect England a law of the Commonwealth in 1656,than a cause and was the result of a decline of confirmed by the Restoration in 166o, abolishedcapacity in the ruling house, corruption in the all distinction between the fiefs of knights andcentral government and the influence of mer- the free tenures (socages). The fiction that allcenary soldiers. land is held from the crown, the use of the word Feudalism in Moslem countries grew out of fee to designate the highest form of landedthe administration and the disposition of lands rights, are relics of the systematic organizationconquered by the Arabs. Governors were ap- introduced by the Norman kings; primogeniturepointed to rule over the conquered provinces, applied in the absence of a will to all successionwhich were known as the governors' iktii `. At in real estate is a legacy of the law of fiefs. Infirst fiscal and political administration were kept certain German states, such as Prussia underdistinct. The provinces paid a fixed tribute Frederick William t, the fiefs were transformedwhich was farmed and was in charge of the into alodia in the eighteenth century by legis-financial administrator, called the 'ámil. With lative action. France waited until the revolutionthe weakening of the central government the of 1789 to abolish fiefs and vassalage, which hadprovincial governors succeeded in becoming fi- ceased to bring any considerable revenue to thenancial administrators as well, and as soon as coffers of lords and king. In the nineteenththis fusion occurred independent states and century these antiquated institutions finally dis-dynasties grew up. Egypt under the Tulunids appeared in Europe. The class of military vassalsis the most outstanding example of this process. had given birth to the nobility. In France the A similar disintegration was taking place latter saw its privileges completely abolishedwithin the provinces. In the tax districts the along with the feudal organization itself, and byadministration of taxes was divided between the the same act its social role was doomed to ex- village communities, which were collectively re- tinction. But in some other countries it has longsponsible for their taxes, and the great Arab outlived the fiefs both in fact and in law. landholders, called muktas , to whom the govern- t The clearest legacy of feudalism to modernment had assigned in return for a fixed rent or societies is the emphasis placed upon the notiontax the uncultivated lands and those deserted by of the political contract. The reciprocity of obli-their former owners. The tax farming system gations which united lord and vassal and causedextended through the districts and village corn- Feudalism 2II munities. There was very little difference be-country apart from private property, endow- tween the tax farmer and the large landholderments and fallow or desert land was regarded as who guaranteed the taxes on the land grantedthe feudal property of the sultan. Beginning him by the state, for both derived their revenuewith the reign of Kaláun (1279 -9o) Egypt was from the coloni. Gradually the great landholdersdivided into twenty -four parts, of which four became the tax farmers of the districts and thewere reserved to the sultan. Out of these he gave two spheres of activity grew closer together.fiefs to his personal guards, while ten were simi- Unlike the fiefs of the West, however, theselarly assigned to the great amirs and ten be- grants, or iktá entailed no military service; thestowed upon mercenary soldiers. Redistribution only dues which the grantees owed were moneywas supposed to take place at least once in thirty dues. years after a survey. Some sultans took as many In the course of time, however, a process ofas ten or even fourteen parts for their own militarization took place within the empire. Thetroops. Turkish Oa- e guards with whom the Abbasides Once perfected, the institutions of the Mos- surrounded themselves grew very powerful,lem feudal regime were analogous in many in- raided the treasury and threw the empire intostances to those of western feudalism. In both a state of anarchy. The Turkish generalstookmilitary service became the basis of tenure and over wide districts as tax farmersand greatthe fief holders had similar political rights over estates as emphyteuticaries, rarely turning thetenants. But Moslem feudalism, by reason partly revenue into the state treasury. The mercenaryof geography and climate, partly of Arab tradi- soldiers had formerly been paid in wages, buttions embodying looser organization and partly it gradually became the custom, whenever theof Moslem allegiance to the central government treasury was depleted and the soldiers grew un-as succeeding to the authority ofMohammed, ruly in demanding their pay, to reimburse themnever developed the close knit and durable by assigning to them the collection of revenue'hierarchy of western feudalism. The . complexity in various localities. These grants to the soldieryof feudal dues, prestations, succession and mar- were also known as Gradually the estatesriage fees did not approach that of the West. granted to the military formed the great major- Saracen feudalism was superseded in time by ity. Although technically the grants were for athe feudal system of the Ottoman Turks. From limited period and only for the surplus over thean early date the Ottoman sultansgranted land required tax, in practise it became increasinglyin return for military service, establishing a sys- difficult to regain control of the district or totem which avoided the Seljuk disintegrationand collect any funds whatsoever from the grantees.continued through five centuries. Practically all Gradually also the .distinction between givingof the conquered territories in Anatolia and the revenue of the land and giving the land itselfsoutheastern Europe were made into fiefs not tended to disappear. This process went on dur-only in conformity with Saracen and Seljuk ing the tenth and eleventh centuries; toward thecustom but responding also to the Byzantine end of the latter century the Seljuk Turksfeudalism which preceded the Turkish conquest. legalized the existing state of affairs by acknowl-The acquisition of Mesopotamia, Syria and the edging the right of the grantees to the entire tax Arabian borderlands provided territory held or rent collection, not merely tothe surplus,under older arrangements, much of which was and by making the fiefs hereditary in return foralready in smaller and greater fiefs as ikta, of continued military service by the heirs of thethe kharáj, or tribute lands. In Egypt the lands holders. This practise was introduced into Egyptwere resurveyed and divided again asimperial by Saladin. The grantees of the fiefs were pri-estates and fiefs according to Ottoman princi- marily, however, the beneficiaries of the reve-ples. The lands in Arabia over which the sultans nue; their interest was not somuch in the landcame to rule were tithe lands and so notsubject as in the rents and taxes.The changed legalto the feudal system. In case of the acquisition status of the fief holders tended, onthe oneof original tithe lands by Christians such lands hand, to settle the nomads and fix their allegi-might be classified temporarily as tribute lands. ance; on the other, it permitted an escapefrom In the formation of the Ottoman feudal sys- the control of the central government and be-tem rigid rules were laid down and were admin- came a strong force workingtoward the breakistered for some generations with considerable up of the Seljuk Empire. exactness. Fief holders, regularly called spahis, In Egypt under the Mamelukes the wholehad the right of receiving the public revenues 212 Encyclopaedia of the Social Sciences from the lands assigned to them. With this wentof small fiefs one son only had the right to seigniorial jurisdiction over tenants residingonsucceed to the fief; other sons received nothing. the land. The unitary fief, which was calledaIn the case of large fiefs not more than three kilij, was one whose revenue amounted to 3000sons of the holder might receive small fiefs. In aspers. Fiefs whose yearly revenue was less thantime of war deaths in battle led to frequent 20,000 aspers were called timars; those with anchanges. Volunteers accompanying the armies annual revenue of from zo,000 to too,000 asperscompeted for the fiefs of slain men by conspicu- were called ziamets, and the larger fiefs with ously brave deeds. The feudal spahis of Anatolia annual revenues above too,000 asperswere were more obedient than those of Europe, but called khasses, or treasures. Holders of timarswere not so well paid, had less practise in fight- were timariots and holders of ziamets were zaims. ing and were not so highly esteemed as soldiers. The fief holder must render military service on When the Ottoman feudal system was work- horseback when summoned by the sultan. Froming properly the country gentry were kept under the smallest fiefs he might come alone; from thecontrol, the hereditary accumulation of estates larger he must bring additional cavalrymen inwas prevented and any tendency toward inde- proportion to the amount of revenue from thependence could easily be thwarted. The sultan, lands. moreover, obtained regularly the service for The system was controlled through a hier-which the lands were granted. In addition most archy of officers who belonged to the sultan'sof the subject Christian population was gov- slave family. The spahis were commanded byerned locally without any trouble to the sultan subbassi, who in time of peace governed theand was held down well and uniformly by resi- towns and whose rank in the army resembled dent seigniors. A great advantage of the system that of captain. Next were the alai -beys,orwas that by the granting of new fiefs in newly colonels, and above these the sanjakbeys, orconquered lands the territorial army was auto- brigadier generals, who governed the importantmatically increased in proportion to the increase cities and held superior rule over the districtof the empire. in which they were located. The sanjakbeys In the sixteenth century the great Suleiman were under the rule of beylerbeys, or mirimirans,found that serious disorders had arisen through comparable to major generals. The first beyler-favoritism and venality in the disposal of fiefs, bey was Lala Shahin, appointed in 1362 andthe distribution of which had been left to the commanding all the feudal spahis. From 1376local governors. To correct this he issued de- this office became that of beylerbey of Anatolia,crees that the pashas could dispose of only the and a beylerbey of Rumelia was appointed. Assmaller fiefs and that all others were to be the empire grew, other beylerbeys, regularlybestowed only by imperial orders, thus once called pashas, having under them similar organi-more attaching the control of the large fiefs to zations, were appointed; but the first two, ad-the central government. The central treasury vanced to a position similar to that of fulltook charge of such estates when they were general, commanded all the beylerbeys on theirvacant. At this time the feudal armies contained own sides of the Bosporus. At the head of theabout 200,000 men. By the time of Murad in entire military organization was the sultan. Inenormous abuses had appeared. Feudatories did its fully developed form this system producednot answer the call to arms and yet remained two great territorial armies, one in Asia and oneunpunished; pashas sold fiefs at auction, some- in Europe, all of whose officers lived from lands times to several persons, with resulting quarrels held in fief and in time of peace exercised func-and murders. The empire was then divided into tions of local government. forty -four eyalets under pashas and subdivided From 1376 fiefs were made hereditary in theinto 220 livas under sanjakbeys. These offices male line. No crime of a possessor could impairwere given at first for three years, later for two the rights of his children to succeed him. In theand finally for one year. Theoretically this was absence of male descendants the property re-intended to prevent too great strengthening of verted to the state and the beylerbey couldgovernors, but it also made the fortunes of minis- bestow such a fief on another spahi of the sameters, who exacted heavy bribes at each of the province or on some veteran soldier. There wasfrequent changes of office. In the course of a tendency for fiefs to increase in size, as the lawtime the pashas resumed the distribution of the permitted the timars to be united into ziametslarger fiefs. Mustapha II endeavored to improve but forbade the division of the latter. In the casethe situation by again enforcing distribution Feudalism 213 from the central government, but corruption There were several reasons for the granting was so deep seated that the abuse only changedof these fiefs. The customary law of the clan its location, appearing in the office of the min-obviously demanded that its members share in ister rather than in that of the pasha. When warthe newly acquired possessions of the chief. broke out in 1768 only 20,000 feudal troopsAnother factor was the sacred rules of ancestor came together, the remainder of the fiefs havingworship; a landed estate was necessary for the passed to the palace, to civil officials and to maintenance of the ancestral temple and its sac- private citizens. In 1776 `Abdul -Hamid I triedrifices; and generally this was conceded even to to restore the old system, but such tremendousa subdued enemy. There was also the problem clamors arose that the plan had to be abandoned.of defending the borderlands, and the location After that time many fief holders provided pay-of the larger fiefs along the frontiers shows ment for substitutes. The reorganization of theclearly that the feudal lords had to undertake army on European lines hastened the end of thethe protection of the newly conquered territories system. Sultan Mahmud u delivered the finalagainst the warlike outer tribes. blow to the military fiefs by adopting the policy The underlying principles of feudalism as it of converting the fiefs, as they fell vacant by theappeared in this period were very ancient ele- death of their holders, into wakf, or religious ments in the social organization of China. They foundation lands. The situation was definitelycannot have come into existence as late as the settled by the land legislation of 1856. In Egypttime of the foundation of the new Chou state, all the land had been taken over for the govern- but must date back to a much earlier period. ment during Mehemet Ali's reign andhad The constitution of the clan, demanding on the been leased out again with the abolition of mili- one hand the unrestricted power of the eldest tary tenure. in distributing the common property to the ALBERT H. LYBYER members under his supreme control, and on the other the common right of usufruct on the part CHINESE. Nothing is known of the beginnings of all the members together with the mainte- of feudalism in China. According to the earliestnance of the ancestral sacrifices, forms the bases literary sources feudalism was already in exist-upon which Chinese feudalism developed. The ence in the third millennium B.C.These sources,old Chinese state was conceived as a large fam- however, have little claim to real authenticity.ily, and its character was shaped according to The earliest definite and credible informationthis notion. Thus the ruler, as the paterfamilias, concerning feudal tenures refers to the time ofdistributed the territories as fiefs to his relatives King Wu Wang, the founder of the Chou dy-and adherents, while he himself, according to nasty (about Iioo B.C. according tothe cor-the theocratic theory of the state, held the em- rected chronology). After that date it is possiblepire as a fief from God. To these religious and to observe over a very long periodof Chineseethical elements were added practical political history the feudal principles and customs whichconsiderations. The distances in the country played so important a role in shaping the char-were too great, the means of communication too acter and evolution of the empire. defective, to allow the collection of taxes, the The form of the first grant of fiefs under Wuadministration of justice and the protection of Wang shows clearly the character of the system.frontiers to be controlled directly from the capi- Immediately after the conquest of the kingdomtal. It was necessary to decentralize the admin- of the Shang dynasty the king distributed largeistration, and this decentralization was effected territories to his relatives, to several of his de-most simply by feudalism. The feudal lords serving generals and ministers, to the descend-were responsible for the discharge of taxesin ants of certain ancient rulers and to the sonofthe form of a fixed tribute and for the safety of the last king of the fallen dynasty. Not fulltheir territories. The exigencies of administra- ownership but unrestricted use of these tracts oftion and the protection of the country were the land was granted, and the grantees were undertwo powerful incentives in the development of certain obligations to the emperor; the grantsfeudalism in China as elsewhere. Part of the were accordingly verysimilar to the fiefs ofobligations of the feudal tenant was undoubt- western Europe. All the fiefs weresituated withinedly, as in European feudalism, the rendition of the borderlands of the newly founded empire,military service; i.e. the raising at the king's a circumstance which cannothave been entirelyorder of a fixed contingent of troops, the size of fortuitous. which was proportional to the size of the fief. 214 Encyclopaedia of the Social Sciences The legal character of the Chinese feudal sys-tirely altered form within the body politic of tem is rather difficult to define. Some scholars,China. Only gradually did it disappear as a influenced by the concepts of European feudal-constituent element in the organization of the ism, have been inclined to regard the Chinesestate. Grants of land to members of the imperial feudal relationship as a legal contract by whichfamily or high functionaries after the second the sovereign and the grantee were bound tocentury B.C. were of another nature and were mutual obligations. Such a conclusion, however,intended only to provide the tenant with sub- is scarcely tenable. In the light of Chinesesistence worthy of his rank. The official's entire thought it is contradictory to hold that the "sonsalary or at least part of it came from the reve- of heaven" dealt on a contractual basis withnues of his land grant, but sovereign powers ordinary mortals; for the king or emperor ofwere no longer connected with the grant or at China was always not only the political ruler least were no longer supposed to be. The main- but also the highest priest, the mediator betweentenance of the ancestral temple also naturally God and men, a position to which no otherinfluenced the situation. mortal could attain. The duty of protection was In the course of time even this later kind of rather a one -sided obligation which was en- feudalism disappeared entirely. The great prov- joined upon the feudal tenants by the king, whoinces of the empire were placed under the ad- could moreover alter or withdraw at any timeministration of governors who, although their the grants he had made. It must be remem-legal powers were of a very wide scope, always bered that feudal relations in China had not onlyremained mere public officials and might at any a juridical but also an ethico -religious basis andtime be transferred from one province to another that therefore they cannot be explained solely byby the central government. The former feudal the legal stipulations of a constitution or con-lords became the provincial satraps; this fact ex- tract. plains the latter's unusually wide independence. In the course of time, however, the ethico- O. FRANKE religious elements in feudalism were more and more undermined and almost entirely displaced JAPANESE. The ultimate origin of Japanese by political and social ones. The growing weak-feudalism must be sought in the maladjustment ness of the central power, caused by the inabilitybetween the Chinese regime, which was intro- of its incumbents as well as by geographicalduced in the seventh and early eighth centuries, political conditions, resulted in the feudal ten-and the primitive social habits of the nation, ants becoming independent princes who prac-which reacted upon the alien institutions. Here- tically refused to recognize their feudal relation-tofore Japan's polity had in general been built ship to the sovereign. Politically although notupon the patriarchal organization of her ruling in religious theory they became his equals ortribe, having its hereditary sovereign in the even his superiors, a development similar tohouse father of the family, which was believed that which occurred in the German Empire ofto be the main trunk of the whole tribe, and its the Middle Ages. This course of evolution ledsubordinate chiefs in the heads of clans and to the overthrow of the dynasty and the thor-families, which were arranged more or less in ough reorganization of the old state in the thirdthe order of kinship. As the population had century B.C. The earlier type of feudalism dis-grown and the territory expanded, the tribal appeared and was replaced by a unified empiresystem had become increasingly untenable; and under the control of a much stronger centralan immense growth of clientage and of the ag- power, whose public functionaries were in chargegrandizement of land at the hands of great fam- of the administration of the different provinces. ilies had brought the whole political scheme to Nevertheless, feudalism constantly endeavoredthe verge of dissolution. With a view to saving to reassert itself. According to the tradition ofthe country from the impending danger and Confucianism feudalism on account of its ethico- once again securing the imperial power, the religious character was essential to the imperial- entire fabric of the state and society was now papal conception of the state; on the other hand,remade from top.to bottom in a most daring and past experience had shown what an actual or atthorough program of reforms, which was almost least possible danger to imperial rule its furtherwholly patterned after the centralized govern- development might prove. This inconsistencyment of the T'ang empire of China. between theory and reality enabled feudalism The reforms made the emperor the apex of to continue for a long time although in an en-an elaborate system of bureaucratic administra- Feudalism 215 tion cast in a logical and hierarchical mold. Thecials of the shó or of the local government; they entire free population was freed from privatehad already multiplied and formed well organ- control and placed under the direct rule of theized groups of families. Among the most influ- government. All the economic land of the coun-ential were the two clans, the Minamoto and try was rescued from the domanial lords andthe Taira, both descended from the imperial put under the ownership or at least the superiorhouse. Men of this new local nobility were also right of the state; and nearly all the rice landarmed; and between them and local warriors under cultivation was allotted equally to thethere gradually arose relations of vassalage much people according to a plan of periodical redistri-in the same manner as in the Frankish com- bution. Immediately the ingrained native habitsmendation and benefice. At first the innumer- of the people began to react upon the artificialable groups of lord and vassal that had thus structure: the powerful would regain controlsprung into being were largely independent of over the persons and lands of the weak; theone another and in that ill organized form took peasants would cling to their lots of rice land,part in small wars that occurred in many places for the success of its cultivation depended uponwhether as soldiers of fortune or in the service intensive care of long duration. These forcesof public expeditions. While so serving, the had to work through and around the new regime;separate bands were by the exigencies of war nevertheless, they succeeded during the nextand by the increasing coherence of the clan four or five centuries in remodeling the elab- organization among the lords welded into larger orate organization bit by bit until at last a newand larger bodies of vassalage, at first slowly and sort of national life utterly unforeseen by thethen from the middle of the twelfth century reformers emerged. In the eleventh century onemore rapidly. Thus arose new classes, with their may observe two groups of phenomena whichnew moral code of fidelity and valor, which in had resulted: the progress of great private do-the next ages were to be the real political masters mains called shó and the rise of the privateof the nation. warrior, the two factors which were destined to In this era of scarce currency the warriors like be combined in this and the following ages. other people could subsist only upon the land. The typical shó at its full maturity was an ex-Did the institutions of fief and infeudation there- tensive landed possession of a noble personage orfore come into existence? Here was a singular of a religious institution, which was more or lessstate of things. Most of the lands that supported exempt from public taxation and exercised morethe warriors were neither their own alodia nor or less jurisdiction upon its inhabitants.Thesefiefs granted by their military chiefs, but, on the domains grew immensely in number and in ex-contrary, tenures of land and office held under tent and steadily absorbed into themselves thethe local government or under the owners of publicly controlled lands and people, whethershó; and on this material basis the vassals served by purchase or exchange, by gift or commenda-their lords in war. So the typical warrior had tion or by compulsion. Moreover, the privatetwo masters, non -military and military; to the as opposed to the public point ofview, whichformer he as a tenant did official service or was at once the cause and the effectof the shó, rendered merely pecuniary dues, but to the lat- prevailed over the country so much that eventer he as a vassal owed personal faith and gave public lands and public offices came to be re-services of life and death; from the former he garded in the light of private possessions andreceived material support, while from the latter tended to become patrimonies of influentialhe enjoyed the necessary armed protection and families. It was thus that shó, as also the dimin-sometimes also a benefice by way of subgrant ishing public "domains," came to include amongmade out of the tenure which the chief himself their tenants of lands and offices the privateheld of a landlord or the local administration. warriors who had also come into being. These early forms of the fief, which would re- These warriors like the shó were a spontane-mind one of the tenures of church land that ous product of the age. The social unrestcausedwere held pro verbo regis by the vassals of Pepin by the very failure of the reformed polity hador Charlemagne, continued in Japan far longer increased and had compelled capable people tothan in Europe and did not cease until the pro- arm themselves for self -protection.At the samelonged civil war after the fourteenth century time ambitious sons of noble families, who hadgradually crushed the non -military domanial chafed under the enervating life at Kyoto, thelordship out of existence. capital, had descended upon the country as offi- In this state of fief and vassalage the feudal 216 Encyclopaedia of the Social Sciences control of Japan passed in i 186 into the handsfrom 1573 to 1582, Hideyoshi Toyotomi from of the head of the Minamoto clan, Yoritomo;1582 to 1598 and Iéyasu Tokugawa from 1600 for in that year the imperial government per-to 1616 successively carried forward the heroic mitted Yoritomo to instal his vassals throughoutwork of subduing disorder and unifying feudal the country as military governors and as col- control. It was Iéyasu who finally gave the na- lectors of local taxes and domanial dues. Intion the peace it sorely needed and founded at 1192 Yoritomo was granted the old title shogunEdo, the present Tokyo, the Tokugawa shogun- ( "leader of the army," originally, sent againstate which lasted through fifteen shoguns until rebellious aborigines of the north), the title1867. Their administration rigidly bound as it which henceforth came to be identified save forwas by rules and precedents could not cope with brief interruptions with the supreme suzeraintythe political and economic troubles that grad- of all the vassals and rear vassals of the country. ually accumulated nor with the unforeseen diffi- Since Yoritomo was the first chieftain who suc-culties caused by the advent of foreign powers ceeded in introducing an effective control of thedemanding diplomatic dealings with a respon- nation through vassal relationships, the feudalsible central government. The years after the ages of Japanese history in the political sense,visits of Commodore Perry in 1853 and 1854 which were to continue for nearly seven hun-saw a tremendous upheaval of reform move- dred years, may be said to have begun in 1186ments, which at last brought about the downfall or 1192. of the feudal regime and the restoration of the Before attempting a discussion of feudal in-emperor as the true sovereign. With this sum- stitutions it is necessary to make clear the se-mary sketch of the political history as a back- quence of the political history of the successiveground we shall glance at a few of the larger feudal ages. Yoritomo established the seat ofinstitutions which developed and then decayed his feudal government at Kamakura, near theduring these seven centuries. present Tokyo. The Minamoto line of shogun - Many a singular aspect of Japanese vassalage ate continued only for three short generationswas due to the abiding presence of the emperor until 1219, but the rule of Kamakura was main-as the sole fountain of all sovereign rights. This tained a century longer until 1333 under thefact had constituted the basis of the great re- real control of the seven successive shikken, orforms of the seventh century; when the reformed lieutenants, of the H6j6 family; they upheldpolity had slowly died, the theory of imperial nominal shoguns of the imperial or a noblepower survived. It was the sovereign who sanc- house. Then followed a brief period from 1333tioned the office of shogun and enabled the to 1336 in which the imperial court at Kyotolatter to give his feudal rule a hierarchical or- succeeded in recovering the actual governmentganization; and whenever that structure was but immediately lost its control through theweakened it was again loyalty to the imperial dissatisfaction of the feudal classes. Again wasauthority which was invoked as the justification established a shogunate, this time at Muromachiof all movements for feudal unity and control in Kyoto by the Ashikaga branch of the Mina - and finally for the overthrow of the feudal re- moto clan; fifteen shoguns succeeded one an- gime itself. other until 1573; meanwhile their easy going When the shogunate first made its appearance rule and loose organization plunged the countryits control over the warrior classes was very into a period of civil war. The Muromachiincomplete, for the suzerain's immediate vassals period may be divided into two parts: from 1336still held tenures under non -military lords and until 1392 the struggle for supremacy betweenrear vassalage was still poorly developed. Then rival factions of warriors caused the imperialvassalage slowly advanced and embraced more house to be divided against itself into two dynas-warriors hitherto unattached. Feudal evolution ties of emperors; in 1392 the dynasty supportedwas, however, much confused in the middle of by the Ashikaga shogun prevailed over the otherthe fourteenth century, when many opponents and the imperial court was again united, al-of the suzerain followed the non -military gov- though its fortunes as also those of the civil ernment of the rival imperial court. The shogun nobles in Kyoto sank to the lowest depths. The of the Muromachi age proper saw for a moment civil war which now raged with increasing fury a perfect feudal hierarchy formed under his for more than two centuries and wearied andsupreme command; for now almost all warriors exhausted all classes of people finally producedhad become vassals of some lord or other, while three leaders of superior ability; Nobunaga Odaat the same time the domanial lords of the shd Feudalism 217 and the local civil governors had nearly disap-samurai (literally, attendants or servitors), as peared under the impact of war. The shogunthey were called, in comparison with the chev- and the baron, who had formerly been merealiers in mediaeval Europe. In Europe, generally protectors of their vassals' fiefs, had graduallyspeaking, the vassal and the chevalier were after become their real grantors; the true fief -that is,a time one and the same person, and thenfrom the fief which was given by the lord out of histhe thirteenth century there were a great many own fief or alodium to the vassal -had thus comevassals who were not chevaliers; in Japan, on slowly to prevail. Soon, however, the shogunthe contrary, once vassalage had triumphed, lost hold of the political situation and the unitarythere existed few samurai who were not vassals, hierarchy split into many regional hierarchiessave the men who were by chance momentarily under warring lords; these ruled over vassals andthrown out of feudal relations. Nor were there, peasants like autonomous princes. The worstas was usual in Europe, vassals who hadplural state of anarchy was reached in the sixteenth/lords at the same time; questions of ligeance century. he were here practically non -existent. The samu- When Nobunaga and then Hideyoshi rapidly rai's moral tenets, called sometimes in late feudal gathered up the military forces under their uni- ages bushidó (the way of the warrior), present fied control they built their regime upon theat once similarities to and differencesfrom the existing state of society, in which men and landattributes of European chivalry. The fundamen- had been as completely feudalized as was pos-tal principles of personal faith and of personal sible; but they, especially Hideyoshi, held downhonor in relation to it were common in both, the local barons with a strong hand, while per-for their origins and causes were much the same mitting them to retain their seigniorial powerstradition and the same social needs and class so long as their fidelity and servicetoward theinterests, and the principles of fides were by no suzerain were irreproachable. The public pow-means a peculiar heritage of the Germanic races ers of suzerain and baron werefirmly estab-only. But the special virtues based upon per- lished, but the personal rights of the vassal insonal faith which were demanded of the samurai relation to the lord, which had risen hopefullyand the chevalier were singularly different. The during the civil war, were rudely curbed. former was bound to far more than his con- Such was the regime which Iéyasu, the Toku-tractual obligations and owed to his lord an gawa shogun, inherited andperfected. He andabsolute and unlimited devotion. As for lapses his immediate successors carefully elaboratedfrom mere duties, they were many and flagrant rules and institutions of government and builtduring the civil wars but were, particularly in up a polity in which feudaland centralizingthe last period, swiftly and severely punished forces were combined and balanced with greatby a relentless system of sanction. Such one- ingenuity. Under this system the baronies (han) sided emphasis upon the vassal's virtues is a remained throughout as self -governing as be-proof of the peculiar spiritual heritage of the fore; but at the same time the shogun's auto-race, as also of the peculiarcharacter of the cratic control over them was even more thor-Japanese feudal contract, a discussion of which ough and effective than that of Hideyoshi. Thewould take us too far afield. A corollary of the shogun also created large domains for his imme-doctrine of duty was the accurate control of diate support, which he administered bureau- detail in the daily life of the samurai: he should cratically, not feudally. The barons (daimyó),at all times have a perfect mastery of thecircum- on their part, generally copiedthis pattern instances which were within his control, so that their respective spheres: they too became morewhen a supreme moment of sacrifice supervened or less autocratic lords andtherewith combinedhe should instantly accept it without leaving the capacity of territorial princes. to lord or peer any possible cause forembarrass- It has been intimated that the true fief de-ment. Finally, a remarkable contrast withEuro- veloped and prevailed in the period of civil war.pean chivalry is seen in theabsence of the cult The full differentiation of the warrior class fromof the woman. What may be said to have taken the peasantry took place somewhat earlier, inits place in the bushidó was a ready understand- the course of the Kamakura age; and then itsing of and sympathy for the feelings of one's special privileges as a class rose steadily untilcomrade and enemy -the enemy always in- it was during the shogunate of Edo raised included. This the samurai had inherited from legal status far above the commoners. There arethe earlier ages when men and women of the certain peculiarities of the class of warriors, orcourt nobility cultivated what they termed mono 218 Encyclopaedia of the SocialSciences no awaré (feelings of things); the warrior deep-their motives and aims gradually clarified them- ened its meaning into a code of bushino nasakéselves and impelled them to the accomplishment (the samurai's compassion). The resultant disci-of definite ends, first destructive and thencon- pline of these and other moral qualities, stronglystructive. fused as they were in the crucible of war and of The first great destructive effortwas directed rigorous mutual sanction, was, when the feudal against the shogunate. The movementwas in- regime had passed away, translated intoa staunchspired chiefly by men of the two strong baronies loyalty to the emperor and devotion to thecoun-of the south, Satsuma and Chóshil (Nagato), try and has in this new form proved thus far anwhich had long been half hearted in their alle- invaluable asset of the nation in itsnew careergiance to the suzerain; often at odds with each of struggle and ascent. other, they were finally united. Men ofsome From the middle of the nineteenth centuryother southern baronies and many unattached Japan saw a great national upheaval which aftersamurai bent their energies in thesame direc- a bewildering succession of events swiftly andtion, using whatever pretext they could seize completely swept away feudal institutions andupon to embarrass the authorities at Edo, al- laid the foundations of a totally different regime. though not always in concert and not always The primary motive force for the general changeunder the leadership of Satsuma and Chóshii. was the imperious need which was universallyAt length in 1867 the last Tokugawa shogun, felt of effecting national unity in the face ofYoshinobu (Keiki), surrendered hisgovern- foreign aggression; this was immediately fol-mental powers to the emperor; hewas at once lowed by an ardent desire to compete with thedeprived of his office and rank and in thenext western powers with the very weapons withyear retired into a pension fief which the im- which they confronted Japan. But the feudalperial government granted him. system could hardly have been broken with such The shogunate was no more, but there still rapidity and thoroughness had it not been forcontinued the old baronies and vassalage; in the fact that it had been long outworn: the usethem were vested the intrenched interests of of money and the growth of commerce andhalf a million armed samurai and their depend- capital had for centuries been slowly looseningents. The surprising success with which these the feudal fabric of society; and the institutionformidable historic institutions were obliterated of the emperor, which had often seemed incom-must be attributed to the enlightened public patible with the shogunate ever since its begin-spirit with which their long training in bushido ning, had remained as a potential rallying groundinspired many lords and vassals. In 1869 the bar- upon which the elements of discontent couldons of Satsuma, Chòshii, Hizen and Tosa, all of find a common justification. The rigid structurethe south, voluntarily returned to theemperor of the Tokugawa shogunate after more than twotheir land and their public powers, which they hundred and fifty years of existence had growndeclared their forefathers had "usurped" from out of joint at some crucial points, especially inhim; the example was followed by many others the balance of power between the baronies andand then forced upon the rest in 1871. The 263 in the hierarchical order of the vassal classes:baronies were reorganized upon a semifeudal some baronies had passed beyond the central basis under imperial control, and the men of the control, and almost everywhere the ability andold feudal classes were left as administrators and courage for action were found much more in the as holders of fiefs and pensions in the improvised lower strata of the samurai than in the higherseigniories. This system, whose incongruity with and also in the men of dispossessed fiefs, whose true national unity was obvious, was soon de- numbers the autocratic shogunate had beenstroyed root and branch and replaced by a rad- multiplying, as it now saw, to its own injury.ically reconstructed, centralized system of ad- Bushidó had trained loyalty at the expense ofministration. Between 1871 and 1874 a national initiative and the spirit of adventure, but it wasarmy was created by conscription of all classes precisely these latter qualities of which the lowerof people; beginnings were made of anew law and outlawed samurai appeared as an embodi-and a new system of courts completely replacing ment; and with these they combined that disci-the feudal jurisdiction; the currency, the land plined sense of sacrifice which in its new formstax and popular education were likewise started often meant a desire fearlessly to go about doingon novel principles; and preparations for a new things, no matter what, which they considerednational constitution and even agitations for the as disinterested. At first extremely confused,establishment of representative assemblies be- Feudalism zig gan. Soon after, the samurai were disarmed and Lehnswesen in Russland und Polen" in Historische Zeitschrift, vol. cviii (1912) 541 -92; Kulischer, Joseph, their revenues were redeemed by public bondsRussische Wirtschaftsgeschichte, Handbuch der Wirt- representing a total capitalization which, basedschaftsgeschichte, vol.i(Jena 1925); Ostrogorsky, as it was upon the samurai's own claims, wasGeorg, "Die wirtschaftlichen und sozialen Entwick- far below the real value of their old fiefs andlungsgrundlagendesbyzantinischen Reiches"in pensions. Thus was the historic feudal regime Vierteljahrsschrift fürsozial- und Wirtschaftsgeschichte, vol. xxii (1929) 129 -43; Aulard, Alphonse, La révolu- of Japan eradicated rapidly and thoroughly and tion française et le régime féodal (Paris 1919). without great injustice. FOR SARACEN AND OTTOMAN FEUDALISM: Becker, The sweeping revolution was not accom-C. H., "Steuerpacht und Lehnwesen" in Der Islam, plished altogether peacefully. The shogunatevol. v (1914) 81 -92, and "Die Entstehung von Usr offered feeble armed resistance near Kyoto, butund Harág -Land in Aegypten" in Zeitschrift für As- syriologie, vol. xviii (19o4 -o5) 301 -19; Wellhausen, J., the great battle which impended at Edo in 1868 Das arabische Reich und sein Sturz (Berlin 1902), tr. by was happily averted by a remarkablepersonalM. G. Weir (Calcutta 5927) ch. v; Gurland, A., understanding between a few men on the im-Grundzüge der muhammedanischen Agrarverfassung perial and the feudal sides. Certain conservative und Agrarpolitik (Dorpat 1907) pt. ii, ch. ii; Padel, W., and Steeg, L., De la législation foncière ottomane baronies of the north which still held out against (Paris 5904) p. 17 -26; Lybyer, A., The Government of the new government were easily reduced by the Ottoman Empire in the Time of Suleiman the Mag- force in the same year. nificent (Cambridge, Mass. 1913) p. I0o -o5; Chaoui, K. ASAKAWA J., Le régime foncier en Syrie (Aix en Provence 1928) P. 15-33. See: MANORIAL SYSTEM; SERFDOM; MILITARY ORDERS; FOR CHINESE FEUDALISM: Franke, Otto, "Zur Be- RELIGIOUS ORDERS; GUILDS; COMMUNE, MEDIAEVAL; urteilung des chinesischen Lehenswesens" in Preus- APPANAGE; ALLEGIANCE; CHIVALRY; CLASS; STATUS; sische Akademie der Wissenschaften, Philosophisch - NOBILITY; KINSHIP; LAND TENURE; LANDED ESTATES; historische Klasse, Sitzungsberichte (1927) 359-77, COLONATE; REVENUE FARMING; MERCENARY TROOPS; and Geschichte des chinesischen Reiches, vol. i- (Berlin ALIENATION OF PROPERTY; ENTAIL; ESCHEAT; INHERI- 1930- ) vol. i, p. 87 -88, 109 -II, 270 -72; Conrady, TANCE; PRIMOGENITURE; CANON LAW; CIVILLAW; August, Introduction to his Die chinesischen Hand- COURTS; ISLAMIC LAW; STATE; EMPIRE; GOVERNMENT; schriften- und sonstigen Kleinfunde Sven Hedins in MONARCHY; CENTRALIZATION; DECENTRALIZATION. Lou -lan (Stockholm 1920) p. 52 -74; Wilhelm, R., Geschichte der chinesischen Kultur (Munich 1928), tr. Consult: FOR EUROPEAN FEUDALISM: Calmette, J. L. by J. Joshua (London 1929) chs. ii -iii; Asakawa, K., A., La société féodale (Paris 1923); Vinogradoff, P., in The Early Institutional Life of japan (Tokyo 1903) CambridgeMedievalHistory,vols.i -vi(Cam- P. '53-57,163-66, 211-26; Weber, Max, "Die Wirt- bridge, Eng. 1911 -29) vol. ii, ch. xx, and vol. iii, schaftsethik der Weltreligionen" in his Gesammelte ch. xviii; Carlyle, R. W. and A. J., A History ofAufsätze zur Religionssoziologie, 3vols. (2nd ed. Mediaeval Political Theory in the West, vols.i -v Tübingen 1922 -23) vol. i, p. 237-573. (Edinburgh 1903 -28) vol. iii, pt.i; Adams, G. B., FOR JAPANESE FEUDALISM: Asakawa, K., "Some Civilization during the Middle Ages (rev. ed. New Aspects of Japanese Feudal Institutions" in Asiatic York 1914) ch. ix; Seignobos, Charles, "Le régime Society of Japan, Transactions, vol. xlvi, pt. i (1918) féodal" in Histoire générale du ive siècle, ed. by E. 77 -102, and "The Origin of the Feudal LandTenure Lavisse and A. Rambaud, vol. ii (Paris 1893) ch. i,in Japan" in American Historical Review, vol. xx tr. by E. W. Dow (New York 1902); Hintze,O., (1914 -15) I-23, and "The Early Shö and the Early "Wesen und Verbreitung des Feudalismus" in Preus- Manor, a Comparative Study" in Yournal of Economic sische Akademie der Wissenschaften, Philosophisch- and Business History, vol. i (1928 -29) 177 -207, and historische Klasse, Sitzungsberichte (5929) 321 -47; "The Life of a Monastic Shö in Medieval Japan" in Fustel de Coulanges, N. D., Histoire des institutionsAmerican Historical Association, Annual Report 1916, politiques de l'ancienne France, ed. by C. Jullian, 6 vols. vol. i, p. 313 -42, and "Agriculture in Japanese His- (Paris 1888 -92; vols. i -iii 3rd ed. 1901 -12, vol. vtory" in Economic History Review, vol. ii (1929) 80 -92, 4th ed. 1914, vol. vi 2nd ed. 1907); Luchaire, A.,and "Notes on Village Government in Japan after Manuel des institutions françaises (Paris 1892) pt. ii; 160o" in American Oriental Society, Yournal, vol. xxx Flach, Jacques, Les origines de l'ancienne France, vols. (í9o9 -1o) 259 -300, and vol. xxxi (1910 -I I) 151 -216; i -iv (Paris 1886 -1917) vol. ii, pt. ii: Bloch, M., Les The Documents of Iriki, Illustrative of the Development caractères originaux de l'histoire rurale française (Paris of the Feudal Institutions of japan, tr. and ed. by K. 1931); Brunner, Heinrich, Grundzüge der deutschen Asakawa (New Haven 1929); Yoshida, S., Geschicht- Rechtsgeschichte (8th ed. Munich 193o); Waitz, Georg, liche Entwickelung der Staatsverfassung und des Zehn- Deutsche Verfassungsgeschichte, 8 vols. (Kiel 1844 -78) wesens von japan (Bonn 1890); Wigmore, J. H.,"Ma- vol. vi, ch. v; Gierke, O. F. von, Das deutsche Ge-terials for the Study of Private Law in Old Japan" nossenschaftsrecht, 4 vols. (Berlin 1868 -1913); Stubbs, in Asiatic Society of Japan, Transactions, supplement William, Constitutional History of England, 3 vols.to vol. xx (1892) pt. i, p. 25 -41; Hall, J. C.,"Early (3rd -5th ed. Oxford 1891) vol. i, p. 273 -98; Vino - Feudal Law in Japan" in Japan Society, London, gradoff, Paul, English Society in the Eleventh Century Transactions and Proceedings,vol.vii(1905 -07) (Oxford 1908); Davis, W. S., Life on a Mediaeval 410 -17; Rudorff, O., "Bemerkungen überdie Rechts- Barony (New York 1923); Hötsch, Otto, "Adel und pflege unter den Tokugawa" in Deutsche Gesell- 220 Encyclopaedia of the SocialSciences schaft für Natur- und Völkerkunde Ostasiens Mit- The family feud is distributed chiefly where theilungen, vol. iv (1884-88) 378-94; Avondo, E. R., "Il feudalismo giapponese visto daun giurista euro- isolation and sparseness of population have de- peo" in Rivista di storia del diritto italiano, vol. iiiveloped a tradition of legal self -help. It is char- (1930) 21 -68; Takekoshi, Y., The Economic Aspects acteristically associated with the Balkans, Cor- of the History of the Civilization of Japan,3 vols. sica, Sicily, Scotland and the southern mountain (London 1930); Fukuda, T., Gesellschaftliche und Wirtschaftliche Entwickelung in Japan (Stuttgart 1900), areas of the United States. The latter, the most especially ch. iii; Gubbins, J. H., "A Samurai Man- spectacular feud areas in the United States,are ual" in Japan Society, London, Transactions and Pro- isolated localities where self -helpwas once the ceedings, vol. ix (1909 -11) 140-56; Honjo, E., "The dominating necessity and where decentralized Decay of the Samurai Class" in Kyoto Universityjudicial administration has enfeebled theen- Economic Review, vol. ii, no. i (1927) 38 -51. forcement of the law. The notorious Hatfield- McCoy feud may be taken as typical. Itwas FEUDS are relations of mutual animosity amongfought out between families which livedon op- intimate groups in which a resort to violence isposite sides of a small river fork which separated anticipated on both sides. The historical bloodKentucky from West Virginia. The land where vengeance feud (q.v.), common in primitive so-they lived had been prized by several Indian ciety, constitutes the most characteristic feudtribes for its game, and the early settlersunpro- pattern. The family feuds which are to this daytected by any official authority did theirown frequent in certain isolated regionsare closelyhunting, farming and fighting. They adopted related to it, and many other forms of violencethe fighting tactics of the Indians, who shrewdly in contemporary society are also complicated bytook advantage of the cover offered by the for- elements highly reminiscent of the true feud.ests. During the Civil War property was en- While there is no actual historical continuitydangered by marauders from both armies and between the primitive and the modern feud,the Hatfields and the McCoys organizedsepa- there is in many respects a continuity of pattern.rate bands to protect themselves and their neigh- The chief difference is that while the bloodbors. Although on the same side of the conflict, vengeance feud was itself the expression of prim-these bands frequently brushed withone an- itive law, the modern feud is at least formallyother, but it was not until fifteen years after the illegal and characteristically fills the intersticeswar at an election quarrel that the feud broke left in the functioning of the prevailing systemout. Each family had been so long isolated that of legal organization. A feud element is to beit was related to nearly everyone in itsown vi- found in racketeering, which abounds whereancinity, and it was utterly impossible tosecure opportunity exists to organize a market whichthe punishment of a Hatfield on the Kentucky remains active although under the ban of theside or of a McCoy on the West Virginia side law or which cannot be organized due to legalof the line. Each side was reenforced by des- obstacles in the path of organization. The in-peradoes who were fugitives from justice in spection of the racketeer and his mob frequently more settled communities. They all gloried in discloses the presence of many intimate tiesthe unbounded freedom of their lives; indeed, which add to the business of violence the fillipone reason for the rekindling of the feud pattern of inter - racial or interfamily rivalry. Italian gangsis precisely the vivid excitement whichaccom- in bootlegging wars in Chicago are often alignedpanies the release of primitive human impulses against Irish gangs and the members ofone clan and the revival of the code of an earlier epoch. battle the members of another. Personal loyalties Something of the primitive immediacy of the to particular gang chiefs or to members of anfeud appears also in the relations betweenraces old club stand out prominently in the history ofand nationalities whose relative status is under- organized violence. Armed conflict between thegoing rapid change. If the former slave chal- warring business factions becomes glorified andlenges the economic position of the master, if not infrequently distorted by the complicatingthe foreign wage earner applies for a job, if the motives of a more intimate and less calculatedforeign cultivator possessing a low standard of nature. Those who fall by the wayside are oftenlife bids for a farm, if the foreignmanager those who have allowed "sentimental" consid-operates a plantation and disregards local law erations to mislead them into overestimatingand custom, if, in short, any sudden upsetoccurs their power and into refusing to accepta work-in the existing pattern of claims for freedom of ing arrangement while yet therewas time andmovement, for income or for deference, there opportunity. arise the probability of violence and the growth Feudalism-Feuerbach 22 I of malignant hostilities between the opposingelements which are radically incompatible with groups. Wherever social change begets socialit and which have contributed to its decline. conflict the way is open for the appearance ofIndustrialism, intercommunication and urbani- primitive ways of adjusting grievances. Only azation have altered both the geographical and few individuals may be adversely affected tothe imaginative worlds in which men live. Loy- start with, and their claims for aid through regu-alties to primary associations have been disin- lar channels have small chance of success in thetegrated through the scattering of families, the confusions of the novel situation. The difficultiesgrowth of new preoccupations and the emer- which arise piecemeal from the exigencies ofgence of larger social aggregates. The decline in those who are early affected and who are in-the feud pattern can be traced among peoples equitably burdened by the strain of social de-who have shifted their habitat from rural op- velopment are those which provoke the appear- pression to comparative urban independence. ance of local violence, in which personal, familyAfter a spectacular flare up in the United States and other intimate differences and affiliationsthe "Molly McGuires" decayed among the Irish may reenforce the motives to assertive action. immigrants, as did the Mafia among the later Quarrels within a group pass by easy stagesItalian immigrants. into feuds, which are particularly intense just The enterprises of those who promote the prior to the dissolution of the unity of the group.large secondary patterns of society may be cut The controversy may be essentially trivial in itsacross by "private feuds." State and church are origins, yet it may occur at a time when theconsequently hostile to the "petty" loyalties energies of the group are nicely balanced, andwhich sustain the feud. Even in the field of thus at once threaten the integrity of the whole. international relations, once marked by "private Under these circumstances virulent hatreds arewar," violence has been regularized to conform aroused and directed against factional opponents to the exactions of the modern state system and or contending parties. The general sense ofto diminish the role of spontaneous efforts for danger to the whole fabric of the social order"justice" and "honor." renders it more difficult for each individual to HAROLD D. LASSWELL keep his own repressed disloyalties in check. See: BLOOD VENGEANCE FEUD; GANGS; RACKETEERING; This leads him to project his own disloyalty upon MAFIA; MOUNTAIN WRITES; VIOLENCE; CONFLICT, his opponent, thus aggravating the situation. SOCIAL; ISOLATION; HONOR. It is notorious that feuds continue long afterConsult: Simmel, Georg, Soziologie (3rd ed. Munich the precipitating episodes are lost in oblivion 1923), ch. iii tr. by A. W. Small as "Superiority and and that every participant is keenly sensitive toSubordination as Subject Matter of Sociology" in American Yournal of Sociology, vol. ii (1896 -97) 167 - matters of honor. A by- product of the feud re- 89, 392-415; Mated, Pasquale, La rissa; studio psico- lation is the relatively permanent concentration logico - giuridico (Turin 1900); Wesnitsch, Milenko of affects upon non -practical matters. ThereR., "Die Blutrache bei den Südslaven" in Zeitschrift arises a state of continuing sensitiveness aboutfar vergleichende Rechtswissenschaft, vol. viii (1889) 433 -70, and vol. ix (1890 -91) 46-47; Cozzi, Ernesto, ceremonious deference to emblems, names and"La vendetta del sangue nelle montagne dell' Alta associated prestige symbols. The members ofAlbania" in Anthropos, vol. v (191o) 654 -87; Busquet, each party to the feud are intimately locked to- Jacques, Le droit de la vendetta et les paci corses (Paris gether in the bonds of mutual identification, 1920); Cutrera, Antonino, La mafia e i mafiosi (Pa- able to get on unusually well with one anotherlermo 1900); Maxwell, H. E., "The Feuds of the Kennedys" in Royal Philosophical Society of Glas- just so long as they are able to externalize their gow, Proceedings, vol. xlviii (1916 -17) 6o-78; Mutzen- aggressions against an outside party. Instances berg, Charles G., Kentucky's Famous Feuds and Trage- of failure to accept opportunities for aggressiondies (New York 1917); Coates, Harold Wilson, Stories threaten the whole structure of intimate under-of Kentucky Feuds (Cincinnati 1924); Park, R. E., and Miller, H. A., Old World Traits Transplanted standing, and the aggression turns back against(New York 1921); Thrasher, F. M., The Gang (Chi- those closely connected with the group. The re-cago 1927); Landesco, John, "Organized Crime in linquishment of personal autonomy which is Chicago" in Illinois Association for Criminal Justice, necessitated by the feud can be sustained onlyIllinois Crime Survey (Chicago 1929) pt. iii; Adamic, when ample targets and occasions of aggression Louis, Dynamite (New York 1931). against the outside group are offered. Hence the supporting motives to the cult of honor. FEUERBACH, LUDWIG ANDREAS (í8o4- Although it is possible to point to isolated72), German philosopher. In initiating the natu- remnants of the feud, modern society has manyralistic reaction to the absolute idealism of 222 Encyclopaedia of the Social Sciences Hegel, Feuerbach fathered various schools ofstead of preaching against sin give them better aggressive materialism which profoundly influ-food. Man is what he eats" (Review of Mole- enced the tenor of philosophical, political andschott's Lehre der Nahrungsmittel, reprinted in social thought in Germany. He began hiscareerSdmmtliche Werke, vol. x, p. z2). as a Hegelian but soon rejected the system as a Feuerbach's social epistemology and anthro- disguised theology which sought to deduce andpomorphic metaphysics contain in nucemany justify by dubious logic the empirical, non- of the views later developed by Dilthey, Durk- rational facts of experience. Proclaiming the heim and more recently Heidegger. necessity for a reform of philosophy he urged SIDNEY HOOK that man and man's psychological needs be taken Works: Sämmtliche Werke, ed. by W. Bolin and F. as the starting point of all social and philo-Jodl, io vols. (Stuttgart 1903 -11); Grün, Karl, Lud- sophical thinking. wig Feuerbach in seinem Briefwechsel und Nachlass, Feuerbach's Das Wesen des Christenthums 2 vols. (Leipsic 1874). (Leipsic 1841, 2nd ed. 1843; tr. by M. Evans,Consult: "Marx und Engels über Feuerbach" in 2nd ed. London 1877) contained a revolutionary Marx -Engels Archiv, vol. i (1926) 205-314; Engels, Friedrich, Ludwig Feuerbach und der Ausgang der interpretation of theology and converted the left klassischen deutschen Philosophie (2nd ed. Stuttgart Hegelians to a vague humanistic materialism. 1895), tr. by A. Austin Lewis (Chicago 1903); Bolin, He contended that the essence of religion is W., Ludwig Feuerbach: sein Wirken und seine Zeitge- human feeling, that man in worshiping God is nossen (Stuttgart 1891); Lévy, A., La philosophie de Feuerbach et son influence sur la littérature allemande unconsciously worshiping an idealization of(Paris 5904); Jodl, Friedrich, Ludwig Feuerbach (2nd himself. Theology is an intellectual sublimation ed. Stuttgart 1921); Koigen, David, Zur Vorgeschichte by which man attempts to gratify his feeling of des modernen philosophischen Socialismus in Deutsch- want. Marx and Engels criticized Feuerbach's land (Berne 1901); Plekhanov, G. V., Osnovie voprosi psychology of religion on the grounds that it wasmarxizma (2nd ed. Moscow 1928), tr. by Eden and Cedar Paul as Fundamental Problems of Marxism, ed. unable to explain the fact that men have differ- by D. Ryazanov (London 5929). ent religions at different times and places and that religious feeling itself is a social product.FEUERBACH, PAUL JOHANN ANSELM They also took Feuerbach to task for substitut-VON (1775- 1833), German jurist. Feuerbach ing a new religion of humanity for outmodedstudied at the University of Jena, where he be- theology. came first an instructor and later a professor of Feuerbach's sensationalistic materialism waslaw. Subsequently he taught at Kiel and at the even more influential in combating orthodox re-Bavarian University of Landshut. In 1805 he ligion than was his religious psychology. Mole -was appointed to the Bavarian Ministry of Jus- schott, Büchner, Vogt and other scientific popu- tice and commissioned to draft the new criminal larizers who played important roles in the freecode. He resigned in 1814 to become second thought movement avowed themselves his dis-president of the Court of Appeals in Bamberg; ciples. Mind was declared to be a derivativefrom 1817 until his death he was first president product of the body and the whole content ofof the Court of Appeals in Ansbach. man's consciousness was explained as the auto- Feuerbach was an outstanding figure in the matic effect of the external world upon his sensehistory of German criminal law. His scientific organs. Marx criticized the static nature ofworks bear the imprint of the great intellectual Feuerbach's materialism and upheld the activitycurrents of his time and he was obviously influ- of the mind and the power of human beings toenced by the theory of natural law and by the react upon their environment and transform it.zeal for rational reform which characterized the Feuerbach's "vulgar materialism" preventedEnlightenment. It was to Kant's method of him from adequately explaining social and his-critical philosophy, however, that he was most torical events. The incidence of the Feuerbach-responsive. Kant's sharp distinction between ian doctrine that man is a creature of his physicallegality and morality was reflected in Feuer - environment was primarily political, as is shownbach's Kritik des natürlichen Rechts (Hamburg by his attempt to offer a food chemistry as a1796), which attempted to establish the funda- social panacea: "We can see the important eth-mental independence of law as against morality ical and political significance which the doctrineand which opposed the claims of the criminal of foods has for humanity.... Human fare islaw to punish the immoral state of mind as such. the foundation of human culture and sentiment.This point of view accounts for his passionate Do you want to improve the people? Then in-opposition to Stübel and Grolman's doctrine Feuerbach---Fichte 223 of prevention, which made a precautionary de-in the Bavarian criminal code with its provision fense against dangerous characters the goal offor possible release before the termination of criminal law. the penitentiary sentence. Feuerbach was the Feuerbach's attitude toward legislative reformfirst German jurist to direct effectively the sci- was expressed in his Revision der Grundsätzeence and legislation of criminal law into the and Grundbegriffe des positiven peinlichen Rechtspaths needed by the modern constitutional state. (2 vols., Giessen 1799- 180o), a work based uponHe insisted upon unconditional maintenance of a narrowly juristic conception of criminallaw.the authority of the law and upon respect for Penalties were to be inflicted only where therethe legal guaranties which protect individual was an infringement of law, and strictlegalfreedom and without which protective law de- retribution was justified by its double aim ofgenerates into lawlessness. protecting the community through its deterrent MAX GRÜNHUT effect upon crime and of fixing limits for the Other important works: Philosophisch juridische Unter- state's punitive power. Thus the categorical im- suchung über das Verbrechen des Hochverraths (Erfurt perative of the Kantian criminal law of retribu- 1798); Lehrbuch des gemeinen in Deutschland gültigen tion found with Feuerbach its justification inpeinlichen Rechts (Giessen 5805, 54th ed. 5847); Kritik the aims and tasks of positive law. des kleinschrodischen Entwurfs eines peinlichen Gesetz- buchs für die baierischen Staaten, 3 vols. (Giessen Feuerbach's principles were embodied in the 1804); Betrachtungen über das Geschworenen -Gericht Bavarian criminal code of 1813, which he pre-(Landshut 1813); Betrachtungen über die Offentlich- pared. It was an epoch making work in German keit und Mündlichkeit der Gerechtigkeitspflege, 2 vols. criminal law and was adopted by several other (Giessen s82 P-25); Aktenmässige Darstellung merk- würdiger Verbrechen, 2 vols. (Giessen 1828-29), tr. by German states. Based upon the theory that aLady Duff Gordon as Narratives of Remarkable penalty can be meted out only where the law Criminal Trials (London 1846). actually provides for it, the code was a logically Consult: Anselm Ritter von Feuerbachs ... Leben und articulated penal system with graduated penal-Wirken, ed. by L. A. Feuerbach, 2 vols. (Leipsic ties and with a clear legal statement of the 5852); Grünhut, Max, Anselm v. Feuerbach und das grounds for mitigating or increasing them; eachProblem der strafrechtlichen Zurechnung, Hambur- statement of facts with its fixed concepts and gische Schriften zur gesamten Strafrechtswissenschaft, vol. iii (Hamburg 1922); Döring, Oskar, Feuerbachs relative penal categories was couched in unam- Straftheorie und ihr Verhältnis zur kantischen Philoso- biguous language and left little room for judicialphie, Kantstudien, Ergänzungsheft no.iii(Berlin discretion. Feuerbach secured the abolition of 5907); Geisel, K., Der feuerbach'sche Entwurf von torture in Bavaria in 1806, but his plans for a 1807, sein Strafensystem und dessen Entwicklung (Göt- tingen 1929); Stintzing, R. von, and Landsberg, E., thorough reform of the traditional inquisitorial Geschichte der deutschen Rechtswissenschaft, 3 vols. proceedings met with no success. Through his (Munich 1880 -1950) vol. iii, pt. ii, p. 152 -39; Bar, K. writings, however, he was successful in arousing L. von, Geschichte des deutschen Strafrechts (Berlin an intelligent appreciationof the importance of5882), tr. by T. S. Bell, Continental Legal History comparative law in relation to procedure and series, vol. vi (Boston 1916) p. 326 -32 and 428-34. in preparing the way for the impending turning point in penal procedure which brought with itFICHTE, JOHANN GOTTLIEB (1762- public arraignment proceedings. 1814), German philosopher. Fichte was born Feuerbach was also the author of masterlyat Rammenau, the son of a ribbon weaver.He studies of individual criminal psychology, ofstudied at Jena and Zurich and taught at Jena which the account of Kaspar Hauser (Kasparfrom 1794 to 1799. When he was dismissed on Hauser, Beispiel eines Verbrechens am Seelenlebencharges of atheism he took up residence in des Menschen, Ansbach 5832; tr. by H. G. Lin -Berlin; there he helped to found the University berg, 3rd ed. London 1834) aroused the mostof Berlin, of which he became the first rector widespread interest. These searching literaryin 18to. After he resigned from this position studies of crime did not, however, suggest toin 181z he continued to teach at the university their author that any psychological differentia-until his sudden death. tion was necessary in the rigid schematization The originality of Fichte's ethical system of criminal acts. The limitations of his aimsconsisted in the synthesis it established be- grow increasingly apparentwith the develop-tween the autonomous ethicsoriginating in ment of modern social and social-pedagogicalKant and the French Revolution, and social impulses. Nevertheless, the germ of the nowand anti- individualistic ethics. At the opposite widely accepted indeterminate sentence is foundpole from the hierarchic superindividualism of 224 Encyclopaedia of the Social Sciences Hegel and the traditionalistic impersonalism ofand the whole product of labor. Property the romanticists and Schelling, Fichte wentshould belong to the guilds into which the beyond the individualism of Kant in a trans-three essential professions were divided accord- personalistic conception which made all moraling to their specialties. The functioning ofpro- consciousness participate in a supraconsciousduction was to be ordered by the self-govern- flux of autonomous creative activity (mind con- ment of these corporate associations and their ceived as "we "). The totality derived frommutual agreements. The opposition between transpersonal activity he considered to be anti- society and the state thus played an essential hierarchical and founded on the equivalency ofrole in Fichte's socialistic constructions. The all the members, who were strictly individual-closed state was neither proprietor nor pro- ized and indispensable; it was a totality ofducer. The autonomous economic society gov- integration and collaboration, not of dominationerned itself through the mediation of the cor- and subordination. The activistic transperson-porate associations. Fichte's thought tended in alism of Fichte ended in a synthesis betweenthe direction of a synthesis between liberalism universalism and individualism. He held it toand socialism, toward an anti -individualistic be erroneous to identify the moral ideal totalityliberalism and an antistate socialism. It ended, with the state and not to distinguish betweenhowever, in a state socialism and he finally the society and the state as empirical reality. attributed to the corporations a monopoly insti- Society opposed as an entity to the state hadtuted by the state which uses the corporate specific positive values superior to those rep-associations as its organs. This may be ex- resented by the state. He insisted that the stateplained by the fact that when Fichte elaborated was only a relative organization whose end washis socialist theory he was under the influence to render itself useless and to annihilate itself.of juridical individualism, which reduced every In his Reden an die deutsche Nation (Berlin 1808,positive right to the will of the individual or new ed. Munich 1929; tr. by R. F. Jones andthe state. In perceiving that every economic G. F. Turnbull, Chicago 1922), which hasorganization must be regulated by law Fichte been wrongly interpreted as the source of pan-held that it must be controlled by the commands Germanism while in fact the work combated it,of a state, which was in contradiction to his Fichte declared that it was infinitely more im- predictions concerning the future disappearance portant for the Germans todevelop theirof the state. When later Fichte rejected juridical national culture whose support was society thanindividualism and prepared the way for a new to dominate by external victories obtained byand larger conception of law directly attached their state. Since he urged that the nationalto unpersonifiable objective communities (a genius be realized in the objective and unper- conception of social law which later under the sonifiable community and not in the will of ainfluence of the Fichtean ideas was developed state, there was nothing aggressive about Fichte'sby the historical school of jurists, by Christian nationalism; it harmonized with his cosmopoli-Krause and the Germanists with their theories tan ideal of humanity -in which all nationsof Volksrecht), he no longer had time to recast were to collaborate in original ways -and withhis socialistic constructions. Fichte's ideas have, his pacifism. therefore, acquired a double influence in the Fichte was led to socialism, of which he washistory of socialist doctrines. Through the in- one of the first representatives in modern times,strumentality of Krause and his pupils, Ahrens as a logical consequence of his activistic andand Darimon, who published in French, they at the same time anti -individualistic ethics. Ininfluenced Proudhon (whose philosophy of work interpreting liberty as a continuous creationis entirely Fichtean) and their traces may be and in considering labor as the medium through found in syndicalist and guild socialist doctrine. which this creation was to be realized he wasOn the other hand, state socialism in Germany, led to demand positive guaranties that everynot only of Lassalle but also of Rodbertus, has man should be in a position to exercise creativeclaimed the authority of Fichte. liberty by his labor. Socialistic property should be, according to Fichte, identical with labor GEORGES GURVITCH and be constituted according to the exigenciesWorks: Sämmtliche Werke, ed. by I. H. Fichte, 8 vols. (Berlin 1845 -46), together with Nachgelassene of its division: it consisted primarily in the right Werke, ed. by I. H. Fichte, 3 vols. (Bonn 1834 -35), to follow one's professional bent freely backedand Fichtes Briefwechsel, ed. by Hans Schulz, 2 vols. by the right to the instruments of production (2nd ed. Leipsic 193o), represent a complete collec- Fichte--Fictions 225 tion of Fichte's writings. An edition of his selected Innsbruck 1911 -23); Vom Heerschilde (Innsbruck works is that by Fritz Medicus, 6 vols. (Leipsic :862); Forschungen zur Reichs- und Rechtsgeschichte 1911-12). Italiens, 4 vols. (Innsbruck 1868 -74); Untersuchungen zur Rechtsgeschichte, 6 vols. (Innsbruck 1891 -1904); Consult: Medicus, F., Fichte: Leben (Leipsic 1914); "über nähere Verwandtschaft zwischen gothisch- Lask, E., Fichte: Idealismus und die Geschichte (Tü- spanischem und norwegisch- isländischem Recht" in bingen 1902); Léon, Xavier, Fichte et son temps, 3 Institut für Geschichtsforschung, vols. (Paris 1922 -27); Kroner, Richard, Von Kant Österreichisches (Tübingen 1921 -24); Weber, Mitteilungen, supplement ii (1888) 455-542. Ficker bisHegel,2vols. also edited Der Spiegel deutscher Leute (Innsbruck Marianne, Fichte: Sozialismus (Tübingen 190o); Wall - (Halle 1926); 1859); Acta imperii selecta (Innsbruck 1870); Die ner, Nico, Fichte als politischer Denker Regesten des Kaiserreichs ... 1198 -1272, 3 vols. (Inns. Gurvitch, G., Fichtes System der concreten Ethik bruck 1881 -1901). A complete bibliography of the (Tübingen 1924), and L'idée du droit social (Paris works of Ficker is found in Österreichisches Institut 1931); Walz, G. A., Die Staatsidee des Rationalismus für Geschichtsforschung, Mitteilungen, vol. xxx (1909) und der Romantik und die Staatsphilosophie Fichte: (Berlin 1928); Vaughan, C. E., Studies in the History 389-93. of Political Philosophy, ed. by A. G. Little, 2 vols.Consult: Jung, J., Julius Ficken (Innsbruck 1907); (Manchester 1925) vol. ii, ch. iii. Caillemer, Robert, "La formation du droit français médiéval et les travaux de Julius Ficker" in Université FICKER, CASPAR JULIUS VON (1826- d'Aix- Marseille, Annales des facultés de droit et des lettres, vol. ii, no. ii (1906) 33 -58, and Annales de la 1902), German historian. Ficker studied juris- faculté de droit, vol. i (1907) I -39, 207 -24. prudence and history in Bonn, Münster and Berlin and was a pupil of Johann FriedrichFICTIONS. In the recent reaction against phys- Böhmer in Frankfort. In politics he was pan - ical science and its assumption of an independ- German and deeply regretted the exclusion of ent reality to which ideas must conformif they Austria from the German Confederation. At the philosophers and theo- professor at theare to be true, idealistic age of twenty -six he became a logians, aided by some humanistic liragmatists University of Innsbruck and taught there in theand dogmatic positivists, have pressed the point faculty of philosophy until 1862 and again from that the concepts of natural science such as law, 1877 until 1879. From 1862 to 1877 he was a cause, atom, ether and the Like are merefictions member of the faculty of law. having no correspondence in nature, although Ficker's special fields of research were medi- they are of aid in controlling things for practical aeval history and German and Italian legalhis- there has archives of Germanypurposes. Among social scientists too tory. His knowledge of the grown up a tendency to regardabstractions like and Italy was unsurpassed and his editionsand ofsocial law, the economic motive, legal sover- critiques of these sources were contributions eignty, social order and so on as fictions that lasting value. Ficker was equally important as a have no objective significance in real life. teacher, particularly of the auxiliary sciencesand founder of The subject was brought to the fore in 1911 of historical methodology. He was the when Vaihinger published his Philosophie des the Innsbruck historical school and wasCount Thun's most valued adviser when the latter asAls Ob, in which he attempted a survey and analysis of the fictions of the various sciences minister of education undertook the reformof and of practical and religious thought. Interest Austria's university administration. Inlater show throughin this field was further stimulated by the Anna - years he boldly attempted to len der Philosophie, which contained contribu- comparative law, independently of comparative jurists. philology, the kinship of the German peoples,tions from diverse specialists, especially of aAside from the inaccuracy and superficiality of maintaining that law is as characteristic Vaihinger's wide learning the chief weakness of nation as language. He saw the chief key tothe his position is that in trying to stretch the notion genealogyof German lawinmatriarchy. law heof fiction to cover everything he leaves no room Through his studies in comparative false- andfor a valid distinction between truth and established connections between Spanish hood, between fiction and reality. If identityand Germanlaw.He anticipatedphilological - other fundamentaldifference, unity and plurality, and all the geographical research and reached fundamental categories are fictional, then every conclusions concerning the relationshipof law influence ofone of Vaihinger'sassertions about reality, the and custom and concerning the fictions is law. order of sensations, convenience and custom on the development of itself fictional and results in a self-destructive EBERHARD VON KUNSSBERG nihilism. This, however, grows out ofhis un- Important works: Vom Reichsfürstenstande(Innsbruck dualism between a purely z861), continued by P. Puntschart (vol. ii, pts.i -iii, necessary and mythical 226 Encyclopaedia of the Social Sciences active thought and absolutely passive sensations,ists in nature where the things are and is as if they belonged to two different worlds. Ifindependent of the thickness of chord or chain we realize that the abstract objects of thought,by which it is measured; while there existno such as numbers, laws, perfectly straight lines,free bodies (i.e. bodies not acted upon byany are real parts of nature, even though they doforces), all existing bodies do move in sucha not exist as particular things but as the relationsway that we can detect the part played by inertia or transformations of such particulars, none ofand can tell what would happen if all other forces the so- called fictions of science in any way falsifyceased to act. Similarly, while no actual engine its results. Because numbers or ratios are ab-is frictionless, we can compute from certain data stractions it does not follow that there is any-the part that friction plays in the total work of thing false or fictional in the assertion that theany engine. It is not true that "artificial" lines earth has one moon or that the rate of infantof latitude or longitude are fictional merely be- mortality has recently decreased. cause such lines are not actually marked on the The contentions of the fictionalists, however,earth. They do represent certain actual geo- furnish cautions against false interpretations ofmetric relations. No map is ever a perfect pic- scientific procedures and results. Abstractionsture of the country it represents. It must neglect are real parts, phases or elements of things orall except a very few traits. But it may be per- else their relations. To identify them with things fectly accurate or truthful within the required is a widespread fallacy which may be calledlimits. Another way of looking at neglective reification. fictions such as perfectly rigid bodies, perfect The processes of abstraction and classification distribution and the like is to view them as ideal have been called neglective fictions because thelimits. No one thing in nature corresponds to class "man" does not exist and only individualsthem, but classes of things do differ in degrees do. But it cannot be denied that such statementsof rigidity or homogeneity and there is no falsity as "John is a man" can have significance onlyin using the limit as a real characteristic of a if the predicate denotes something really corn -series. mon to a number of individuals. Even an arti- If there is no inherent falsification in abstrac- ficial classification of governments such as Aris-tion, there is none in proper scientific "con- totle's cannot be called fictional merely becausestruction" out of such elements. Examples of particular governments do not conform to it.such constructions are the typical vertebrate ani- For existing governments may be mixed forms mal, the typical river valley, the manor or factory or combinations of the elements of monarchy,as an economic unit and the ideal of a govern- aristocracy and democracy and their perversions,ment by law. Much abuse has been heaped on and the classification helps us to recognize thethe "social contract" as a fiction. If asserted as a significant elements of such mixed forms. Al-historical fact it is clearly a myth. But thinkers though certain elements always occur in con -like Hobbes have not advanced it as a historical junction with others and never in isolation, thisfact. To them it is rather a logical device for is no argument against their reality. The fact analyzing actual complex social processes. If we that no one can be a brother or a creditor with-apply the term "state of nature" to human con- out being other things is no argument against duct apart from the influence of laws, we can the reality of the fraternal or the credit relation.regard our actual social relations as those of a Science must abstract some elements and neg-state of nature modified in certain ways analo- lect others because not all things that existgous to the way our conduct is modified by together are relevant to each other. Hence therecontract. The analogy is helpful only to the is no fiction in talking about purely economiclimited extent to which it is true. motives if we remember, as Adam Smith surely In its search for the truth science must for- did, that in actual life these are associated with mulate some anticipation of what it expects to other motives. find. Such anticipation is clearly not fictional If the reality of abstractions is recognized,even if it turns out to be false, provided it has then there is nothing fictional (in the sense ofbeen held as a hypothesis to be tested. In trying false) about perfectly straight or circular lines,to visualize the unknown the imagination must perfectly free bodies, frictionless engines andclothe it with attributes analogous to the known. other entities which seem imaginary and indeedThus electricity was first conceived as a fluid, are known to be impossible of separate existence.then as lines or tubes of force, and is now viewed For the relation of distance between things ex-as a current of mutually repellent "electrons." Fictions 227 Thus also the mind was viewed by British asso-when a child kicks a chair against which he ciationist psychologists as an associated group stumbles he does not personify the chair on the of "mental states" and by William James as abasis of an analogy. His reaction is at first di- "stream of consciousness." Each of these, likerectly organic, and only later does he learn to the various mechanical models of the ether or ofdiscriminate between the chair and those who various unknown physical processes, suggestsare to be punished. Now if primitive perception verifiable analogies and thus directs research.is intellectually indiscriminating it is also organ- If these directions prove false, the analogy hasically and emotionally vivid. When such meta- acted like a false hypothesis. But the term fictionphoric expressions get established by usage they may properly be applied to certainimaginarylose their vividness, but like other habitual prac- and unverifiable entities that vivify our concep-tises they are difficult to change. Also words as tions but are strictly irrelevant to the truth orall symbols absorb the emotional value of the falsity of our conclusions. Thus Helmholz' andthings they symbolize, just as the flag or the Poincaré's one or two dimensional beings, Max-scroll of the law becomes sacred apart from that well's "sorting demon" and similar entities inwhich it denotes. social science are really metaphors to express This points the way to an understanding of abstract relations. Where one of these figures isthe fictional element in ceremonial expressions. used any one of an infinity of others could beJust as the ritual of social life demands certain substituted, just as according to Poincaré's proofforms of dress or certain steps or gestures re- wherever a mechanical model is used an infinity gardless of convenience, so it demands certain of others is possible. If these metaphors areaccredited expressions regardless of their literal taken literally we have the myths of which popu-truth. Thus the rules of courtesy among the lar science is full. Chinese and others require the host to say al- It must be recognized, however, that meta-ways that his house is mean and thathis guest phors are not always invented to vivify dis-is distinguished and confers an honor. Even course. They are often the wayin which creativethose who do not take such expressions literally minds perceive things, so that the explicit rec-may be offended at any departurefrom the social ognition that metaphors are implicit analogies mode. The role of ceremonial expressions in the comes later as a result ofreflection or analysis.outer forms of make believe is as important in Although undiscriminating, such primitive per-social life generally as in the games of children ception is likely to be most vivid and its aptand primitive man. The social life of a country expression may become current coin, so that itlike England may be viewed as a game that becomes difficult if not impossible to discrimi-requires among other things that people should nate between metaphor and literaltruth. As thespeak of His Majesty's army, navy and treasury essence of science is thesearch for truth, it seeks(although the debt is "national ") or that the to eliminate irrelevant fictionsthrough the useactual leaders of the government should speak of technical terms or symbols that denotetheof "advising" the king when the latter has in abstract relations studied and nothing else.Butfact no choice but to obey. Similarly it is the as no human terms canadequately express (al-fashion to speak of the United States as a de- though they can point to or adumbrate) themocracy where the law is the will of thepeople unknown, science is engaged in an endless proc-made by its representatives, even though few ess of self -correction andrevision of its lan-know what laws are being made or have much guage. Such a process is irksome topopular control over those who make them. discourse and to the social sciences that employ These considerations will illumine the nature such discourse. Language itself isa prolificof fictions as they appear in the field of their source of mythology. greatest development: the law. Here fictions The foregoing analysis of metaphors will clar- appear clearly as assertions that contain anele- ify the role of fictions in the primitive mind. Itment admittedly false but convenient and even is a pseudo -rationalism to explain primitiveindispensable to bring about certain desired re- animism as the result of an explicit analogy, ofsults. Although fictions border on myths which attributing souls to inanimate objects becauseare genuinely believed and on piousfrauds they sometimes move like animated ones.Hu-which are intended to deceive in aid of good man perception is vaguein its beginnings and causes, they can be distinguished fromthem. such discrimination as that between one's ownThus when a court asserts that for the purposes "papa" and other "papas" comes later. Thusof a given suit the high seas are situated in a 228 Encyclopaedia of the SocialSciences given parish in London, noone believes thetimes facilitate change they often assertion to be literally true and hinder it by no one is de-cultivating undue regard for thepast. If the ceived. But the fiction makes it possible for thesocial interest in truthwere to prevail, we should court to acquire jurisdiction and helps the par-in our educational and social policiesencourage ties to settle their case in a convenientcourt.greater regard for literal accuracy even when it The Roman jurists explained such fictions by hurts national pride and social sensibilities.But means of the Greek philosophic distinction be-no one has seriously suggested penalizing rhet- tween convention and nature. In the nineteenth oric and poetic eloquence in the discussionof century Jhering called attention to the elementsocial issues. The interest in truth is in factnot of implicit analogy in them. An adopted childas great as in the preservation of cherished be- is like a natural child in his rights and the rightsliefs, even though the latter involve feelings of a Roman citizen in captivity may be treatedwhich while temporarily pleasantprove ulti- as if he were away on state business. So in ourmately to be illusions. own law when a deed or mortgage is recorded MORRIS R. COHEN a really innocent purchaser is said to have had See: PHILOSOPHY; SCIENCE; METHOD, SCIENTIFIC; notice and is not allowed to prove the contrary. BELIEF;SYMBOLISM; MYTH; JUDICIAL PROCESS; For this really means that the act of recording CHANGE, SOCIAL. makes the rights of all purchasers (innocent or Consult: Vaihinger, H., Die Philosophie des Als Ob: not) alike, so that the fact of actual ignorance is System der theoretischen, praktischen und religiösen irrelevant. Fiktionen der Menschheit, auf Grund eines idealistischen Why, however, does not the law use accurate Positivismus (4th ed. Leipsic 1920), tr. by C. K. Ogden (London 5924); Annalen der Philosophie, vols. i -viii, expressions instead of asserting as a fact that ed. by H. Vaihinger and R. Schmidt (1919 -30), espe- which need not be so? Why assert that a corpo-cially vols.i and vi; Ellis, H., The Dance of Life ration is a person, instead of saying that a certain(London 5923) ch. iv; Cohen, Morris R., "On the group of rights and duties are analogous to some Logic of Fiction" in Journal of Philosophy, vol. xx (1923) 477-88, and Reason and Nature (New York extent to those of a natural person? Why say 1931); Demelius, G., Die Rechtsfiktion in ihrer ge- that the United States embassy in China andschichtlichen und dogmatischen Bedeutung (Weimar an American boat at sea are on American soil, 1858); Jhering, R. von, Geist des römischen Rechts, when we mean to assert that certain legal rela- 3 vols. (6th ed. Leipsic 1907 -21) vol. iii, sect. 58; tions are to be determined by the law of theTourtoulon, P. de, Les principes philosophiques de l'histoire du droit (Lausanne 1919), tr. by M. M. Read United States? The answer is partly that the (New York 1922) ch. xi, sect. E and Appendix; Levi, practical convenience of brevity outweighs theA., La société et l'ordre juridique (Paris 1911) ch. iv; theoretic gain of greater accuracy. But more Lecocq, L., De la fiction comme procédé juridique (Paris important is the fact that at all times, and not1914); Kornfeld,I., Allgemeine Rechtslehre (Berlin 1920) P. 45 -6o; Smith, J., "Surviving Fictions" in merely (as Maine would have it) in "primitive" Yale Law Journal, vol. xxvii (1917 -18) 147 -66, 317- society where legislatures are not functioning, 30; Fuller, L. L., "Legal Fictions" in Illinois Law the law must grow by assimilating new situa- Review, vol. xxv (1930 -31) 363 -99, 553-46, 877 -910; tions to the old, and in moments of innovationBernhöft, F., "Zur Lehre der Fiktionen" in Aus römischem und bürgerlichem Recht (Weimar 1907) p. we cling all the more to old linguistic forms. 239 -90. For further bibliography see Baumhoer, K., The latter minister to the general feeling ofDie Fiktion im Straf- und Prozessrecht, Archiv für security especially where the prevailing mythRechts- und Wirtschaftsphilosophie, supplementary or make believe is that the judge merely de- no. xxiv (Berlin 193o) p. 8-12. clares the law and cannot change or extend it. That we can obey the law even when making itFIDELITY INSURANCE. See BONDING. grow is more than the legal profession itself can often grasp. FIELD, DAVID DUDLEY (1805 -94), Ameri- From the point of view of social policy fictionscan jurist. Field graduated from Williams Col- are, like eloquence, important in giving emo-lege in 1825, studied law in Albany and New tional drive to propositions that we wish to seeYork and began a lucrative practise in the latter accepted. They can be used, as indicated above,city in 1828. He continued as a leader of the bar to soften the shock of innovation or to keep upuntil 1885, when he retired. a pleasant veneration for truths which have been Beginning in 1836 Field devoted all his spare abandoned, as when new allegoric or psycho -time to various phases of law reform. In 1847 he logic meaning is given to old theologic dogmasframed a code of civil procedure which simpli- that we no longer believe. But if fictions some-fied the actions of the law and united the courts Fictions-Fielding 229 of law and equity. This code was adopted in characteristic of the period -the one -price sys- New York and later in other American statestem, exchange of goods, cash sales, limited credit and in England and her colonies. A code ofand extensive advertising. He appreciated the criminal procedure and a penal code followed,value of patronage by the rising rich upper and although opposition from the bar delayed ap-middle classes and catered to their demands for plication of the latter. Field's Draft Outlines ofexclusive service by displaying high class goods an International Code (2 vols., New York 1872;amid luxurious settings in separate rooms, where 2nd ed. 5876) was well received and although in-purchasers would be "undisturbed by the pass- tended merely as a tentative draft is still cited bying throng." Department stores were becoming supreme courts in all countries on questions ofcathedrals of trade, and Field led in the intro- international law. In the same year Field partic- duction of meretricious splendor. But he did not ipated in the establishment of the Institut deneglect other classes: his store was one of the Droit International at Ghent and also the Asso-first to introduce in 1885 an "underprice" or ciation for Reform and Codification of the Law"economy" basement. of Nations (now International Law Association) Field was an innovator in his wholesale busi- at Brussels, of which he was the first president. ness as well. He practised intensively buying on Field was a Jeffersonian Democrat but turneda mass scale and for cash. The period was one in 1856 to support antislavery, union, Lincoln of falling prices and reckless speculation; Field and the Republican party, to return to the imposed stringent credit terms on his customers Democratic fold only in1876, with threeand developed a credit system adapted to the months' service in Congress. He continued to needs of merchandising in the rapidly growing the time of his death to labor in the activities ofmiddle west. As early as the seventies Field was the Free Trade League, the International Lawcontracting for the whole output of manufac- Association and other causes. turing plants, dictating quality and price; offices PITMAN B. POTTER were established in the most important world Consult:Speeches,Arguments,and Miscellaneous centers, where buying agreements were con- Papers, ed. by A. P. Sprague and T. M. Coan, 3 vols. cluded with local manufacturers; and the com- (New York 1884 -90); Rolin, Albéric, in Institut de pany finally established its own manufacturing Droit International, Annuaire, vol. xiv (1895 -96) 310- plants in the United States, Europe and Asia. 20; Field, Henry Martyn, The Life of David Dudley This system, the competitive advantages of Field (New York 1898); Phelps, Christina, The Anglo- which were enormous, is now in general use by American Peace Movement in the Mid -Nineteenth Century, Columbia University, Studies in History,chain store organizations. Economics and Public Law, no. 33o (New York In addition to his merchandising activities 193o). Field was a power in many other business enter- prises; probate of his estate revealed ownership FIELD, MARSHALL (1834- 1906), American of securities in one hundred and fifty industrial, merchant. Field was prominently identified withutility and financial corporations. He left $12o,- the evolution of modern merchandising prac-000,000 to two grandsons, both minors. The tises. In 1856 he became clerk and travelingbusiness became completely institutionalized salesman in a Chicago dry goods firm and wasand after Field's death it expanded rapidly; in made a partner in 1861. After a series of reor-1929 Marshall Field and Company did a busi- ganizations, in which Potter Palmer and Levi Z.ness of $179,659,000, more than twice the busi- Leiter participated, the firm became in 1881ness of 1906. Marshall Field and Company, with separate re- LEWIS COREY tail and wholesale branches. The growth of the Consult: Ditchett, S. H., Marshall Field and Company; business was bound up with the economic ex- the Life Story of a Great Concern (New York 1922); pansion following the Civil War. Chicago was Goodspeed, T. W., The University of Chicago Bio- graphical Sketches, vols. i-(Chicago 5922-) vol. i, growing rapidly as the industrial and financial p. 1 -34; Myers, Gustavus, History of the Great Ameri- metropolis of the middle west, where villages, can Fortunes, 3 vols. (Chicago 1910) vol. i, p. 259 -96. towns and stores sprang up almost overnight. These changes, bringing with them higher stand- FIELDING, WILLIAM STEVENS (1848- ards of living and new business practises, Field 1929),Canadianstatesmanand journalist. shrewdly measured and capitalized. Fielding began work on the Halifax Morning In his Chicago department store Field intro-Chronicle at the age of sixteen and eventually duced all the new retail merchandising practisesbecame its editor. In 1882 he was elected from 23o Encyclopaedia of the Social Sciences Halifax to the Nova Scotia legislature; in theprofessional public. Figgis was the perfectex- same year he entered the cabinet and becameample of an English type very puzzlingto for- head of the government in 1884. In 1896 after eigners. He was a most sincere Christian, but his a successful premiership of twelve years he was intellect was almost skeptical and his love ofpar- made minister of finance in the dominion cab-adox extreme; he was an earnest moralist but inet under Laurier, a post which he retainedcertainly not a sober one; he carried his learning until the defeat of the Liberal party in1911. with a suspicious grace. The fundamentals which His tenure of office synchronized witha periodFiggis defended are to most men dull and useful of unparalleled national expansion and devel- and are apt to be corrupted if touched by lighter opment, in which his financial policies playedgifts. an importantpart.His administration was As a historian of political ideas Figgis has few marked by a generous expenditure whichwas peers. His interest lay mainly in "the embryology never allowed to endanger a balanced budget,of modern politics," in that period specifically numerous tariff revisions embodying a mildin which the clash between church and state for protection, and a constant endeavor to developdominance determined the direction of modern wider markets by commercial treaties with for- political theory. The Divine Right of Kings (Cam- eign countries. A notable example of the latterbridge, Eng. 1896, and ed. 1914) and Studies of was the abortive reciprocity agreement with thePolitical Thought from Gerson to Grotius (Cam- United States in 1911. bridge, Eng. 1907, znd ed. 1916) deal with vari- His greatest achievement was the introduc-ous aspects of this central interest and The Polit- tion in 1897 of the preferential tariff, whichical Aspects of St. Augustine's "City of God" gave British goods a substantial advantage in(London 1921) approaches it less directly. In the Canadian market. This preference was grad-writing of political ideas he shows them in their ually extended by Canada to other dominionssetting of political and ecclesiastical institutions. and to many colonies; it was also incorporatedBut he is even more concerned to reveal their in their tariffs and in that of Great Britain.lack of absoluteness in other ways -how political In recent years the question of reciprocal pref-convenience leads to sweeping doctrine, how erences has become one of the most vitalgeneral ideas originate in an attempt to ration- problems facing the British Commonwealth of alize one's aims and justify one's position, how a Nations. doctrine created by one camp may come in time In 1921 Fielding again became minister ofto defend the intrenchments of an opposite one. finance under Mackenzie King and began theFiggis was not haunted by the modern fear that task of rehabilitating the national finances,ideas have no driving force. He was content to which had been badly crippled by the war andwrite of ideas in the grand manner, as part of a by heavy commitments on railways. He hadliving tradition for men of culture. He is notably realized his objective of a balanced budget whenfair to outworn creeds, as in The Divine Right of illness forced his retirement in 1924. In 1923 Kings, where he shows how much knowledge of he was appointed member of the British Privymen as political animals the defenders of that Council, an honor rarely conferred upon a lost cause possessed. Canadian who has not served as prime minister Figgis' own contribution to political theory, or chief justice. The Churches in the Modern State (London 1913, ROBERT MACGREGOR DAWSON and ed. 1914) is one of the most important sources of the pluralist movement. To Figgis FIGGIS, JOHN NEVILLE (1866 -1919), Eng-any religious group is in itself a societas perfecta, lish churchman, historian and political philoso-a corporation with a group will of its own; it is a pher. Figgis was born in an evangelical family;growth and no mere creation of the state. Just as had a brilliant undergraduate career at Cam-the orthodox individualist holds that men have bridge, where he was influenced especially byas human beings certain rights, infraction of Maitland and Creighton; and eventually enteredwhich by state action is unethical (and Figgis, the Anglo- Catholic Community of the Resurrec- although he does not emphasize this view, at bot- tion. Except for a few years in a rural parish histom accepts it), so Figgis holds that churches career was academic in the best English sense -have certain rights upon which the state cannot Cambridge, lectures in England and the Unitedmorally -and therefore lawfully- infringe. A States, active participation in the life of hischurch must be respected because it is alive, be- church, writing for a cultivated but not narrowly cause it fulfils functions the state cannot fulfil. Fielding-Filibustering 231 Indeed, it is in the church and in other forms ofcaria. The state must not only prevent crime; it corporate life such as trade unions, clubs, col-must promote virtue. Hence its task of education leges, families (here Figgis points the way to-a public function differing for the twoclasses other pluralists) that individual rights becomeof workers, manual and intellectual, both of real. Erastianism of any sort-Kulturkampf , thewhich Filangieri recognizes as essential, although Free Kirk, the Gorham case -must defeat itself, he calls the one productive and the other sterile. since it is based on a false theory of the sover-The Scienza evoked wide approbation from lib- eignty of the state. Figgis leaves undecided theerals and condemnation in the ensuing reaction. question as to who is finally to arbitrate a disputeBenjamin Franklin praised it and interested between church and state. He would admit that himself in making it known in America. the possession of armed force often makes the RODOLFO MONDOLFO state sovereign in fact; his book isprimarily aConsult: Ruggiero, Guido de,Il pensiero politico plea that public opinion be sufficiently enlight- meridionale (Bari 1922); Touchard, G., "Un publiciste italien au xvine siècle" in Revue historique de droit ened to deny ethical sovereignty to the state. français et étranger, 3rd ser., vol. xxv (1901) 319 -46, CRANE BRINTON 490-525, 744 -66; Gentile, P.,L'opera di Gaetano Consult: Rockow, L., Contemporary Political Thought Filangieri (Bologna 1914). in England (London 1925) p. 131-35. FILIBUSTER, LEGISLATIVE. See LEGIS- FILANGIERI, GAETANO (1752 -88), Italian LATIVE ASSEMBLIES. political scientist, lawyer and economist. Filan- gieri, who came of a noble family, was called toFILIBUSTERING. The term filibuster was the court of Naples in 1777 as a result of aoriginally synonymous with buccaneer or pirate masterly defense of a royal decree. Through hisand was applied to the adventurers who plun- contact with the royal court, whichcontinueddered the Spanish colonies in the Caribbean in until his early death, he was able to exercisethe seventeenth century. About the middle of a practical influence uponthe government ofthe nineteenth century the word came to be ap- Naples. His great unfinished work, La scienza plied particularly to those who engaged in armed della legislazione (7 vols., Naples 1780 -85; tr. byexpeditions from the United States under pri- R. Clayton, z vols., London 1806), seeks to por-vate initiative against nations with whichit was tray a complete reformatory system,describingat peace. The Jameson raid in South Africain the specific content of the laws where Montes- 1895, however, indicates that filibustering was quieu had limited himself to their spirit. Thenot a purely American practise. work is dominated by the antihistorical rational- Armed incursions into nearby territory were ism of illuminism. Legislation which makes fornot uncommon in the colonial period,when the happiness of nations must obey needs thatEngland, France and Spain were disputing for are rational, enduring anduniversal, not histor-possession of North America, and they contin- ical, transitory and particular. To Filangieri theued after the attainment of American nationality. fundamental human needs are essentially theEarly in the nineteenth century there was much preservation and security of life, mutual confi-plotting in the lower Mississippi valley by ad- dence and cooperation. The state should realize venturers who had an eye on the Spanish pos- the most perfect civil society; it must for thatsessions in Florida and Texas. The so- called very reason recognize thesolidarity of interests Burr conspiracy from 1805 to 1807 is an example. that binds together nations as well as classes andIn 181o, while west Florida was claimed by both parties within the nation, for the prosperity andSpain and the United States, a small band of progress of one are inconsistentwith the miseryAmericans captured the Spanish fort at Baton and degradation of the others. To this end Filan- Rouge in the disputed area and was planning to gieri proposes: an equilibrium to be maintained seize Mobile and Pensacola when the American by a class mediatory between people and sov- government's effective assertion of its claims ereign; an increase in wealth, which equitablybrought these operations to an end. The revolt distributed is not corruptive but creative of social of Texas in 1836 led to the organization of expe- values; a physiocratie recognition of the preemi-ditions in various parts of the United States to nence of agriculture, the basis of arts, commerceaid the Texans in their struggle for independ- and the financial system; a definite legal systemence from Mexico. None of theseactivities is prepared by a corps of magistrates; and a systemreferred to as filibustering, although they re- of penal law formed upon the principles of Bec-semble the later movements so designated. 232 Encyclopaedia of the Social Sciences The period from 1850 to 186o, which may be editor of Marysville, California, landed with a called the filibustering decade of American his-small force in Lower California and proclaimed tory, presented conditions peculiarly favorablean independent republic with himself as presi- to filibustering. Since 1803 the American peopledent. The American authorities cut off reenforce- had seen their western boundary pushed fromments and supplies, and after a few months the the Mississippi River to the Pacific Ocean, andfilibusters were driven back across the border. they had grown accustomed to taking the landsWalker next organized an expedition to Nica- next to theirs in whatever way seemed most con- ragua in 1855, where he had been invited by one venient. The isolation in which they had beenof the revolutionary factions. The aid of the Ac- reared had left them lacking in that sense ofcessory Transit Company, an American concern international obligation prevailing among peo-carrying freight and passengers between Atlantic ples surrounded by stronger neighbors. In 1850ports and San Francisco by way of Nicaragua, the prospect of further acquisition of contiguousassured a steady flow of supplies and recruits territory by government action seemed remote, from the United States and Walker soon became but the land hunger of Americans was not yetmaster of the country, exercising his power as appeased. Firm in their belief in the "manifestcommander -in -chief while a native Nicaraguan destiny" of the United States eventually to con-served as provisional president. This govern- trol both continents of the Western Hemisphere,ment was recognized by the United States in they looked toward the fertile lands of the Amer- May, 1856. A few weeks later Walker had him- ican tropics. If the government was indisposedself elected president. Meanwhile in a contest to take aggressive steps private enterprise wouldfor control of the transit company he sided with take matters into its own hands. This general what proved to be the weaker faction, seized the expansionist sentiment was strengthened by thecompany's property in Nicaragua on the ground desire of southern political leaders for more slavethat the company had violated its charter, and territory, in order to maintain the balance ofmade a new grant to his favored group. Corne- power in the Senate between the slave and freelius Vanderbilt, the head of the opposing group, states. immediately sent agents to aid a coalition of Cen- The filibusters were a conglomerate lot. West- tral American states against Walker. Vanderbilt's ern pioneers, soldiers of fortune, political exiles agents cut off Walker's reenforcements, the fili- from Europe, banished "liberators" from Latinbusters were surrounded by the allied forces at America and men who were idle and adrift inRivas, and on May 1, 1857, Walker surrendered the seaboard cities made up most of the rank and to Commander Charles H. Davis of the United file of the expeditions. They were actuated byStates Navy, who had intervened to prevent fur- the desire for power, by the love of adventure,ther bloodshed. In November Walker eluded by the opportunities which the weak countriesthe federal authorities at Mobile and landed by seemed to offer for economic exploitation anda ruse under the very eyes of an American naval the introduction of a new social and political force stationed at Greytown, Nicaragua, to ap- order and in many cases by the mere need of anprehend him. Commodore Paulding thereupon occupation. landed an armed force on Nicaraguan soil and In 185o and 1851 Narciso Lopez, a disaffected arrested him. Sent back to the United States as Spanish general, led two abortive expeditionsa paroled prisoner, Walker was released soon from New Orleans for the liberation of Cuba.after his arrival. Still another attempt to return Shortly thereafter two French expatriates into Nicaragua led to his arrest in Honduras by California, Charles de Pindray and Gaston deCaptain Salmon of the British navy. Salmon Raousset -Boulbon, organized companies of theirturned him over to the Honduran authorities, stranded countrymen in San Francisco and con- by whom he was condemned to death and shot ducted expeditions into the Mexican state ofon September 12, 1860. Sonora. The Mexican authorities were at first Two other expeditions worth noting in this friendly, apparently hoping to use French colo- period were those of Henry L. Kinney from nists as a buffer against rumored filibusteringNew York to Greytown in 1855 and of Henry A. incursions by Americans; but later the defendersCrabb from California into Sonora in 1857. Kin- were driven out. ney found Walker already in control and un- That there was a basis for the Mexican fear ofwilling to share his fortune with a rival. Many of American filibusters was soon evident. In Octo-his followers deserted to Walker, and he returned ber, 1853, William Walker, a young lawyer andto the United States. Crabb was a schoolmate of Filibustering-Filmer 233 Walker and sought to emulate his example bythough actuated by "pure and patriotic motives." accepting the invitation of a revolutionary leader The filibustering incursions had evil conse- in Sonora to bring a force of Americans into the quences for all concerned: they weredestructive country. The revolutionists turnedagainst them,of life and property; they caused European gov- however, and the entire force was captured andernments to distrust American professions of shot. disinterestedness in the Caribbean; and they en- Filibustering never again attained the impor-gendered a suspicion of the United States in tance that it had in the fifties. Yet theFenianLatin America which still persists. raids on Canada between 1866 and 187o and WILLIAM O. SCROGGS the Virginius affair in Cuba in 1873 showed See: ANNEXATION; CONQUEST; IMPERIALISM; NEUTRAL- that conditions favorable to filibustering had not ITY; REVOLUTION; PIRACY. wholly disappeared. The growing sense of inter- Consult: Roche, J. J., The Story of the Filibusters (Lon- national obligations among the American people, don 1891), reprinted as By -ways of War (Boston 19oí); be- Scroggs, W. O., Filibusters and Financiers (New York the closer commercial and financial relations 1916); Walker, William, The War in Nicaragua (Mo- tween the United States and LatinAmerica, the bile 186o); Montúfar y Rivera Maestre, L., Walker en development of aviation and radio communica- Centro -América (Guatemala 1887); Nicaise, A., Les tion and the complex mechanization ofmodernflibustiers américains (Paris 1861); Bancroft, H. H., warfare have all contributed to make filibuster- Central America in Works, vols. vi -viii (San Francisco ing of the nineteenth century type lesslikely to 1882 -87). recur. It is the duty of the United States governmentFILMER, SIR ROBERT (died 1653), English under both international law and thefederal political pamphleteer. During Filmer's life his statutes to prevent the organizationwithin itsworks remained little noticed, but after the Res- jurisdiction of hostile expeditions against friendlytoration the Tory party found in him their best nations. Although so many of these filibustering defense. His Patriarcha; or, the Natural Power expeditions succeeded in leaving the country,of Kings (London 168o; znd ed. by E. Bohun, positive evidence of official negligence or sym- 1685) has survived, however, chiefly because pathy is lacking. Many filibusters, including Lo- Locke and Sidney took him as representative of pez, Walker and Kinney, werehaled before thethe views they were attacking. To Filmer, a federal courts, but public sentiment was sochampion of the divine right of kings and an strongly in their favor that evidence was difficultenemy of the claim of the naturalequality of to obtain and even when thegovernment's casemen, the argument for the needof consent on was well established jurieswould not convict.the part of the governed was anathema. He The American public glorified the filibusterságro,sA with_ Hobbes.. in his ,absditism but felt very much as did the Britishthe Jameson raiders.that the contract was a dangerousweaponin its Walker's recruits were not organized on a mili- defense. Moreover, Hobbes ignored the ques- tary basis until they had left thejurisdiction oftion of legitimacy. To avoid these difficulties the United States; they usually carriedtickets Filmer developed his patriarchal theory, endeav- as regular passengers onthe company's steam-oring to show that the description of kings as ers and the governmentofficers were practically fathers of their country was not mere metaphor helpless in preventing their departure, althoughbut literal truth. To urge indeed that contem- they searched the ships repeatedly forevidenceporary rulers traced backgenealogically to Adam of neutrality law violations. When PresidentBu- was absurd, as he soonperceived. Nor was he chanan in 1857 placed American vessels inCen- very convincing when quotingScripture to prove tral American ports to prevent the landingofthat unlimited monarchy was God's will.Ac- filibusters he clearly went beyond what was re-cordingly he chose to rely mainly on the argu- quired in enforcing the letter of the neutralityment that monarchy was natural, showinghow laws, but this plan was much simpler thantheit originated in the power of the father over his impossible task of keeping watch on the wholefamily in primitive times and developed from His coast line of the United States,and the Centralthat into government in the wider sense. American governments did not regard it as acontemporaries, lacking in historical mindedness violation of their sovereignty. The presidentfeltand inclined to view men and rights abstractly, constrained, however, to characterize Commo-were not easily persuaded that an accountof ori- dore Paulding's action in landing armedAmeri-gins constituted a justification. In short, the proc- can forces in Nicaragua as a"grave error" al-ess of development soonrendered antiquated 234 Encyclopaedia of the Social Sciences the views of Filmer and of the school which heMovement and in 1899 was elected honorary epitomized. He retains one claim to merit: hisvice president of the Women's Council but was theory was, as an account of the origin of the refused permission by the government to estab- state, more correct historically and sociologicallylish a Russian branch. After the revolution of than the fiction of a social contract so widely1905 she organized the All- Russian Women's used by the leading thinkers of the day. Congress and became its permanent chairman. THOMAS I. CooK As leader of the liberal wing of feminism Filo- Other works: Observations concerning the Originali of sofova opposed the militant tactics proposed by Government (London 1652); The Anarchy of a Limited the more radical socialist groups. and Mixed Monarchy (London 1648); The Necessity E. KUSKOVA of the Absolute Power of All Kings (London 1648). Consult: Tyrkova, A. V., Anna Pavlovna Filosofova i Consult: Figgis, J. N., The Divine Right of Kings (2nd eya vremya (Filosofova and her time) (Petrograd ed. Cambridge, Eng. 1914) p. 148 -6o, 248 -55; Allen, 1915); Selivanova, Nina N., Russia's Women (New J. W., in Social and Political Ideas of Some English York 1923) p. 15o -58; Bentzon, T., "Femmes russes" Thinkers of the Augustan Age, ed. by F. J. C. Hearn -in Revue des deux mondes, 5th ser., vol. xi (1902) shaw (London 1928) ch. ii; Gooch, G. P., Political 85o -85. Thought in England from Bacon to Halifax (London 1914) p. 560-64; Dunning, W. A., A History of Politi- cal Theories from Luther to Montesquieu (New YorkFINANCE, PUBLIC. See PUBLIC FINANCE. 1905) P. 254 -61. FINANCIAL ADMINISTRATION is that FILOSOFOVA, ANNA PAVLOVNA (1837- part of the government organization which deals 1912), Russian feminist leader. Born and broughtwith the collection, preservation and distribution up in a family of the old nobility, the Diaghilevs, of public funds, with the coordination of public at a time when serfdom was still in full force,revenues and expenditures, with the manage- she was influenced by the liberal reforms of thement of the credit operations on behalf of the sixties. After her marriage at the age of eighteenstate and with the general control of the finan- to a high government official she devoted herselfcial affairs of the public household. The term al- entirely to public activities, chiefly in the fieldso refers to that part of fiscal science which is of the cultural emancipation of women. Withconcerned with the principles and practises in- the exception of exclusive boarding schools forvolved in the proper administration of state the nobility there existed before 1861 no schoolsfinances. for women in Russia and their rights were ex- Several factors have contributed to the in- tremely limited. Outstanding women resortedcreasing importance of the administrative as- to fictitious marriage, as in the case of the cele-pects of public finance in modem times: first, brated mathematician Sophie Kovalevski, inthe ever widening scope of state activities and order to be able to go abroad for their education. consequent growth of public receipts and ex- Mme. Filosofova, a woman of great beauty, witpenditures; second, the democratization of polit- and culture, made use of her husband's promi-ical institutions and the establishment of parli- nent position in government cirlces, but in 1863 amentary control over the public purse; and, she was allowed merely to give popular scientificfinally, the recent tendency of applying a more lecture courses for women in a private home.simplified and rationalized procedure to the Despite her social standing in 1879 she wasbusiness of public administration. exiled from Russia by the police for two years. The main principles underlying a sound sys- Owing to her efforts and those of her associates, tem of financial administration are: unity of or- Mmes. Stasova, Konradi and Trubnikova, per-ganization and centralized responsibility; strict mission was finally granted in the seventies forcompliance with the will of the legislature as ex- the opening of the Bestuzhev College for Womenpressed and formulated in the budget; simplic- and later of the Medical Institute for Women.ity, promptness and regularity of functioning; She was also instrumental in founding a society and, finally, an effective but not too complicated to provide inexpensive living quarters for work-system of control over all stages of the financial ing women. Starting with a capital of 54o rubles operations. No system of administration is com- the society later erected its own building andplete without a trained and reliable personnel, shops for large numbers of working women. Itthe recruiting of which is a task equal in im- founded a model trade school and a kindergarten. portance to that of proper organization itself. Beginning in the nineties Mme. Filosofova The various systems of financial administra- took an active part in the International Women'stion are products of slow growth; their develop- Filmer-Financial Administration 235 ment is closely associated with that of politicalimportant officials also have carefully selected institutions. For a long time England and France staffs. were the only countries which endeavored to The Treasury centralizes the estimates of ex- build up a satisfactory financial administration. penditures of all governmental departments. The constitutional law which regulates the fi-.The chancellor of the Exchequer is the official nancial administration of England is the Ex- financial counselor of the crown; he requests the chequer and Audit Departments Act of June 28,appropriations for all national expenditure from 1866, "an Act to consolidate the duties of thethe House of Commons and thus exercises a Exchequer and Audit Departments, to regulatestrong control over the other ministers. The the Receipts, Custody and Issue of PublicHouse merely votes on the estimates of expendi- Moneys, and to provide for the Audit of the Ac-tures; its members do not possess the right of counts thereof," supplemented by regulationsinitiating expenditures or of demanding an aug- contained in the Treasury Minute of March 2,mentation of the credits. The credits are always 1867. In France the laws which regulate thegranted according to the demand of the chancel- financial administration are included in the lor of the Exchequer. Règlement général sur la comptabilité publique, the The Treasury exercises a continuous and di- first edition of which was published in the Or- rect control over the financial activities of all donnance royale du 31 Mai 1838 and the last edi-governmental departments. In fact, the House of tion on May 31, 1862. Other countries followedCommons grants the credits to the crown and the French or the English example; the French,not to the ministers. It is incumbent upon the adopted chiefly on the continent, is more lucidcrown to state whether a credit is to be used or and systematic than the English, but less satis-whether certain expenditures are to be made, factory. In adopting it some countries profitedand the Treasury is the organ through which the from experience and improved on it; for ex-crown makes its will known. Accordingly, be- ample, Belgium in the law regarding public ac-fore making any expenditure a minister must ob- counts of May 15, 1846, and the general regula- tain authorization from the Treasury. If it is tion concerning public accounts of Decemberfound by a department that the credits which it 10, 1868; Italy in the laws of February 17, 1884, had obtained are insufficient, it must forward a and the regulation of May 4, 1885, concerningwritten statement to the Treasury in order that the administration and the general public ac-the latter may decide whether the expenditures counts; and Germany in the law of Decembermight not possibly be deferred or whether it 31,1922, concerning the regulation of thecould present a "supplementary estimate" to the budget of the Reich, the codified text of AprilHouse of Commons. Finally, it is the task of the 14, 193o, and the ordinance of August 6, 1927,Treasury to supervise the efficiency of all gov- concerning the service of the Treasury of theernmental departments, to which it may issue Reich. instructions. Of all countries Great Britain has undoubt- The Treasury supervises the collection of the edly worked out the most detailed and unifiedpublic revenues and the public debt service, but system of handling her fiscal affairs. The central separate agencies are charged directly with the organ of administration is the Treasury. Sincetwo respective tasks. It supervises the preserva- 1612 the Treasury has been organized in thetion and distribution of the public funds, which form of a board, consisting of the first lord of theare kept in the Bank of England. The Treasury Treasury, a title ordinarily given to the primemaintains a current account with the Bank, to minister, the chancellor of the Exchequer and awhich all the receipts collected by the agents of variable number of junior lords of the Treasurythe revenue departments are forwarded. Upon (usually three). Actually, however, the chancel-orders from the Treasury the Bank effects trans- lor of the Exchequer is the only head of the fers to the accounts of the various accounting of- Treasury. Under his supervision is a trainedficers, especially the paymaster general. The personnel whose cooperation insures the conti-practise of depositing the government funds with nuity of tradition and prevents technical errors.the Bank of England helps to keep the public The most important members of the staff are thefunds in circulation and minimizes the restrictive permanent secretary to the Treasury, whose task effect of heavy tax payments on the money it is to direct the administration, and the per-market. manent financial secretary, who controls the The comptroller and auditor general, a very other governmental departments. These two high and powerful public official, although nom- 236 Encyclopaedia of the Social Sciences inated by the crown is considered an agent oftheir expenditures, the minister of the budget Parliament and not of the Treasury. He can behas no special power to control them. The au- recalled only by Parliament, and his salary doesthority and responsibility of the minister of the not depend upon the annual vote of credit. Hebudget and the minister of finance are impaired takes care that the Treasury withdraws fundsby the finance commissions of the Chamber of from the account of the Exchequer with theDeputies and the Senate, which possess the right Bank of England only in conformity with theto modify the financial measures of the govern- will of Parliament; every withdrawal of fundsment. The proposals discussed by parliament requires his authorization, which is known as aare more often those of the commissions rather grant of credit by the comptroller and auditorthan those of the government. Finally, every general. deputy has the right to propose new expenditures The Treasury has the power of contractingas well as additional credits. The legal restric- short term loans in order to balance temporarytions intended to prevent gross abuse are inef- deficits. These loans are either advanced by thefectual. According to the constitution senators Bank of England, in which case they are calleddo not possess the right to propose an increase in ways and means advances, or raised by bankersthe credits, but in practise the Senate circum- through the agency of the Bank of Englandvents the constitution by voting a nominal re- (through the sale of Treasury bills). In case ofduction of the credit. When the modified budget productive capital expenditures the Treasuryis again submitted to the Chamber any deputy may be authorized to issue Exchequer bonds,can propose the additional credit desired by the which are of greater duration than Treasury billsSenate. Under such conditions the authority of and are usually repaid from the earnings of thethe minister of finance and the minister of the investment. budget depends entirely upon their personalities. The Treasury does not directly audit the pub-The French budget has no responsible author; it lic accounts. It publishes weekly financial state-is the offspring of an unknown father. ments about receipts, payments and the status of The Ministry of Finance does not exercise a the Exchequer. In addition each year it submitsdirect, permanent and effective control over the financial tables to Parliament informing it of thefinancial activities of the other ministerial de- financial situation. The auditing of the accountspartments. Each minister uses the credits granted is performed by a committee of Parliament, the to him without interference from the minister of Committee on Public Accounts, chiefly with thefinance. Where additional appropriations are assistance of the comptroller and auditor generalnecessary, the minister of the budget demands and one official of the Treasury. This committeethem from parliament in agreement with the in- also supervises the financial activities of theterested minister. Because of the weak position Treasury. The observations which it makes formof the minister of the budget and the preponder- the basis of the Treasury minutes, which are in- ant influence of financial commissions, deputies structions forwarded by the Treasury to theand senators additional credits are of consider- various departments. A collection of all instruc-able importance in France. In 1890 the legal tions given since 1857 has been published in the power of controlling expenditure was granted to Epitome of the Reports from the Committees onthe minister of finance. An official of the Minis- Public Accounts 1857 to 1910, and of the Treasury try of Finance, a contrôleur des dépenses engagées, Minutes Thereon and forms an excellent digest ofsupervises the expenditures of each minister. English public accounting. Every project which involves expenditures must In France the system of financial administra-be submitted for the countersignature of that tion is directed by the minister of finance. Untilofficial, who examines its conformity with the 1925 there existed unity of administration, butlaw and the credits voted by parliament, but not in that year for reasons of political opportunism its expediency. The contrôleur has the right to there was established side by side with the Min-comment on the efficiency of the methods em- istry of Finance a Ministry of the Budget, theployed. In case the countersignature is refused principal duty of which is to prepare the budgetan appeal is taken to the minister of finance, who and present it to parliament. This dualism hasrenders the final decision. A minister who know- not produced good results. The minister of the ingly incurs expenditures without the indorse- budget is inferior in position to the minister ofment of the contrôleur is held civilly and crimi- finance and is not superior to the other ministers.nally responsible for his action according to the Although the latter submit to him a proposal oflaw of August Io, 1922; the law, however, has Financial Administration 237 never been enforced. The contrôleur does usefulstance, in 1929 the public was astonished to learn work but lacks the authority necessary to render that the national Treasury had at its disposal re- his services effective. serves of approximately 20,000,000,000 francs The minister of finance is in charge of the col- which were unknown to parliament. In 193o a lection and distribution of the public revenues. law was enacted which vainly tried to establish a The custody of the public funds, however, is en- control over the Treasury; its provisions, which trusted to the Bank of France, and the moneyare very poorly drawn, are not enforced. thus remains in circulation. The Treasury has a The minister of finance is in charge of the ad- current account with the Bank, to which the rev- ministration of the national debt as well as of the enue collectors forward the public funds. Theissues of public loans. In order to balance the minister of finance, on the other hand, gives in- temporary deficits of the Treasury he floats structions to the Bank for placing the necessaryshort term loans in the form of Treasury certifi- amounts at the disposal of the paymasters. Thecates. Until 1928 the Bank of France gave the creditors of the state receive pay orders from theTreasury a standing non -interest bearing ad- respective ministers, which are honored by the vance of 600,000,000 francs, which was indirect- accountants only if they bear the countersigna-ly abolished when the franc was stabilized. tures of the contrôleur and the Direction du The minister of finance supervises the public Mouvement Général des Fonds du Ministèreaccounts of all ministerial departments and even des Finances. The first confirms the authority ofexamines the statements of the accountants be- the minister in regard to this expenditure, while fore they are forwarded to the Cour des Comp - the second guarantees that no creditor is given ates for the final verification. Actually, these pay order without previous verification of thestatements are forwarded to the Cour des Comp - fact that the national Treasury contains thetes only after a delay of several years; the verifi- amount necessary for honoring it. Every monthcation is therefore ineffective. Parliament is com- after calculating the funds at his disposal thepletely uninterested in the matter. minister of finance informs each minister of the Although the financial administration of Ger- amount up to which he may issue pay ordersmany is influenced by the French system, never- during the following month. The accountantstheless German tradition favors the institution are held personally responsible in case theyof powerful executives confronted by an impo- honor orders which lack the correct form. Thetent parliament. This tradition is evident in the extent of their personal responsibility is, how- very considerable power granted to the minister ever, determined in the last instance by the min-of finance as the head of the financial administra- ister of finance. tion. His share in the preparation of the budget The minister of finance is the only authorityis larger than in France, although not so large as charged with securing compliance with the lawin England; he himself draws up the budget of and the will of parliament. There exists no au-the receipts and for the preparation of the bud- thority comparable to the office of the comptrol-get of expenditures he utilizes the proposals ler and auditor general in England to prevent thewhich the other ministers submit to him, and minister of finance from violating the will of par-which they formulate uniformly according to a liament. He has the power to incur public ex-model prescribed by him. He possesses the right penditures regardless of their legality. His orders,to criticize the proposed expenditures of the even if unlawful, must be obeyed by the comp-other ministers. In the case of a conflict decision trollers of expenditures and the accountants. Herests with the Council of Ministers; the minister has the power of releasing the accountants fromof finance may, however, demand that the coun- their responsibility. Moreover, the law of Au-cil take a new vote at a meeting at which all the gust 1o, 1922, authorizes the government toministers are required to be present. The credit open credits, by a decree of the Council of therequested by a minister against the advice of the Ministers, for expenditures required in the in-minister of finance is granted only if the majority terests of public security, providing the creditsof the ministers are in favor of it and if the chan- are subsequently ratified by the parliament; thecellor of the Reich votes with the majority. The fact that the government frequently makes useplan of the budget approved by the Council of of this power considerably decreases the effec- Ministers is then submitted to the Reichsrat, a tiveness of the parliamentary control. The legalbody composed of delegates from the states, prerequisites which insure the publicity of thewhere it is examined by a commission headed by financial transactions are disregarded. For in-the minister of finance. The latter may ask that 238 Encyclopaedia of the Social Sciences modifications proposed by the Reichsrat be sub-loans; this has given rise to a floating debt which mitted to the Council of Ministers, who may ap- in August, 1930, exceeded the sum of 1,300; prove or reject them. The project approved by000,00o marks. the government is next submitted to the Reichs- The minister of finance does not possess the tag. Although the budget commission of thepower, as does the chancellor of the Exchequer Reichstag may tend to encroach upon the pre-in England, to control his colleagues when the rogative of the minister of finance, it lacks thebudget is carried into practise; his position in power of the Finance Commission of the Frenchthis respect resembles that of the French minis- Chamber and cannot propose a new budget.ter of finance. He is not even authorized, as in Every member of the Reichstag has the right toFrance, to place comptrollers of expenditures propose additional expenditures; actually, how-beside each minister; the ministers have their ever, the right is exercised by the strongpoliticalown special officials who account for their ex- parties in their negotiations with the govern-penditures. The system of the monthly distribu- ment. In 1931 the regulations of the Reichstagtion of funds is modeled after the French pat- were changed and its members prohibitedfromtern. The minister of finance decides upon the increasing credits or reducing receipts withouttotal amount to be passed for payment, but no indicating the ways and means of reestablishingcontrol guarantees that the limit is not exceeded; a balance. If in order to comply with these regu-the only check consists in a refusal of the ac- lations a reevaluation of the receipts is proposed,countants to honor orders beyond the amount it must be submitted to the approval of the determined. government. Moreover, if the Reichstag aug- The minister of finance is in charge of the col- ments the credits demanded by the minister oflection of most revenues. In the Ministry of finance, the increase must be submitted to theFinance there exist departments and subdepart- approval of the Reichsrat. If the latter does notments which direct the assessment and collec- render its decision or vetoes the increase thetion of taxes and other revenues subject to his president of the Reich must either submit thejurisdiction. The local treasuries forward the matter to the referendum of the electoral bodyfunds at their disposal to the central Treasury, within three months or order the Reichstag toeither by depositing them with the Reichsbank reconsider the matter; in the latter case the in-to the account of the Reich or by postal checks. crease is sustained only if it is supported by aThe amount due the Reich from its postal check- majority of two thirds. So far the second courseing account is cleared through the Reichsbank. has always been followed. Even if, as usuallyCertain treasuries are authorized to maintain an happens, two thirds of the members of theaccount with the Reichsbank. On the whole the Reichstag vote for the increase, the president ofpart played by the Reichsbank in financialad- the Reich may decree a referendum by theministration is inferior to that of the Bank of people. Finally, article 48 of the Weimar con-England or the Bank of France. stitution of August 11, 1919, authorizes the pres- The minister of finance issues the public loans ident to promulgate the necessary ordinancesauthorized by the Parliament and has charge of in case the Reichstag should reject the budgetthe conversion of debt. The administration of or in case it should be dissolvedbefore it canthe national debt is reserved to an independent vote. Thus on July 18, 1930, when the Reichstagorgan, the Reichsschuldenverwaltung.Up to was dissolved after having rejected thebudgetary 1924 the temporary deficits of the Treasury were proposals of the government, fiscal ordinancescovered by advances from the Reichsbank against were promulgated by the president of theReichunlimited Treasury certificates; but since that and the budget for 193o was established by de-date the Reichsbank has been permitted to open cree subject to a subsequent law. credits for a maximum period of three months Actually the German method of financial ad-up to the amount of ioo,000,000marks, which ministration has not been successful in securingmust be entirely refunded not later than July 15 a balanced budget. All budgetssince that forfollowing the end of the financial year (March 1924 have resulted in deficits. The deficitof an31). Furthermore, the Reichsbank may discount ordinary budget must figure as an ordinary ex-Treasury certificates of three months' maturity penditure in the second budget thereafter, whichup to the amount of 400,000,000 marks,provid- means that new taxes are to be raised inorder to ing the certificates bear the signature of a solvent cover the deficit. In reality the deficits have beenperson. The Treasury may also grantshort term covered by loans, especially short term foreignloans to the Railroad Administration and the Financial Administration 239 Post Office Department, both of which enjoy apulsory for the government and by no means op- large degree of financial autonomy. tional and that the government was compelled to The financial administration possesses no or-spend the amount it had been granted. Logroll- gan whatever to insure compliancewith the lawsing, the pork barrel, inconsistency and waste and decisions promulgated by the Reichstag, butwere the outstanding characteristics of the man- in every administrative branch a "special budgetagement of the finances of the United States. officer" or a "budget office" nominated by the The legislation of 1921 reorganized the entire minister or by the head of the respective depart-system of financial administration. Although the ment has charge of that function andworksEnglish system was accepted as a model it was under the supervision of the minister at the headnot followed in every detail. It would havebeen of the respective administrative branch. Theimpossible, for example, to give to the secretary Reichstag itself is not interested in the compli-of the Treasury the power possessed by the ance with its decrees. Expendituresexceedingchancellor of the Exchequer in England. The the budgetary credits are made without author- forces which resisted any radical change were the ization from the Reichstag and at times are sub-preponderant position of the president, the sub- mitted for approval only after the financial state-ordinate position of the ministers as simple as- ments have been published. Yet evenin suchsistants to the president, the large measure of cases the Reichstag has givenits approval with-financial control granted to Congress by the out comment. constitution and fmally the strength of a tradi- Since May, 1929, the minister of finance hastion more than a century old. published a monthly account of receipts and ex- The task and responsibility of preparing, elab- penditures as well as a Treasury report and aorating and presenting the annual budget are statement concerning the floating debt. Withthevested in the president. In this task he is assisted assistance of other departments he also draws up by the Bureau of the Budget, created by the law the budgetary accounts of the Reich which are of 1921. The function of the Bureau corresponds published and submitted to the Reichstag. Theto that of the permanent secretaries tothe accounts rendered by the accountants aresub-Treasury in England; its task is to coordinate, mitted to the autonomous Rechnungshof, whichrevise and increase the estimates of the various has power to investigate the proper execution ofdepartments and services, a function which prac- the budget, the compliance with the law, thetically amounts to a control of the entire admin- proper handling of expenditures bythe adminis- istration. The Board of Estimates, a division of tration and finally whether unnecessary or exces-the Bureau of the Budget, is charged especially sive expenditures were incurred. This body haswith maintaining the connections withall also the right to decide on the introduction of re-branches of the federal administration. In every forms and incorporates its observations in an an-branch of service there is a special official, the nual report addressed to the government. Afterbudget officer, nominated by the head of the the accounts and the report of the Rechnungshofservice, whose task it is to prepare the estimates have been submitted to the Reichsrat and Reichs-and to deal with the Bureau of the Budget. The tag these bodies pass resolutions bywhich theyexecutive departments are compelled to supply release the government from responsibility. Ac-the Bureau of the Budget with all the informa- tually the Reichstag is not interested in exercis-tion which it desires and the director, assistant ing control. director and duly authorized employees of the The financial administration of the United Bureau have the right to examine the books of all States was very deficient up to the passing of thedepartments and services. Budget and Accounting Act of 1921. The prepa- Credits are granted to each department or serv- ration of the appropriation bills was in the handsice. The head of a department or service has of the numerous committees of the House ofthe right to employ them without consulting the Representatives and the Senate. There was noBureau of the Budget, but no official or adminis- interest in balancing receipts and expenditures.trative branch may use them for a new purpose The 'Treasury did not possess the legal power towithout consulting the Bureau of the Budget and examine the demands for expenditures of thereceiving its approval. On the other hand, im- various departments, to prevent the grant of ex-mediately upon the publication of the budget penditures recognized as unnecessary or toand before June 3o each service must inform the check the misuse of credits granted. CongressBureau as to the "Apportionment of Appropria- maintained that the appropriations were corn-tions"---the monthly, trimestrial or other appor- 240 Encyclopaedia of the Social Sciences tionment of its credits which it intends to make. These operations help the Treasury in distrib- Any subsequent change in the apportionmentuting the public expenditure more evenly and must also be reported to the Bureau and en-to that extent have a stabilizing effect on the eco- dorsed by it. Besides, every service must informnomic life of the country. the Bureau at the end of each trimester of the The control and auditing of financial opera- amount actually spent during the period. Thetions are vested in the General Accounting Office coordinating agencies, commissions of officialsestablished by the law of 1921. It is under the headed by the chief coordinator and supervisedsupervision of the comptroller general of the by the director of the Bureau of the Budget,United States and the assistant comptroller gen- serve the purpose of finding the most economicaleral, both of whom are nominated by the presi- way of using the credits granted by Congress, ofdent for fifteen years subject to the approval of insuring the most rapid and most simple func-the Senate. They may be recalled only with the tioning of the federal service and of eliminatingconsent of both houses of Congress. The Gen- friction and delay. eral Accounting Office is to a certain extent an Because of the preeminence of the president agent of Congress; its function may be compared and the Bureau of the Budget the position of thewith that of the comptroller and auditor general secretary of the Treasury cannot be comparedof England. Since 1921 its power has been con- with that of the chancellor of the Exchequer orsiderably increased. It prescribes the forms and of the ministers of finance of France or Germany.methods of accounting which must be employed The secretary of the Treasury proposes to theby every department and service, as well as the president the creation or the reduction of taxes,forms of the accounts and the methods for their loans and other financial measures. He has com- examination; actually, it has introduced very im- plete supervision and control of the collectionportant simplifications by making uniform the and preservation of public funds. The absencemethods of accounting and recording. It has the of a central bank in the United States formerlyright to demand information from any office and raised great problems in the matter of the cus-to examine on the spot every ledger and docu- tody of the funds. At first they were deposited inment. It investigates whether expenditures and various banks, but favoritism on the part ofcollections are effected in conformity with the Treasury officials and frequent bank failures ledlaw and the will of Congress. Similarly, upon the to their segregation in Treasury vaults. The eco-request of the services and particularly the pay- nomic waste and disturbing effects caused by themasters it interprets the provisions of the laws withdrawal of large sums of money from circula-governing the budget and decides whether a cer- tion brought about, however, a gradual returntain credit may be employed for a certain pur- to the bank deposit system in the years following pose. Congress alone possesses authority to the Civil War. With the passing of the Federalchange its interpretations. In spite of its exten- Reserve Act in x913 the Federal Reserve Bankssive jurisdiction it does not exercise the same were designated as fiscal agents and governmentpower as a comptroller of expenditure in France. depositories, although the secretary of theIts control extends only to the orders issued by Treasury retained the right to select other banksthe chiefs of the various services previous to the as well. In 1920 a division on deposits was cre-actual making of payments, but even this sort of ated and charged with all matters pertaining tocontrol is not general. The General Accounting the designation of depositories. The presentOffice forwards to the president of the United policy is to maintain the national banks as de-States and to Congress reports in which it pro- positories only in places which are remote fromposes measures intended to render the working Federal Reserve Banks or their branches and inof the federal services more simple and econom- which a depository is necessary for pay roll pur-ical. Both houses and their committees as well as poses. In 1928 the secretary of the Treasury wasthe Bureau of the Budget frequently ask the Of- authorized to designate state banks and trustfice to investigate certain problems and to report companies to carry public deposits and act ason its findings. If the Office discovers that cer- fiscal agents of the government. tain expenditures or the terms of a contract in- The Treasury is also charged with carrying onfringe upon the law, it is its duty to notify Con- credit operations on behalf of the government.gress of this fact through a special report. The short term borrowing is effected through In addition to these functions the General Ac- the sale of Treasury certificates and Treasurycounting Office exercises various competencies notes issued usually in anticipation of revenue.in the interest of which it is divided into several Financial Administration-Financial Organization 241 pri-countries as sources of raw materials or as mar- sections. The Claims Division investigates is the vate claims, based onadministrative acts, whichkets for finished goods, the more complex the services are unable to satisfy becauseof thefinancial organization and the greater its signifi- of the country. In lack of credit. If the General AccountingOffice cance in the economic system considers the claims justified, it makes recom-highly industrialized and commercialized coun- Britain, mendations in their favor to Congress.Thetries such as the United States, Great Audit Division is in charge of theexaminationGermany and Holland the financial organization sensitive and the auditing of the accounts ofall depart-is therefore much more intricate and ments including the PostOffice Department.than that in predominantly agricultural coun- The Office of the General Counsel hasthe tasktries. questions of Financial organization in a modern senseis of of giving legal advice, especially on larger part of the interpretation of the budget regarding the ap-recent origin. So long as the decision ofpopulation was engaged in agriculture,with peal taken by a service against the organiza- other sections of the General AccountingOffice.trade only local in character, financial of the ar- tion was unnecessary. As the localcommunities The Records Division is in charge trade chives, i.e. the preservation of accounts, con- became less and less self -sufficient and transcended local boundaries the use of money tracts, checks and other documents. GASTON JÈZE as a medium ofexchange and as a standard of value became more widespread. Withit there EXPENDI- See: PUBLIC FINANCE; REVENUES, PUBLIC; developed the new business of moneychangers TURES, PUBLIC; BUDGET; ACCOUNTS,PUBLIC; ADMINIS- progenitors of PUBLIC; CENTRALBANKING; FEDERAL and later of money lenders, the TRATION, modern bankers. Yet neither these northe finan- RESERVE SYSTEM. northern Italy, Consult: Jeze, Gaston, Cours élémentaire descience des cial centers which flourished in finances et de législation financière française(5th ed. southern Germany and certain parts ofFrance Paris 1912); Allix, Edgar, Traité élémentaire descience in the later Middle Ages could atthis stage be des finances et de législation financière(6th ed. Paris regarded as constituting a financialorganization. législation 1931); Trotabas, Louis, Précis de science et The incipient bankers were primarilymerchants financières (2nd ed. Paris 1931); Lotz, Walther,Finanz- Henry, whose banking activities were merelyincidental wissenschaft (2nd ed. Tübingen 193o); Higgs, and had no firm The Financial System of the UnitedKingdom (London to their commercial transactions 1914); Young, Edward Hilton, The System ofNational foundation in the law. Furthermore, the numer- Finance (London 5955); Bonjour, Henri, Lebudget du ous coins then in usedid not represent money Reich (Paris 1931); Chicos, Stefan, Lapréparation du in the true sense of the term. Sinceeach sover- États-Unis d'Amé- budget et le contrôle budgétaire aux eign had complete power to changethe metallic rique (Paris 193o); Wieland, P., Das Budgetder Ver - territory, the einigten Staaten von Nordamerika, Veröffentlichungen content of the currency in his own des Reichsverbandes der DeutschenIndustrie, no. 44, coin was merely a particle of metal,whose value (Berlin 5929); Dawes, Charles G., The FirstYear of fluctuated with its fine gold or silver content. the Budget of the United States (NewYork 19z3); The growth of internationaltrade coupled Chapman, J. M., Fiscal Functions of theFederal Re- in shipping 5923); Oakey, Francis, Prin- with the great uncertainty involved serve Banks (New York another led ciples of Government Accounting and Reporting(New coin and bullion from one market to York 1921); Smith, D. H., The GeneralAccounting Of- of necessity to the development ofcredit instru- fice, Its History, Activities andOrganization, Institute ments such as bills ofexchange. These credit for Government Research, ServiceMonograph, no. instruments could become widelyused only if xlvi (Baltimore 1927); also seebibliography cited they attained unquestioned legalstanding and under BUDGET. if the rights of the drawers, draweesand holders FINANCIAL ORGANIZATION. The mostwere properlysafeguarded by legal provisions. develop- intricate and delicate structural componentofWhen this was secured through the modern economic society is its financialorgani-ment and codification of thelaw merchant, credit theinstruments acquired an increasedcirculatory zation, consisting of its financial institutions, foundations for a de- arteries through which flows credit, the lifeblood power. Thus were laid the The charac- velopment of the modern financialorganization. of the entire economic structure. of banking teristics of the financial organization of a country In the course of time the functions merely the depend upon the degree of its economicdevel- institutions widened in scope; at first opment. The more minute thedivision of labor,safekeepers of the funds of their customers -as industry andwere the goldsmiths inEngland and the kassiers the more intensive the growth of in the trade, the greater the dependence uponforeignin Holland -they soon became bankers 242 Encyclopaedia of the Social Sciences modern sense, operating more with their cus-a subordinate aid of commerce and industry into tomers' funds than with their own. At the samean important force dominating an ever increasing time as enterprises became larger the funds sup-area of the economic field. In their aggregate, plied by individual capitalists, whether theyfinancial institutions regulate the rate of flow assumed the guise of silent partners or of outsideand the distribution of capital among various money lenders, became insufficient. A largerbranches of production and through theirrepre- investing public had to be drawn upon and thesentatives on the board of directors of the various development of negotiable shares became one ofindustrial enterprises they exercisea direct in- the first prerequisites to the establishment offluence on the economic life of nations. Toa larger enterprises. The appearance of negotiablelarge extent they have taken the place of the securities made necessary the creation of a trad-entrepreneur in the promotion and organization ing center to make them marketable and to giveof new enterprises; in many instances theyap- them a market value. These new trading centers, pear as the actual managers of large manufac- the stock exchanges, are the earliest visible ex-turing, transportation and mining enterprises. pression of a financial organization. Here for the In assessing the significance of the financial first time one may clearly discern the nucleus ofcontrol of economic activities it must be borne a financial community. in mind that the interests of the financial insti- The development of credit instruments, thetutions and those of the owners of the funds creation of stock exchanges and the gradual evo-with which they operate do not always coincide. lution of legal protection paved the way for theThe banks, particularly when privately owned, next step, the shift from a money to a creditare chiefly interested in earning large profits and economy. This unheralded change soon pro-will at times dispose of the funds under their foundly affected the economic development ofcontrol without much concern over the effecton nations. It freed economic activity from concernthe welfare of the country or of the depositors. over the availability of precious metals for useThe overexpansion of security and real estate as money and substituted therefor the transferloans may be cited as cases in point. Further- of claims between buyer and seller, creditor andmore, since financial institutions are usually debtor, on the books of financial institutions.under the control of one or a few individuals Moreover, as the drafts or bills of exchange ofthey generally favor the enterprises in which merchants or banks of an established reputationthose individuals are interested, often to theex- became the equivalent of money, there appearedclusion of the interests of the depositors. While the possibility of increasing the volume of pur-depositors often borrow from the banks, the chasing power by expanding loans. The placingmajority of them are not the real beneficiaries of bank credit on an equal footing with moneyof the funds accumulated therein. While there and the further development of credit instru-is not accurate information on the subject for ments created wealth of a new type. Whereasevery country, a banking inquiry made by the up to this time immovable property, chattels,German government in 193o revealed that much goods, precious metals and ships had been re-more than half the total of loans made by the garded as the principal forms of wealth, the large German banks were issued to large indus- latter were now frequently represented by credittrial and commercial enterprises whose deposits instruments and particularly securities, whichdid not exceed zo percent of the total deposits in the more advanced countries such as Hollandof the banks. In general one may state that where soon constituted a considerable portion of thebanking is concentrated in the hands ofa few total national wealth. institutions large enterprises are favored at the The growth of financial institutions and theexpense of small, which often find it difficult increased use of credit instruments, notablyto obtain credit accommodations at moderate stocks and bonds, now began to exert a decided rates. influence on the disposal of wealth. The liquid The development of the financial organization resources of a large number of individuals couldof individual countries was not uniform. Insome be concentrated in the hands of a few, who al-cases it grew up concomitantly with the indus- though not the owners had the power of freetrial expansion of the country, in others itwas disposal over them. This concentration of con-imposed from the outside in order to stimulate trol, which is in part the result of organizationindustrial development. Thus in Great Britain, of large enterprises and in part the cause of theirthe United States and Holland the financialor- further expansion, has transformed finance fromganization developed slowly and more or less in Financial Organization 243 adjustment to the economic status of the coun- operate chiefly with the funds of their depositors, try. In pre -war Russia and Japan, on the otherto whom they stand in the relationship of debtor hand, the financial structure was erected underto creditor, investment houses in the proper the tutelage of the government and prior to thesense of the term act merely as middlemen be- achievement of requisite status by industry andtween investor and borrower without assuming trade. But whatever their historical antecedentsany obligation to the buyers of the securities. financial institutions soon made their influence The principal types of institutions engaged in felt in the economic life of every country. Thiscommercial banking are commercial banks and applies not only to the continent of Europe,trust companies, acceptance and discount houses, where a close relationship between banking and commercial paper houses, finance companies, industry has existed for a number of years andindustrial loan companies and credit unions. Of where corporations are spoken of as belongingthese, commercial banks and trust companies to the sphere of this or that bank, but also in aare the most important and represent by far the steadily increasing degree to the United States. largest part of the banking resources of a country. It may be safely stated that the power of finan-Through the development of the trust function, cial institutions at present rivals that of sover-which is exercised in many countries by both eign states; in fact the former have at timescommercial banks and trust companies, these dictated the financial policies of the latter. It isinstitutions have brought immense wealth under not uncommon for bankers before making a loan their control; their influence is much greater to a government to insist that certain fiscal meas-than their balance sheets would indicate. Ac- ures be adopted or that a foreign receiver ofceptance, discount and commercial paper houses revenue be appointed with powers wider than are merely auxiliaries to commercial banks and those of the government. The financial historyconcern themselves almost exclusively with open of the Central American countries and of post-market transactions, such as the acceptance of war Europe is replete with such examples. the drafts and the buying and selling of accept- Modern financial organization is generally di-ances and commercial paper. These specialized vided into commercial and investment banking.functions are also carried out by the large com- This division, however, is to a large extent arbi-mercial banks through their various depart- trary because both types of banking are closely ments. As opposed to these three classes of finan- related and greatly overlap. The distinctionscial institutions which finance the producer and between the two systems lie mainly in the length distributor of commodities engaged in domestic of time and the purpose for which funds areor foreign trade, finance companies, industrial made available and in the method of operation.loan companies and credit unions operate pri- Commercial banking is concerned primarily with marily as financial agencies for the consumer or receiving deposits and with granting short termsmall scale business. loans- through discounting for their customers On the continent of Europe the same institu- and lending to them or through purchasing ac-tion ordinarily engages in both investment and ceptances and commercial paper in the opencommercial banking, but in the English speaking market -to finance goods in process of manu-countries the two types of financial activity are facture and in the various stages of distribution.nominally carried on by separate agencies. In In general the functions of commercial bankingthe United States, however, the functional dis- are to meet the seasonal credit needs of industry,tinction is gradually disappearing; commercial trade and agriculture and to provide a mecha-banks are establishing security affiliates and bond nism for facilitating national as well as interna-departments, and large investment houses are tional payments. Another function, the legiti-gaining control over commercial banks. Invest- macy of which is questioned by the more ortho-ment banking comprises the following institu- dox opinion, is the financing of the stock markettions: private investment houses, investment se- through granting of security loans to brokerscurity affiliates of commercial banks, mortgage and individuals. Investment banks, on the other banks, savings banks, investment trusts and the hand, have as their main function the furnish- institutions centering around the stock exchange, ing of long term capital for investment in fixed such as stock brokerage houses. Of these the assets such as plant and equipment or to serveprivate investment houses and the security affili- as permanent working capital. They also floatates are the most important because they take a long term obligations of governments and theirleading part in floating a majority of the capital political subdivisions. While commercial banksissues of the country. If their policies are prop- 244 Encyclopaedia of the Social Sciences erly coordinated they are able to exert a consid-United States, trading on the exchange is closely erable influence on the flow of capital into theregulated and the number of traders is limited. various channels. The savings banks must beAlthough stock exchanges have often been ac- classified as belonging to the investment bankingcused of fostering speculation they perform an group, for they invest their deposits in bonds orimportant function in modern financial organi- real estate mortgages, thereby directly or indi-zation as the principal media for the trading of rectly furnishing long term capital to industry,securities and the greatest factor in their mar- agriculture and political units. Yet unlike the ketability. investment house and the security affiliate, which The money market plays a most important act merely as middlemen between the borrowerrole hi the modern financial organization of so- and the investor without guaranteeing the pay-ciety. It functions as the equilibrator of the ment of principal and interest, the savings bankentire system, for it is the central meeting place stands in a debtor and creditor relationship toof the demand and the supply of short term its depositors. The mortgage bank although itfunds. On it the financial institutions dispose of represents the oldest form of investment bankingtheir liquid funds or increase their cash reserves is still further removed from the pure invest- through the calling of loans, the selling of bills ment banking type. Having for its purpose eitherand short term government notes or, as is the the financing of the long term needs of agricul-case in central Europe, by obtaining day to day ture or the furnishing of loans secured by urbanloans. The rates of interest on the open market real estate, it lends money to individuals onmove in harmony and have a decided influence mortgages and on the basis of these issues itson the rates charged to individual borrowers. own bonds, thus providingthe link throughThe large money markets, notably New York which the mortgage credit of the individual isand London, attract the surplus funds of the tied up with the capital market. Most countriesworld because of the ease with which they can have established agricultural mortgage banksemploy large volumes of short term funds and which operate under special charters, very oftenbecause of the high financial standing of their with government funds or with governmentbanking institutions. Balances kept in these cen- guaranty of their obligations. ters and bills of exchange drawn on their large The division of financial institutions into corn -financial institutions represent a substantial part mercial and investment banking has led to theof the reserves of a number of countries on the development of two separate markets, the shortgold and gold- exchange standards. The fact that term money market and the long termcapitalLondon and New York are the bankers of the market, although here too the distinction is moreworld places an added responsibility upon the theoretical than practical. The capital market is agencies operating in these markets, particularly the central meeting place of the demand andupon the respective central banks; their poli- supply of long term capital. It embraces thecies exercise an international influence. For this activities of the various types of buyers and sell-reason they are also more susceptible to world ers of securities and effectsthe distribution ofconditions; London in particular, which has al- shares and bonds. The function of the capitalways operated on a narrow gold margin, is market is to assist in the transformation of fixedexposed to grave dangers whenever a withdrawal assets which cannot as a rule be readily ap-of foreign funds takes place on a large scale. praised nor easily marketed into securities which The money market is divided into a number are not only easily appraised but canbe con-of individual markets, the most important of verted into cash practically at a moment's notice. which are the call money market, the acceptance The capital market may be divided into twomarket, the commercial paper market, the mar- separate parts: the original distribution market,ket for short term government notes and bills which embraces the issuance and distribution ofand the foreign exchange market. Yet the mech- new securities, and the secondarydistributionanism and structure of money markets display market, which deals with the buying and sellingconsiderable differences, since each is an out- of securities already issued and outstanding. Thegrowth of the industrial and commercial devel- latter market is largely represented by the variousopment of the economic unit which it serves. In stock exchanges. Whether the exchange func-New York, for example, due to the preponderant tions under strict supervision by the govern-.influence of the stock market and the daily set- ment, as in France, or is organized as a more ortlement of securities the call money market is by less independent private association, as in thefar the most important; in London, which for Financial Organization 245 over a century has financed the world's interna- The great power wielded by the central banks tional trade, the acceptance market leads; whileand the strong influence exercised by them in Amsterdam the one -month loan prolongatienot only over the money market but also over is most important. For this reason most of thethe entire economic life of the country have in- liquid funds in London flow into the acceptance duced most countries to regulate closely their market, while in New York they are in normalactivities and in many instances to direct their times absorbed by the call market. Aside frommanagement. Whether the central bank is owned the fact that this is partly responsible for theby the government, by member banks or by different relationship between the banks and theprivate stockholders, the governments have in central banks, it has also an important economicpractically all cases, with the notable exception bearing. In New York a large inflow of goldof England, the right to appoint the governor from abroad and easy money conditions lead in of the bank and exercise control over its man- the long run to an increased absorption of fundsagement. Even in England, although officially no for security transactions, while in London theyconnection exists between the Treasury and the lead to a lowering of the bill rate, which in turnBank of England, it is well known that they co- makes cheaper the financing of internationaloperate very closely in all matters affecting the trade. financial policy of Great Britain. The activities of the various financial institu- The regulative power of the government is not tions on the money market as well as of therestricted to central banks but in a number of market itself are considerably influenced by thecountries extends also to the commercial banks. central banks. Despite differences in origin, his- Control is exercised through special bank laws torical development and legal framework centralregulating the chartering, organization and oper- banks perform today more or less the same func- ation of banks and through government bureaus tions in every country. They are the custodianswhose duty it is to examine the banks as to their of the metallic reserve, they have in most coun-solvency and their possible infringement upon tries the sole privilege of issuing notes, they arethe bank laws. Although direct government reg- the fiscal agents of the government and it is theirulation concerns itself only with technical aspects duty to regulate the volume of currency andof banking, in post -war years central banks have credit. If before the World War the policies ofendeavored to influence also the distribution and central banks were conditioned chiefly by theuse of bank credit. stability of foreign exchange rates, in post -war European countries have for a long time been years they have been determined to an increas-reluctant to establish government supervision ing degree by the movement of prices of com-over banks and in some countries the latter still modities and of securities as an indication of theoperate as ordinary corporations. But the bank- state of industry and trade. While it is still aing difficulties which set in after the war, the debated question to what extent central banklarge number of bank failures with disastrous policy is able to influence business conditions,results to the entire national economy and the it is generally conceded that the central bank isgrowing realization of the tremendous influence an important factor in the money market andexercised by financial institutions have con- that through its discount and open market policy vinced many governments that banks are more and through credit rationing it can exercise athan ordinary corporations and that government powerful influence on the cost of money whichsupervision is essential. The Scandinavian coun- in the long run does not fail to affect business.tries and Japan offer noteworthy examples of Central banks, particularly in the post -war pe-banking crises resulting in bank laws and rigid riod, have been looked upon as the nerve centergovernment regulations. The banking crisis in and regulator of the credit structure of the vari-Germany during the summer of 1931 has not ous countries; and, in fact, their policies haveonly strengthened the tendency to supervise the exercised great influence over business condi-operation of banks but has resulted in the addi- tions and at times have had tremendous socialtion of two of the largest financial institutions of consequences. The currency and credit inflationthe country to the list of banks under direct or pursued by most continental European countries indirect government control. At the same time in 1919 -24 with the resulting pauperization ofthe growing concentration of private control over the middle class in these countries forms one ofbanking through mergers, the organization of the most striking examples of the effects of achain and group banks and similar devices, both faulty central bank policy. in Europe where branch banking has reached a 246 Encyclopaedia of the Social Sciences high degree of development and in the Unitedplanned in the same manner as the output of States where nation wide branch banking is pro-industry or foreign trade. hibited, has given an added impetus to the Capital is international in character and flows movement for strict government supervision.Into centers where it can bring thehighest return, fact proposals for the nationalization of bankingprovided the risk involved is not too great. Fi- have received serious attention in many quarters. nancial institutions, the channels through which In contrast with commercial banking invest-capital and credit flow, have therefore for many ment banking in almost all countriesis carrieddecades been internationally oriented. This on without any governmentsupervision. Al-was accomplished throughthe establishment of though the listing requirements of the stock ex-branches and overseas banks in foreign coun- changes, blue sky laws and similar enactments tries, the creation of affiliates or the maintenance have endeavored to impose some control overof special representatives and correspondence re- the issue of securities and have removed somelationships. Irrespective of the motive for which of the abuses, neither the interests of the investorthese overseas connections were created and nor of society arereally safeguarded. Exceptwhich caused the movement of capital from one during war periods governments have restrictedcountry to another, theinternationalization of themselves to the regulation of the flow of capi- financial organization had wide economic, social the tal from and to other countries. Chieflyfor po-and political effects. It greatly facilitated litical reasons embargoes on foreign loans,theinternational interchange of commodities, it requirement of government permission tolistopened up the natural resources of undeveloped foreign securities on the stock exchanges andthecountries, thereby greatly affecting the social exertion of direct pressure by the governmentand economic habits of large groups of people have been used and are still being usedwithwho had hitherto remained unaffectedby the varied success by lending countries. In post -warblessings of the machine age, and it played an years a number ofborrowing countries have alsoimportant role in the development of the policy endeavored to regulate the inflow of foreign cap-of imperialism. ital either through special boards or byinsisting The close connection between the various that all foreign loans must be sanctionedby theleading financial centers has led to the develop- minister of finance. So far, however, nocapi-ment of the international moneymarket, which talistic government has attempted toregulatelinks these centers together and through which the domestic flow of capital innormal times.a community of interest amongthem has been This lack of interest is surprising in viewof theestablished. The international money market, fact that the influence exercised by theinvest-however, embraces only those countries whose activities of acurrencies are definitely linked up withgold, ment banks over the economic and country is in many respectsmuch greater thanwhich have well organized banking systems bankswhich are not handicapped by anyforeign ex- that of the commercial banks. Investment the regulate the flow of long term capitaland thuschange restrictions. This market is not only determine the channels into which itshall go.seat of settlement of allinternational financial flow Since capital is the prime mover in any enter-transactions but through it is regulated the prise the careful direction of capital intoindus-of funds to centers where the highest return can tries where it is most needed and thecessationbe secured. Thus the international money mar-. funds of the flow of capital to industrieswhich areket levels out the volume of short term overbuilt would be one of the mosteffectiveavailable in the various financial centers,brings about an equalization of interest rates andis an means of eliminatingbusiness cycles. Further- determine to a con-effective agent in maintaining the stabilityof the more, investment bankers economic and siderable extent the type and qualityof securityvarious exchanges. Under stable in which investors place their savings,for mostpolitical conditions the international money mar- however, private investors are unable to judgesecurityket has worked well. In post -war years, political situ- values accurately and rely on the adviceof in-due to the abnormal economic and of vestment bankers or securitydealers. In anyation and to the measures adopted by some however little de-the leading central banks, notablythe Federal system of planned economy, offset veloped, the regulation of the flow of long term Reserve system and the Bank of France, to capital would be undertaken as one ofthe firstthe inflow of gold, the international money mar- of leveling steps. In Soviet Russia, for example,the distri-ket has lost to a large extent its power bution of long term capital is regulatedandout interest rates and ofregulating the interna- Financial Organization - FinancialStatements 247 tional flow of funds and gold. Because of thisFINANCIAL STATEMENTS by business sheets and profit and and the great problems confronting theinter-concerns include balance national money market, such as reparations, warloss statements. Balance sheets or property debts, maldistribution of gold and thelike, statements are the accountingreflections of efforts were made to establish a concrete con-conditions found to exist in the dollar facts of nection among the various centralbanks; thisbusiness operation. They consist of a listing of values owned or owed by the subject, totaledby was effected throughthe creation of the Bank for International Settlements in igzq.While therelated groups. The owned values or assets con- greatly limitedsist in general of cash; notes or accountsreceiv- powers of this institution are semifinished since it cannot operate in any moneymarketable; merchandise in either a raw, a correspondingor a finished state;investments reflecting the without the prior consent of the buildings, central bank, it has proved to be ofreal assistance ownership of securities; real estate, machinery and fixtures; and prepaid expense to weaker centralbanks when the stability of items for which the subject will receiveservices their currencies was endangered. liabilities con- Although the term internationalcapital mar-and the like. 'The owed values or in fact closelysist primarily of notes or accountspayable; ket is often used, its operations are due in the pay- interwoven with those of the international moneyamounts due or estimated to be that may have market. The term internationalcapital market,ment of taxes; claims for moneys certain individualbeen deposited with the subject;debts for however, is justly applied to due New York, becausemachinery, real estate and buildings not centers such as London and liabilities through them a large part of thelong term capi-immediately. The excess of assets over Transactionsis the net worth or owned capital ofthe subject. tal needs of the world is met. this caption usually carried out on this market arethe flota-The net worth may be listed under or it may be made upof capital, surplus and un- tion of loans throughinternational syndicates the listed on various ex-divided profits. Another item may appear on and arbitrage on securities liability side of the statement, usuallybetween changes. While the economicand political im- the subtotal of the outside liabilitiesand the net portance of foreign loanshas led to government worth, under the caption of "reserves."To be supervision and control in somecountries, noth- provide a machinerytrue reserves such itemsshould represent sums ing has so far been done to take care of declines for the regulation of theinternational flow ofset aside from net worth to capital. This is left entirely tothe initiative ofin value of any asset items. investment houses. While it has Although frequently considered as a separate a few large and distinct report the profit and lossstatement worked out more or less satisfactorily,there have is closely connected with the propertystatement. grown out of it anumber of defects and mal- this often creation ofThe two should not be separated as practises, such as overborrowing, Management overexpansion ofdestroys the value of one or both. uneconomic public works and scanning the record of its pastperformance to certain industries, which affectadversely not detect errors in policy or execution orthe banker only the investors but also theborrowing coun- him- international flow ofanalyzing financial statements to protect tries. Furthermore, the self against an overextension ofcredit and to capital usually breaks down almostcompletely secure a basis ofadvice to the customer with a at the time when itis most needed. At present his business afoot to estab-view to insuring the soundness of there is therefore a movement series of League of Nationsshould combine the comparison of a lish under the auspices of the balance sheet items, reflecting thecondition at an institutionsimilar to the Bank for Interna- periods, with which would bethe end of a number of successive tional Settlements, the duty of and loss statements for the supplement the internationala study of the profit to coordinate and same periods. Whilethe property statements flow of long term capital. show changes in assets, liabilities and networth MARCUS NADLER items, the profit and loss statementsindicating DEBT; See: ORGANIZATION,ECONOMIC; CREDIT; the various FINANCE; MER- the gross and net profit yields of MONEY; PUBLIC DEBT; CORPORATION lines of business carried on by thesubject ex- CANTILE CREDIT; LOANS,PERSONAL; BANKING, COM- MERCIAL; CENTRAL BANKING;MONEY MARKET; IN- plain how and why these changes occurred. VESTMENT BANKING;INVESTMENT TRUSTS; STOCK The practise of submitting financial state- EXCHANGES; LAND MORTGAGE CREDIT;AGRICULTURAL ments to the bank together withapplication for a CREDIT; CREDIT COOPERATION; SAVINGSBANKS; SMALL loan became established long before statement LOANS. 248 Encyclopaedia of the Social Sciences analysis, as it is now understood, became prev-portion. The first such proportion to be adopted alent. The early statements were frequentlywas the current ratio, derived by dividing the fragmentary memoranda lacking a great deal incurrent assets by the current liabilities. It may accuracy and suggestive rather than convincing.well be said that this acknowledgment marked They were read by loan officers and filed, per-an epoch in analysis. But current ratio rating haps with a penciled memorandum or twoonfor credit strength brought upon its worshipers their container. a host of dangers. One such danger was that a ra- The system of formal and recorded analysis oftio of two to one was accepted as indicating satis- statements took form in the decade betweenfactory strength and no allowance was made for 1895 and 1905. It was of slow growth and ofeconomic or trade variation. A second and great unevenness -here a record kept, there agreater danger lay in the tacit reliance on this mental reservation made. As business began to be one proportion, which could easily be window nationalized and the contact between borrowerdressed; there was no general appreciation that and bank became less closely personal, a needother proportions or ratios might have almost as developed for something more detailed andgreat indicative values. The significance of these permanent in analysis. This led to the columnarother proportions has received tardy and as yet comparison sheet on which the banker tran-incomplete recognition, too many analysts treat- scribed the memoranda of the statement under aing them as general impressions rather than as more formal and regular nomenclature. The usefacts susceptible of recording and comparison. of such comparison forms has been continued, "Top heavy with debt" is an example of such although a great variety of styles has developed.an unrecordable stigma against credit strength. Their chief advantage is that within any singleWhen the net worth is too small in its relation bank they standardize comparison; their disad-to debt, then the top heavy condition prevails. vantage is that they may overemphasize mereA ratio developed between net worth and debt, size and minimize the importance of proportion. by dividing the first by the second, will produce Shortly after the adoption of the comparisona recordable figure. This will move up or down form a growing appreciation of the importanceas the capital structure condition improves or of proportion in or between statement items be-weakens. A reading of these movements elim- came evident. Analysts began to speak ofinates the misplaced confidence arising from an "quick" and "current" assets and liabilities, apparently small dollar figure for debt or the ap- funded or mortgage debts, fixed assets and theprehension caused by an apparently large figure like. These phrases cover detailed segregation of for debt. This ratio expresses capital structure assets or liabilities massed in totals for compari-strength in figures that can be compared year by son. A confusion still remains in the use of theyear or as between two similar companies or as two terms quick and current as applied tobetween any company and the average for the assets. Frequently they are used as meaning thetrade. It substitutes accuracy for impression and same thing and again as having distinctly differ-its use strengthens analysis. ent meanings. Quick assets are such values as Analysts used to rely on their intuitive belief may be turned into cash by immediate sale. It isin the merchandising capacity, tinged by sales obvious that in many instances an item may bevolume only. Now sales volume as such may be both quick and current. A current asset is sucha poor index of strength or weakness in merchan- an asset as will change into cash in the ordinarydising capacity. There is a definite connection course of business. For example, raw materialbetween sales and inventories, because merchan- becomes merchandise inprocess or partlydise is purchased or fabricated so that it may fabricated, then finished goods and later receiv-be sold. The merchant who can achieve sales of ables; as these are collected they become cash$600 for each unit of $too of inventory is a with which current indebtedness may be paid.better merchant than one who can develop only At first analysts were content to compare the$400 of sales on the same inventory, for he is dollar amounts of current assets and liabilities,able to balance his inventory more closely to establish the fact of an asset margin and gaugecurrent demand. A ratio as between sales and in- the safety factor by this margin. But it was soonventory reduced to a recordable percentage discovered that the relation rather than thefigure is much superior as a measure of mer- difference between current assets and liabilitieschandising to general impressions based on sub- was the significant factor. From this pointjective judgments. analysis acknowledged the importance of pro- The figures for fixed assets, which generally Financial Statements - Fines 249 Analysis of Financial Statements (New York x928); represent manufacturing anddistributive equip- in significant Bliss, James H., Financial and Operating Ratios ment, form a component part of two Management (New York 1923). ratios. By and large such equipment mustbe in- paid for in funds representing the owners' paid to vestment in the business. In some caseslong FINES. The fine is a pecuniary penalty time borrowed capital, or funded debt, is thea public authority for theviolation of a criminal designated a source of purchase moneyfor such assets; butlaw. In Roman law the term multa public fine. In modern French law it iscalled this is sound only when resale value remains at Geldstrafe. all times sufficient to repay such loans.There-amende and in modern German law andThe fine is usually distinguished fromthe pen- fore, the proportion between net worth for the fixed assets is a recordable and comparablefact, alty which is collectible by civil action invest-benefit of a private party or byadministrative measuring the reasonableness of fixed also from in fixed assetsorder for the benefit of the state, and ment. Similarly any investment the productivity onthe primitive composition which went to must be justified by a reasonable modern fine is fixedinjured party or his kin. The sales. The proportion between sales and fine, figure by which thisbelieved to have developed from the court assets provides a definite of composition, productivity can be measured and comparedor peace money, of the system but it is not always clear that such sums were year by year or forseveral companies. public peace. The absolute figure for sales, or thevolume ofpaid because of the breach of the beThe fine did not so much developfrom the wite business, is a measure of activity which may the earliest public fines worth while to the subject or simply an over -as replace it. Among whenwere the fines ofjudicial procedure so common trading fever. It becomes more significant law. Because sales in mediaeval French and English related to profits. The ratio of net profits to modern fining effectiveness ofof its importance as revenue the is an illuminating measure of the with the expansion of sales. If this ratio is too low whilevolume issystem everywhere grew royal power. It was in effect arelaxation of the high, then a company is doingbusiness simply of sales to net system of total confiscation.The king must have for the joy of doing it. The ratio himself for the loss in worth is a related measure of theeffectiveness more than compensated used. Thethe forfeitures by the frequencyof the fines; the with which owned capital is being former, moreover, often went not tohim but to effectiveness of sales is reflected to someextent the lords; the subject preferredthe lesser of two also in the figure for receivables,because it sediment of evils. represents the still uncollected which replaced is not as signifi- The early English amercement sales. But the amount in dollars Confessor illus- sales to this item. If this the forfeitures of Edward the cant as is the relation of trates this evolution. It came tobe imposed for ratio is too small, then poorcollecting or too many minor offenseswhich caused the property great liberality in sales terms areindicated. offender to fall into No set figure for any of theseratios can be abut not the liberty of an each type ofmercy. In mediaevalEngland amercements were safe standard of strength, because for missteps or de- trading, fabricat- levied frequently, especially business is subject to different of the practise ing, marketing and economicstrains. These faults of procedure. The severity was mitigated bythe fact that the amercement trade strains tend to producediffering relations ratio. Yet it haswas enforceableby distress only. Moreover, the in the component factors of any by a jury of the large group ofamercement had to be assessed been found possible to study a offender's neighbors, a privilegewhich was pre- statements within singletrades and to evolve the result that the offer a gen- served by Magna Carta, with ratios that are sufficiently typical to king began to evade its provisionsby resorting eral criterion by which to estimatethe relative This is differentto fines. soundness of a single company. interesting history analysis only in The very term fine has an from the process of ordinary in the common law. In casesless than felony that it uses as the standard ofcomparison a set of and un-an offender wasliable to imprisonment until he trade averages rather than the vague "made fine," or ended hisimprisonment by formulated notions of the analyst. by any jury but by ALEXANDER WALL paying an amount fixed not the judges. As Fox, who haddelved thoroughly See: ACCOUNTING; AUDITING;CREDIT; MERCANTILE form of the judg- MANAGEMENT. into the subject, put it, "the CREDIT; CORPORATION FINANCE; ment was not that theoffender be imprisoned, Consult: Wall, Alexander, and Duning,R. W., Ratio 25o Encyclopaedia of the SocialSciences simply, nor that he be fined butthat he beuse of distress as a preliminary to imprisonment imprisoned for his fine... capiatur pro fine,"is now provided in most codes. or again, "It is not the Court that fines, but the The assessment of the amount of fines offender." The active verb within to fine dates fromgeneral maximums and minimums forspecific the sixteenth century. Thepower both to fineoffenses as well as for various classes of offenses, and imprison is now wrongly assumed to havewith discretion in the judges within thelimits existed at common law incases of misdemeanors.imposed, became another very marked feature The confusion arose because of theinfluence ofof the fining system. One of the first continental the practise with respect to statutory fines,be-provisions of this characterwas contained in the cause the Star Chamber imposed fine and im-Prussian Allgemeines Landrecht of1794. The prisonment, a practise which laterwas takenprovisions of maximums and minimums bespeak over by the King's Bench, and finally becausethe general background of arbitrariness in the the distinction between fines andamercementsassessment of public fines, which, unlike the had fallen into obscurity. fixed tariffs of the system of composition, tended The modern fining system, while it revealsto be too large. Limitations upon the length of some historical vestiges, has everywhere been ofimprisonment in case of non -payment didnot statutory formation. It took shape in the crimi- in themselves affect the severity of the fine. nal codes and legislation of the era of Enlighten-Provisions that the fine itself should bereason- ment. The ancient and mediaeval alternativesable, i.e. proportioned to fault, hadnever been to the non -payment of a fine or a compositionvery effective. The provision of the English Bill had usually been such harshones as slavery, lossof Rights against unreasonable fines has been of civil rights, banishmentor corporal punish-copied in the American federal constitution and ments. The predominant characteristic of thevery widely in the American state constitutions, modern fining system became the commutationbut in view of the all but universalstatutory of unpaid fines into substituted terms of impris- maximums and minimums these provisionsmay onment of definite duration, calculated under a be regarded as largely anachronistic. Curiously, schedule establishing a ratio of days to themon-in some codes minimums without maximums etary value of the fine. Indeed, the developmentare sometimes found. of the public fine coincided generally with the The acceptance of the penalty of imprison- gradual introduction of imprisonment asa pen-ment first relegated the fine to a comparatively alty in contradistinction to its earlieruse as aminor role as a punishment for slight misde- means of preventive or subsidiary detention.meanors and police offenses. In ancient and While after the thirteenth century the firstgen-mediaeval times pecuniary penalties often had eral use of imprisonment to compel the payment to be discharged in highly valuable domestic of pecuniary penalties was generally indefiniteanimals or agricultural goods; a moneyeconomy imprisonment, it was provided in some earlynow made it particularly easy to measure and laws of the Netherlands that a part of the penaltysecure the fair price of an offense, but for that should be canceled by each day's imprisonment.very reason it must have been felt that the de- Short terms of definite duration first appear interrent value of such a punishment as the fine the Germanic countries in some north Germanwas bound to be small. Toward the latter half town laws of the fourteenth century, as in Lü-of the nineteenth century, however, the fine beck and I- lamburg. The famous andvery influ-slowly gained in importance as a penal method. ential penal code of the empire, the Carolina,It came to be increasingly prescribed not only which still allowed half of a thief's penalty toin serious misdemeanors but even in major go to the injured party, nevertheless limited thecrimes as a supplementary penalty. Such crimi- duration of imprisonment if penalties were notnologists as Garofalo, Liszt, Wach, Rosenfeld, paid, for it was provided that imprisonmentWahlberg, Schmölder and others argued for its should last only etliche zeit lange. In at leastextension. There has generally been a great deal one modern code, the French Code pénal, ismore preoccupation with the problem of the fine contained a compromise with the older law inin continental countries than in England and the institution of the contrainte par corps. Thethe United States because judges in the former substituted imprisonment is limited to a definitehave not had very great discretion in imposing term but it does not constitute a discharge ofsentence. Among continental countries legisla- the fine, which may be subsequently collectedtion since the World War has been most abun- from the offender if he comes into means. Thedant in Germany, which from 1921 to1924 Fines 251 accomplished important reforms in its finingof its most acute dilemmas. It hasa tendency system in accordance with the democratic spirit to lead to repetitions of criminal activity arising of the post -war German constitution. from efforts to balance the loss represented by The growing favor of the fine in recent dec-the fine, a tendency most marked in crimes ades may be ascribed largely to the realizationagainst morality, such as prostitution. In habit- of the great evils of short term imprisonment,ual crimes such as drunkenness the fine is also which often results in converting casual offend-ineffective as a deterrent. Despite the fact that ers into confirmed criminals. Apart from thethe fine is not much of a deterrent in thecase effect of prison conditions, the withdrawal of aof purely technical offenses such as traffic vio- worker from his livelihood frequently proveslations,itis not objectionable sinceit thus disastrous to him and his family under the com- amounts to hardly more than a privilege tax. petitive pressure of modern industrial organi-The fine in the nature of things can be the only zation. The social stigma that usually attachespossible penalty in countries where the criminal to even a day's imprisonment also has its evilcapacity of artificial persons is recognized, as effect. The problem of avoiding short term im-in England and the United States. In the latter prisonment has received especially great atten-country at least one sensational fine of $29,- tion in Germany, despite the fact that fines240,000 was imposed, on the Standard Oil Corn - already were imposed in about fifty percent ofpany of Indiana under the Elkins Act in 1907, all cases under the Reichsstrafgesetzbuch andalthough the decision was later reversed. supplementary criminal laws. The law of De- The fine as a mode of restitution for those cember 21, 1921, limiting short term imprison-injured by crime has been urged by the Italian ments had the effect of almost cutting them inpositivists, especially Garofalo. They argue in half in the same class of cases. effect for a reversion to some of the elements of The problem of short term imprisonment,the system of composition. Two fines are to be however, cannot be completely solved by theimposed, particularly in crimes of cupidity: one fine. Since imprisonment is the ordinary sub-to go into the state's treasury and the other to stitute for the unpaid fine, short term imprison-the victim of the crime, the defaulting offender ment may again result -a dilemma that worksto be kept in prison until he has discharged his especially to the detriment of poor offenders. indebtedness through his labor. While the civil To avoid it some of the German codes of theremedy of damages is often a failure even in era of Enlightenment provided curiously thatthe continental countries, which already permit the poor were not to be fined at all. In somethe injured party to demand reparation in the countries, such as Italy, Norway and Mexico,criminal prosecution, the positivist proposal the expedient has been tried of allowing finesseems extreme. The discretionary power to to be earned by labor on public works, and aorder restitution as a condition of probation few American states in the south have even hadshould suffice. A supplementary proposal of the laws providing that an offender might be putpositivists to concentrate all fines in a special to work for a surety who would pay his fine, astate fund for the compensation of the victims practise that resulted in the involuntary servi-of crime seems much more feasible. tude of many Negroes but has been declared At present practise with regard to the dispo- unconstitutional by the United States Supremesition of fines varies considerably. In their early Court. The prevailing remedy in recent times history, where they did not go to the crown they has been to permit the payment of fines inwent most frequently to the court as fructus instalments. In England and the United Statesjurisdictionis. They now generally inure to the it is a common provision under the system ofbenefit of the central government or one of its probation, and it is also permitted in many Eu-subdivisions. In Germany fines ordinarily go ropean countries. into the national or state treasury depending The objection to the payment of fines uponupon whether national or state courts impose the instalment plan lies in its tendency to under-them in the first instance. In France fines go mine the deterrent value of the fine, which isinto the national treasury in case of crimes, are never very great. While, however, fines certainlydivided in the case of délits between the national are not deterrent to the rich, the mere fact thattreasury, which gets twenty percent of the fine, they are pecuniary penalties must make themand the department treasury, which gets eighty very impressive to the poor. Where professionalpercent, and go to the commune in which the criminals are concerned the fine presents oneoffense was committed in the case of contra- 252 Encyclopaedia of the Social Sciences ventions. A French peculiarity is the décime, aBohne, Gotthold, Die Freiheitsstrafe in den italie- nischen Stadtrechten des 12.-16. Jahrhunderts, Leip- tax levied by the central government upon fines, ziger Rechtswissenschaftliche Studien, vols.iv, ix which has been increased since the war. In Eng- (Leipsic 1922 -25); Bamberger, Georg, Geldstrafe statt land fines go into the Consolidated Fund and Gefängnis, Schriften der Deutschen Gesellschaft für form part of the national revenue except in the Soziales Recht, vol. iii (Stuttgart 1917); Deumer, R., case of summary offenses,when they inure to"Die Natur der Geldstrafe und ihre Verwendung the Police Pension Fund. In American statesim heutigen Reichsstrafrecht" in Der Gerichtssaal, vol. lxxv (1910) 276 -368; Rauh, M. F., Die Vermö- fines frequently go to county and city as wellgensstrafen des Reichsstrafrechts und ihre Reform, Straf- as to state governments andalso into specialrechtliche Abhandlungen, vol.clii (Breslau 1912); funds, determined usually by the character ofSeidler, Ernst, "Die Geldstrafe vom volkswirtschaft- the incurred violation; for instance, fines for vio-lichen und sozialpolitischen Gesichtspunkte" in Jahr- lating the game laws may go into the state bücher für Nationalökonomie und Statistik, vol.liv (589o) 245-58; Pitschel, Werner, Die Praxis in der conservation fund. Wahl der Geldstrafe, Kriminalistische Abhandlungen, The fine as a source of revenue has become vol.viii(Leipsic 1929);Beling, Ernst, Deutsches of little importance to modern governments. Reichsstrafprozessrechtmit EinschlussdesStrafge- Fines have rarely exceeded one half of one per- richtsverfassungsrechts, Lehrbücher und Grundrisse cent of the total revenue of the state andfederal der Rechtswissenschaft, vol. xvii (Berlin 1928) §§ 26, 89 -90; Liszt, Franz von, Lehrbuch des deutschen Straf- governments in the United States, wheretheyrechts (25th ed. Berlin 1927) § 13, pt. vii, §§ 63, 67, are certainly imposed atleast as frequently as 68, pts. ii, iii, and extensive bibliography of German in other countries. The percentages generally references in this and the preceding German works; are higher for the city governments,probablyTarde, Gabriel de, La philosophie pénale, Biblio- thèque de criminologie (5th ed. Lyons 1900), tr.from because of the prominence of traffic fines. In- the 4th French ed. by Rapelje Howell (Boston1912) deed, in the smaller municipalities the authori- 59o; Garofalo, Raffaele,Criminologia, Biblioteca An- ties must often be tempted to equip afew moretropologico -Giuridica, 1st ser., vol. ii (2nd ed.Turin motor cycle traffic officers inpreference to rais-1891), tr. by R. W. Millar (Boston 1914) app.A; Ferri, Enrico, Sociologia criminale (3rd ed.Turin ing the tax rate a point or two. 1917) all 1892), tr. by J. I. Kelly and John Lisle (Boston Since the fine is a money penalty, it has at § 331; Chauveau, Adolphe, and Hélie,Faustin, Thé- times been subject to depreciation. Inmediaeval orie du code pénal, ed. by Edmond Villey, 7 vols.(6th times depreciation made the persistingharsh ed. Paris 1887 -1908) vol. i, ch. viii, ch. ix,§ iv; Gar - penalties of the old law relatively mild, so thatraud, René, Précis de droit criminel (14thed. Paris In 1926) p. 383-95, 1092-1101; Fox, J. C.,"Amerce - their express abolition became unnecessary. ment and Fine" in his The Historyof Contempt of modern times, however, with finesgenerallyCourt (Oxford 1927) ch. viii; Harris, S. F.,Principles low, legislation either increasing the amountofand Practice of the Criminal Law (14th ed.London fines or establishing a new basis of paymenthas 1926); Russell, W. O., A Treatise on Crimesand Mis- latter ad- demeanors, ed. by W. F. Craies and L. W.Kershaw, been more commonly necessary. The 1910); Robinson, L. N., after3 vols. (7th ed. London justment became imperative in Germany Penology in the United States (Philadelphia1921) p. the World War. 269 -77; Best, Harry, Crime and theCriminal Law in WILLIAM SEAGLE the United States (New York 193o) ch.xxxix; Potter, Zenas L., "The Correctional System ofSpringfield, See: IMPRISONMENT; PUNISHMENT;CRIMINAL LAW; York MOTOR Illinois" in Springfield Survey, vol. vi (New CRIMINOLOGY; PROBATION; CONFISCATION; 1915); Hale, R. W., "The Twenty -NineMillion VEHICLE TRANSPORTATION; REVENUES, PUBLIC. Dollar Fine" in United States Law Review,vol. xli Consult: Hobhouse, L. T., Wheeler, G. C.,and Gins-. (1907) 904 -14. Tables of fines and finableoffenses berg, M., The Material Culture and SocialInstitutions are to be found in Lehmannfor Roman law, in of the Simpler Peoples, London School ofEconomics Deumer for German law, and in Harrisand Russell and Po- and Political Science, Studies in Economics for English law. liticalScience, Monographs on Sociology, no.iii Ale- (London 1915) p. 85 -119; Dohna -Schlodien, railroad xander, "Die Privatgenugtuung," andGoldschmidt, FINK, ALBERT (1827-97), American J. P., "Die Geldstrafe" in Germany,Reichs- Justiz- manager and publicist.Fink was trained in Ger- amt, Vergleichende Darstellung desdeutschen und aus- many as a civil engineer,emigrated to the United ländischen Strafrechts, 16 vols. (Berlin 1905-09) All - early de- iv, p. States and acquired recognition as an gemeiner Teil, vol.i,p. 225 -68, and vol. As general 398 -411; Adams, Fritz, Diegeschichtliche Entwicklung signer and builder of iron bridges. der subsidiären Freiheitsstrafe,Strafrechtliche Ab-. manager and vicepresident of the Louisville handlungen, vol.clxii(Breslau1912); Lehmann, and Nashville Railroad from 1865 to1875 he Walter,Über dieVermögensstrafendes römischenanalyzed railway costs and rates, laying thebasis Rechts, University of Berlin, KriminalistischesInsti- variable ex- tut, Abhandlungen, no. 3, pt. iv,vol. ii (Berlin 1904); for the classification of fixed and Fines-Finley 253 penditures and demonstrating the competitiveGreece and published numerous studies, which origin of rate discriminations. His annual reports,were later collected and edited by H. F. Tozer one of which was reprinted in pamphlet formas A History of Greece from Its Conquest by the under the title Cost of Railroad Transportation,Romans to the Present Time (7 vols., Oxford Railroad Accounts, and Governmental Regulation 5877). The importance of this work rests on the of Railroads, constituted an early and importantfact that it turned the attention of English contribution to the science of railway economics.scholars toward the hitherto neglected and un- In 1875 Fink aided in organizing the Southern popular study of the history of the Byzantine Railway and Steamship Association and became Empire and of mediaeval Greece. Finlay was its general commissioner. This association ofmore a student of law and economics than of twenty -five competitive railways was one of the history, and his work reveals a greater emphasis first successful pooling organizations in theon social and economic problems in the internal United States. Two years later he was madehistory of the Byzantine Empire. He empha- head of a similar association among the foursized the importance of the imperial laws to trunk line roads centering in New York City,protect the poorer class of land proprietors from formed to end a disastrous rate war. Fink's chiefthe encroachments of their wealthier neighbors; influence on railway affairs was exerted duringthe significance of the middle class, which pro- the twelve years that he served as commissionervided the emperors with money; and the im- of the Trunk Line Association; his methods ofportance of the Byzantine commerce with organization and administration were followedGenoa and Venice. He does, however, over- by pooling and traffic associations throughoutestimate the importance of the reforms of Leo III the country. (717 -41), whom he considers the initiator of a Fink was a strong advocate of voluntary asso- mighty social revolution. ciation of railways as a defense against rate wars A. A. VASILIEV and unnecessary rate discriminations. He hoped Consult:Finlay's autobiography in A History of to secure for railway pooling the legal authori- Greece, vol. i; Freeman, E. A., Historical Essays, Third zation required for its effectiveness and opposedSeries (London 1879) p. 245-73, 350-46; Miller, the legislative control of rate schedules. The William, "The Finlay Papers," "George Finlay as a Journalist," and "The Journals of Finlay and Jarvis" program aroused opposition as tending to in- in English Historical Review, vol. xxxix (1924) 386 -98, crease the arbitrary power of the railways. His 552 -67, and vol. xli (5926) 514 -25, and "The Finlay reports as commissioner and the evidence he Library" in British School at Athens, Annual, vol. gave on numerous occasions before legislative xxvi (5923-24,5924-25) 46-66. committees, much of which circulated widely in pamphlet form, had an important educativeFINLEY, ROBERT (1772- 1817), American effect, while his personal influence was instru- educator and social worker. Finley held a Pres- mental in maintaining the precarious railwaybyterian pastorate at Basking Ridge, New Jersey, "peace" of the eighties and in developing theuntil he became president of the University of technique of railway cooperation. This coopera-Georgia in 1817. In the early part of his career tion was later realized through government reg- he taught school at Charleston, South Carolina, ulation and the formation of a few great systemswhere his observations of slavery made a pro- under centralized financial control. found impression upon him. He never advocated H. L. CAVERLY emancipation, feeling that neither northern nor Consult: Langstroth, C. S., and Stilz, Wilson, Railway southern public opinion would support such a Cooperation (Philadelphia 5899) p. 39 -49; unsigned drastic proposal. He sought some way of reliev- article in Railway Age, vol. xxix (1897) 262 -63. ing the country of the sometimes scorned and sometimes pitied free Negroes and, at the same FINLAY, GEORGE (1799 -1875),Englishtime, of bringing about gradual and peaceful historian. Finlay was a philhellene who was manumission. As a class, the free blacks were not profoundly impressed by the struggle of thewholly free; in the north their poverty caused Greeks for their independence and was con-them to be looked upon as public burdens, and vinced that after obtaining independence thein the south they were feared as a constant Greek kingdom would enter a period of peacefulthreat to the institution of slavery. In his progress. Finlay went to Greece in 1823 andThoughts on the Colonization of Free Blacks lived there for most of the remaining years of his(publishedanonomously, Washington 1816) life. He became absorbed in the history ofFinley proposed the formation of colonies for 254 Encyclopaedia of the Social Sciences free Negroes on the African coast, a plan which tr. by F. Wade -Evans (London 1906); Agonie et mort had been discussed by the Virginia legislature as des races (Paris 1909, new ed. 1913); La philosophie de la longévité (Paris 1900, enlarged ed. 1908), tr. by early as 1777. Finley's efforts, in conjunctionH. Roberts (London 1909); Prolongeons la vie (Paris with those of his brother -in -law, Elias B. Cald- 1919), tr. by F. Rothwell (London 1924); La science well, led to the founding of the American Colo-du bonheur (Paris 1900, new ed. 1913), tr. by M. J. nization Society in Washington in 1816. Safford (New York 1914); Progrès et bonheur, 2 vols. (Paris 1914); Préjugé et problème des sexes (Paris 1912, ABRAM L. HARRIS 8th ed. 1923), tr. by M. J. Safford (New York 1913); Consult: Carey, M., "American Colonization Society" Muselières pour femmes et autres supplices (Paris 1920); in North American Review, vol. xxxv (1832) 118 -65; Union sacrée contre l'alcoolisme (Paris 1916); Sa ma- Brown, Isaac V., Biography of the Reverend Robertjesté l'alcool (Paris 1922); Français et anglais (Paris Finley (Philadelphia 1857); Fox, Early Lee, Then.d., 3rd ed. 1903); Français et anglais devant l'anar- American Colonization Society, 1817 -184o (Baltimore chie européenne (Paris 1904); Civilisés contre allemands 1919). (Paris 1915), of which one chapter was translated as The Anglo- French Nation (London 1916); L'agonie FINOT, JEAN (Jean Finckelhaus) (1856 -1922), et la naissance d'un monde (Paris 1918); Saints, initiés French publicist. Finot was born in Poland. et possédés modernes (Paris 1918), tr. by Evan Marrett After studying at the University of Warsaw he (London 1920); L'atelier des gens heureux (Paris 1922); became a naturalized citizen of France in 1897 La maîtrise de la vie et des hommes (Paris 1923). and changed his name. He was editor of the Cri Consult: Revue mondiale, vol. cxlviii (1922) 129 -59. de Paris and later of a journal known succes- sively as the Revue des revues, the Revue and theFIORE, PASQUALE (1837- 1914), Italian ju- Revue mondiale. His persistent themes were the rist. Fiore was a professor of law at various equality of races and of sexes, Franco- BritishItalian universities from 1863 until his death. solidarity and the quest for happiness. AfterHe served as legal adviser to the Italian govern- 1914 he wrote with evident patrioticsentimentment and as counsel in many important inter- on war policies, war financesand European andnational cases, and he took an active part in the world peace. He was unusually erudite and wroteconstructive work of the Institute of Interna- trenchant and effective criticism of widely ac- tional Law. cepted doctrines, but his optimistic temperament His published works, notably II diritto inter - and emotional intensity led him into frequentnazionale codificato e la sua sanzione giuridica exaggeration and ill- supported generalization. (Turin 189o, 5th ed. 1915; tr. by E. M. Borch- His most influential work was Le prejugé desard as International Law Codified, New York races, which, translated into manylanguages like 1918), embody his ideas for the regeneration of most of his other works, made him popularwiththe international legal order. He was a disciple darker skinned peoples everywhere and withof Wolff in his views on the safeguarding and race egalitarians in Europe andAmerica. In thisprogressive development of international law work he successfully combated many of the fa-through a periodic legislature, a conference of vorite contentions of the Gobineau- Chamber-nations to make the necessary political readjust- lain school of Teutonic racialists and of thements and to interpret ambiguous rules, and a related anthroposociologists. He showed thatcourt of arbitration. He opposed any permanent opinions as to the psychological traits of theconfederation of statesin which the Great great historical races were almostentirely sub- Powers should prevail and any combination, jective and deeply affected by social traditionsuch as Rousseau's Project of Perpetual Peace, and that the social milieu exerts a powerful in-designed to maintain the status quo. Interna- fluence on the mental traits of a race. He exag- tional law, he believed, should not be fixed but gerated the plasticity of human mental andshould change with the times. He maintained physical traits under geographical and culturalthat individuals had certain rights which should influences and even explained the increasing be available to them through judicial and politi- brachycephalization of western Europe on thecal protection in and against any state. These ground that a complex culture enlarges andinternational rights of man would include free- broadens the brain. Believing in the future unitydom of emigration, of entry and of ownership of all mankind he favored the crossing of racesof property in a foreign state. He believed that and argued that the diffusion of culture reduces foreign policy should be controlled by public racial differences. opinion and opposed both secret diplomacy and FRANK H. HANKINS alliances. Many of the ideas which he advocated Works: Le préjugé des races (Paris 1905, and ed. 1906), have since been adopted in formal instruments; Finley-Fire Insurance 255 others command general intellectual support.fire insurance, however, dates from 1752, when Fiore was a realist and a persistent fighterBenjamin Franklin helped to organize the Phila- against the chauvinism and political and eco-delphia Contributionship, a mutual company nomic shortsightedness which have made warwhich is still in existence. Its plan of operation an inherent part of the international system. was similar to that of the AmicableContribu- EDWIN M. BORCHARD tionship of London, known as the Hand -in- Hand, and it had the same house mark of clasped Works: A complete list of Fiore's works will be found in the introduction to the American edition of hishands. The Insurance Company of North Amer- International Law Codified. Other important worksica, the first American stock company, was are: Nuovo diritto internazionale pubblico (Milan 1865; founded in 1794. By the close of the century 4th ed., 3 vols., Turin 1904 -06); Diritto internazionale there were about ten mutuals and four stock privato (Florence 1869; 4th ed., 4 vols., Turin 1902-companies in the United States. 09). The pioneering stage in American fire insur- Consult: Marzano, U. R., Pasquale Fiore (Bari 1923); New Catellani, Enrico, in Rivista di diritto internazionale, ance extended to 1835, when the great vol. ix (1915) 141 -5x; Müller, Joseph, Die Stellung des York fire of that year wiped out twenty -three of Menschen im Völkerrecht nach der Theorie Pascalthe twenty -six New York companies. There was Fiores (Lucerne 1921). little state regulation during this period, and pol- icyholders' security depended principally upon FIRE INSURANCE current premium income and the good faith of AMERICAN. American fire insurance grew alongthe men behind the companies. In smaller com- lines first developed in England. The great firemunities fire losses were generally borne by of 1666 shocked the inhabitants of London into neighbors, who made voluntary contributions to a realization of the folly of notsetting asidethe unfortunate family. reserve funds against such an emergency,and The years from 1835 to the close of the Civil the next year Nicholas Barbon took the first step War, using Oviatt's classification, may be char- toward creating the modern fire insurance in-acterized as the second period in the develop- dustry when he agreed to repair or indemnifyment of fire insurance in America. As early as any building attacked by fire,timber houses to 1837 Massachusetts required the maintenance be charged double the rate for brick. In 168oby insurance companies of an unearned pre- he and several partners founded the Fire Office. mium fund; this policy was followed by the state From 1681 to 1683 the City of London under- of New York in 1853, thus establishing the mod- wrote fire risks at rates lower than thoseaskedest beginnings of state supervision for the pro- by the Fire Office but the courts ended thistection of the public. At the same time the public experiment, deeming it a usurpation of power.distrust resulting from the destruction of the The first so- called mutual fire insurance com-great majority of New York companies by the pany, the Friendly Society,began operations infire of 1835 led to the wholesale creation of 1684; the first mutual fire company to sharemutual companies. Sixty -two mutuals had re- profits as well as losses was founded in 1696.ported to the New York comptroller by 1853; The insurance of personal property was firstmost of them later failed. The short lived pro- undertaken by the Sun Fire Office, organizedhibition of foreign corporations was lifted as a for this purpose in 1706. When in 172o theresult of the fire of 1835. The period is also Bubble Act chartered the Royal Exchange In-noteworthy because of the development of the surance Company and theLondon Assuranceagency system, which enabledcompanies to Company, accepting the £300,000 which eachspread beyond their immediate localities and offered the crown for the privilege of conductingthus obtain the benefit of a broader distribution a joint stock insurancebusiness, the organizationof risks. of the British fire insurance industry became The third period beginning with the close of substantially what it is today. the Civil War has been described as the period As the American colonists accumulated wealth of cooperations. Cooperation was essential be- in the new world they too felt the need for pro-cause competition had made ratesdangerously tection against loss from fire. There are recordslow and conditions were chaotic. In 1866 the that a "Friendly Society for a Mutual Insuring companies of the country organized the National of their Houses against Fire" was founded inBoard of Fire Underwriters, which for the first Charleston, South Carolina, as early as 1736.ten years exerted a stabilizing influence on rates The effective beginning of organized Americanand on commissions. Mill and factory mutuals, 256 Encyclopaedia of the Social Sciences organized primarily on the basis of firepreven-insurance business require some elaboration. tion work as distinguished from indemnity,Consideration might first be given to the nature stimulated the stock companies towardcoopera-of the insurance contract. No person may sign tive action in the reduction of the nation's firea fire insurance contract who does not have an waste. When the National Board's cessation ofinsurable interest which justifies the insurance. its rate making activities led to renewed demor-The courts have interpreted this pecuniary in- alization, local associations undertook this func-terest broadly, to include every reasonable rela- tion. Still later cooperative organizationsweretion or liability with respect to property. Al- formed for inspection and for the adjustment ofthough the laws of the states vary, there is losses. In many states these early cooperativegeneral agreement that an insurable interest ex- efforts were at first strenuously opposed andists in the case of custodians of property (ware- limited by anticompact and antitrust legislation.house and commission men, common carriers, But in recent years, particularly within the lastassignees in bankruptcy, agents, administrators decade, the advantage to the public of coopera-of estates, etc.), possessors of contractual rights tive action by the fire insurance business for(consignees, patentees, contractors paid on com- legitimate purposes has been recognized morepletion of work, etc.) and creditors and pledgees and more clearly by legislative bodies. of all kinds as well as actual owners of property. Since 1868, when the United States Supreme Although relating to the property insured the Court rendered its decision in Paul v. Virginia,fire insurance contract is a personal contract the several states and territories have assumedinsuring the owner of the property or the pos- full supervisory powers over all alien, foreignsessor of an insurable interest therein. The char- and domestic concerns transacting insuranceacter of the owner is quite as vital a factor for within their borders. The comprehensive Newthe insurer to know when assuming the risk as York insurance law is the most important, sinceis the character of the property. Policy contracts almost all companies transact business in thattherefore may not be transferred automatically state. Few business enterprises are regulated sobetween owners following an exchange of own- thoroughly by statute as are all forms of theership of the properties insured. Instead, the insurance business. In fact, the legislation is soconsent of the insurer is necessary to a change voluminous in most leading states as to requirein the title of ownership or the original contract publication in a separate insurance code. Brieflyis invalidated. summarized, these statutes regulate the follow- The contract is one of indemnity. It insures ing practises: incorporation, organization andonly, as the standard fire insurance policy of operation of companies; investment of capital,New York specifies, "to the extent of the actual surplus and other funds; classes of insurancevalue ... of the property at the time of the loss which the companies may write and the financialor damage ... against all direct loss and damage requirements governing each class; taxation ofby fire ... to an amount not exceeding $... ." underwriters and the procedure of enforcing theIt is therefore expressly declared that the face same; reinsurance; licensing and regulation ofof the policy shall not be the measure of the agents and brokers; types of policy provisionsindemnity obtainable in the event of a total loss. and the enforcement of standard policy provi-Instead, only the actual loss suffered is paid; sions; prohibition of misrepresentation, fraudthe insured is not entitled to profit from a fire and other unfair practises; and the impositionat the expense of the insurer. Moreover, under of penalties for the causing of fires. Enforcementthe legal "doctrine of proximate cause" the fire of the statutes is entrusted in nearly all cases to insurer is liable only, unless otherwise expressed the insurance commissioner of the state, who isin the contract, for loss which is directly caused usually appointed by the governor. He is em-by fire. powered to revoke or suspend any company's Many states have adopted so- called "valued license because of failure to comply with anypolicy laws" designed to provide for the pay- law or because assets appear to him insufficient.ment of the full face value of the policy in the All outside companies must have his permissionevent of the total loss of the insured property. to transact business within the state. In manyIn some instances it may be desirable and even states he may revise discriminating or excessivenecessary, especially with respect to articles dif- rates or require companies to belong to ratingficult to value, such as art objects and the like, bureaus, which he supervises. to have an understanding between insured and Certain legal and technical aspects of the fireinsurer as to the amount to be paid in the event Fire Insurance 257 of total loss. In that case the policy is known asproperty involved in the fire. It would be highly a "valued policy." But in general thecompulsoryunjust to those who insure adequately to permit application by law of the valued policy idea inowners to take insurance in small amounts atthe fire insurance is inconsistent with the principlesame rate as is charged for the larger amounts of indemnity. Its introduction was followed byand to receive payment in full for their small increased fire losses. To avoid moral hazard suchlosses. Where it is insisted that all losses be paid a practise presumes that the insurerhas thein full irrespective of the amount of insurance privilege of appraising accurately all risks in ad- carried, the premiums should be increased as vance. But this is impractical becausevalues arethe insurance decreases. This plan is followed constantly fluctuating and detailed appraisals arein certain jurisdictions, especially where laws expensive. Moreover, only a few properties, rel-against coinsurance exist, and is known as the atively speaking, are ever visited by fire. It is graded rate system. therefore much cheaper for the community as a Since fire premiums constitute a material fac- whole to have the owners themselves estimatetor in the cost of operation of a property,it is the value of their properties at the time insur-vital that there should be equity in the ascertain- ance is effected and then have anadjustmentment and distribution of risk as betweendifferent made of the actual loss suffered in the compara-communities, different industries and different tively few fires occurring in the course of a year.owners within the same industry. Suchequity According to the standard fire policy the in-requires that there should be "merit rating" surer is liable only for theactual cash value ofbased upon an analysis of the good and bad the property lost or damaged as "ascertainedfeatures of the risk insured. Proper recognition with proper deductions for depreciation." In nomust be given to the fire preventionfacilities case, however, may "theloss exceed what itof the city, the quality of construction of the risk would cost to repair or replace the same withto be rated, the presence or absenceof fire fight- material of like kind and quality within a reason- ing facilities, the nature of the occupancy, the able time after such loss or damage," and so on.character of the exposure hazard and similar The insurer has therefore three options of settle-factors. ment: payment in cash, restorationthrough re- Prior to 1900, when it was common to make pairs or replacement. In event of disagreementrates on mercantile risks on the basis of"judg- the dispute is settled in accordance withthement rating," the premium was theresult of the appraisal clause of the contract. Both the insuredindividual opinion of some rater. But as proper- and the insurer select an appraiser and the twoties became more complicated in their construc- appraisers select a disinterested umpire. Should tion and numerous appliances were installedfor the appraisers be unable to agree, their differ-heating,lighting, ventilation, transportation, ences only are submitted tothe umpire forpower and other purposes, thismethod became decision. increasingly unsatisfactory and was superseded Under the important practise of coinsurance,by "schedule rating." Alfred Dean's systemof known in England as average, "the insured hasanalytic rating is used extensively in the middle any loss paid only in theproportion that thewest; the Universal MercantileSchedule, in amount of insurance taken bears tothe amountthe east. Simple types of property -schools, of insurance that the company requires him tochurches, residences -are usually given a class carry." Thus if a $roo,000 property is insured rating; but mercantile risks are rated on thebasis for only $40,000 when the required amount ofof a comprehensive schedule which is appliedby insurance is 8o percent of the value, or $8o,000,a central bureau of theunderwriters' association a $ro,000 loss would be paidonly in the propor-having charge of the particular territory, to tion that $40,000 bears to $8o,000, or to thewhich practically all the companies are subscrib- extent of only one half, i.e. $s000. The percent-ing members. The schedule represents a com- age of required insurance representsthat portionposite judgment system of rating and eliminates of the property which is regarded as destructiblethe shortcomings of individual rating. By show- and will therefore vary in accordance with theing on paper how the rate was derived it enables type of property. The reason for thepractise isthe insured to know his defects and to eliminate clear. By far the greatest bulk of losses resultsthem in the interest of a reduction in his pre- from partial fires, and in large cities probablymium. But even combined judgment is not so half of the fire waste consists of losses which accurate as figures of actual fire losses. amount to less than ro percent of the valueof the Fire insurance premiums are collected in ad- 258 Encyclopaedia of the Social Sciences vance, usually on one, two or five -year policysurance and other analogous forms of coverage. periods, but they are "earned" only as time The American public is now paying in excess elapses. The insurer is therefore held account- of $t,000,000,000 in premiums to fire insurance able as a custodian of the unearned portion ofcompanies protecting over $too,o00,000,000 of the premium, or the reserve, as this unearnedproperty. This protection is assumed by domes- fund is commonly called. State statutes require tic stock companies, foreign companies, local, the maintenance of such a fund as a necessarystate and factory mutuals, reciprocal or inter - condition for financial solvency. Nearly every- insurer organizations and Lloyd's associations where the law requires that insurance companiesin the order of importance named. In addition shall maintain a reserve equal to "fifty per -a large amount of insurance is sent directly by centum of the premiums written in their policies cable to alien underwriters not licensed to do upon all unexpired risks that have one year, orbusiness directly within the United States. Note less, to run, and a pro rata of all premiums onshould also be taken of the various municipal risks having more than one year to run." and other public funds for the insurance of pub- It is common practise for underwriters tolic property and the ever growing list of self - transfer a portion of the liability assumed under insurance funds conducted by large corporations a policy to some other underwriter, who isand other owners of widely distributed prop- then known as the "reinsurer." Many plans oferties. reinsurance exist, such as reinsurance under Stock companies transact probably about 75 agreements covering specific risks, "reinsurancepercent of the nation's fire insurance, and on clearing houses," "share" or "participation ar-them property owners in the larger cities are rangements," "excess reinsurance agreements"primarily dependent for adequate protection. and the like. But whatever the plan, the funda-Local and state mutuals which write about $to,- mental reason is the avoidance of a loss out of000,000,000 of fire insurance, or roughly to line with the writing capacity of the insurer. Thepercent of the total, are strongest in the agri- practise gives underwriters the greater stabilitycultural districts and the smaller cities. Factory resulting from a wide spread of business. It alsomutuals have outstanding between $9,000,000,- enables them to accept large policies promptly,000 and $to,000,000,000 of insurance on factory since they know that the risk is automaticallyproperties, or about another to percent. The distributed over numerous other underwritersbalance of fire insurance written within the coun- who are parties to the agreement. try is assumed by interinsurer organizations and Many insurance companies write forms ofLloyd's associations. insurance similar to or closely related to fire in- The ratio of losses paid to premiums received surance. Thus many, especially farm and stateby companies as reported for all states by the mutuals, frequently combine tornado, frost, hail Weekly Underwriter averaged only 51.8 percent and other storm insurance with the fire cover- from 1900 to 1923. The ratio for all companies age. Sprinkler leakage insurance is also closelyreporting to the National Board of Fire Under- connected with the fire hazard, although thiswriters for fire and lightning protection declined type of coverage is usually classified as one ofto 46.5 percent in 1929 and in 193o jumped to the casualty forms. Stock fire insurance com-53.6 percent. At the same time the average rate panies also furnish riot and civil commotion andcharged for $too protection has decreased from earthquake insurance in addition to their fire in- $í.o118 in 1919 to $.913z in 1926 and to $.7691 surance policies. Many also write marine insur-in 193o for fire and lightning protection. This ance and automobile fire and liability insurance. declining rate probably indicates increased com- Most common of the related forms of risk,petition and more fireproof construction rather however, is the business interruption hazard. than excessive profits. The fire insurance contract protects only against Although municipal fund insurance has been the loss of physical property. Yet in many in- fairly satisfactory, comparatively few cities have stances a comparatively small fire seriously in-undertaken the plan. A survey indicates that terrupts business and through such interruptiononly about to percent of American municipali- causes serious indirect time losses, such as lossties have insured public properties through the of net profit and loss resulting from unavoidablemedium of a public fund organized for the fixed charges and overhead. Such losses arespecial purpose. The overwhelming majority of assumed by underwriters through use and occu-cities rely upon private companies. Insurance by pancy insurance, commission insurance, rent in- larger cities of their public school property has Fire Insurance 259 resulted in considerable saving. Large losses doress in various directions. The volume of fire occur occasionally, and it is difficult to rely uponinsurance written is likely to increase although a ten or twenty -year loss experience which mayless rapidly than in the past decade, when it be nullified by a single fire. By 1927 six states increased about loo percent. Emphasis upon fire had established emergency reserve appropria-.prevention will also increase. There is reason to tion funds; five, self- insurance funds that rein-believe that before long conflagrations of impor- sure with old line companies. But in two others,tance will be excluded from the realm of the Michigan and Minnesota, these funds had be-expected. Development is likely to be great in come exhausted by the failure of the legislaturesthe direction of a properly educated field force to appropriate premiums each year. Nine states,able to counsel the buyers of insurance. Com- including New York, do not insure their prop-. panies are rapidly installing educational courses erty at all. Even where public insurance fundsand even educational departments designed to exist the best opinion seems to hold that theyraise the educational level of their vast selling should cover small properties only and that large forces. or hazardous risks should be placed or reinsured It is also hoped that greater uniformity of with private companies. legislation, so long advocated by the National Prior to the organization of factory mutualsConvention of Insurance Commissioners, will the function of fire insurance was regarded pri-be gradually secured. This is most needed with marily as risk bearing, whereas today the empha- respect to the adoption of uniform financial re- sis is increasingly upon risk prevention. Under- ports, policy provisions and regulations, the writing profit may be even larger with smallpermission of all forms of cooperation along premiums, where losses are kept down, than legitimate lines and the scientific supervision of with higher premiums when losses have a tend-rates, and in the direction of lower and more ency to be large and to deviate widelyfrom theethical taxation. In some states fire insurance expected average. More and more therefore acompanies are taxed to support the fire marshall larger part of the premium income has been de-and to maintain fire departments. Only a frac- voted to the elimination of fires. The Nationaltion of the various fees and taxes paid by them Board of Fire Underwriters, representing thegoes to support state insurance departments. stock companies, has been responsible for theAnother possible development is that the states preparation of a fire prevention manual and thewill follow congressional legislation for the Dis- publication of scores of handbooks dealing withtrict of Columbia in abolishing the distinction fire preventive appliances, fire retarding mate- between casualty insurance and fire and marine rials and types of construction. It has expended insurance. considerable effort on public education; it has S. S. HUEBNER carried through several hundred municipal sur- veys for the guidance of those in strategic posi- EUROPEAN. European fire insurance is not a tions to improve conditions, and it undertakes uniform institution. It is even impossible to make the inspection and supervision of the installation a systematic survey because of the lack of statis- and maintenance of electrical, sprinkler andtical data and because of inadequate material re- other types of equipment. The Underwriters' garding such vital aspects as legislation, content Laboratories, a subsidiary of the National Board of insurance policies and rates. In general there- of Fire Underwriters, tests appliances and mate-fore this article is limited to certain of the more rials submitted to it for disinterested investiga-important European countries: to England as the tion and lists and labels those found to bearchetype of private insurance enterprise, to satisfactory. Every effort is also made to detectGermany and Switzerland as representatives of and punish incendiarism. To this end the Na- a mixed system where public and private con- tional Board has created a Special Committeecerns coexist and to Soviet Russia as a country on Incendiarism and Arson, which cooperateswith a state insurance monopoly. If German in- with the various committees of local underwrit- surance receives what may seem undue emphasis, ers' associations. This service is supported byit is because her fire insurance literature is most company contributions, and arson investigators extensive and because in 1930 she adopted a new are employed to cooperate with localofficials in uniform general form of insurance policy. the detection and conviction of those who bring The original unit of organization, of fire in- about fires for the collection of insurance. surance as of so many other institutions, was the Recent developments indicate further prog-family. In the Middle Ages the guilds and the 26o Encyclopaedia of the Social Sciences communities were the bearers of the insurancetype of business they may handle; while the pri- idea. Even in more modern times the guilds con- vate companies tend to widen their activities, tinued to perform this function, especially in theoften spreading beyond national boundaries. northern countries, where the climate stimulated A glance at the trend of the last fifty years re- the demand for insurance by forcing people toveals, in addition to the growth in the number of build solid houses, i.e. to invest more capital inprivate insurance companies, a steady increase dwellings than is necessary in warmer zones. in the total value of the insurance underwritten Modern fire insurance practises, however, areand in premium receipts. At the same time there an outcome of the great Londonfire of 1666. In has been a general decrease in the premium rate, England private and mutual insurance enter-due for the most part to the increasingly suc- prises were soon formed, at first, like the oldcessful fighting of fires and to the spread of fire- guilds, chiefly local in scope; early in the eight-proof building. The classification of risks and eenth century joint stock companies, able to con- the establishing of rates have become more and duct a wider business, were organized. Germanmore precise and elaborate. Theprovisions of insurance, on the other hand, followed a differ- the insurance policy have in many countries been ent course. Municipality and state,fearful ofrevised in favor of the insured. These advances, conflagrations, prescribed compulsory insurancehowever, have been counterbalanced to a certain through public insurance offices. In 1676 the extent by the marked post -war increase in the trading town of Hamburg established the firstcost of administration, caused in part bythe in- public insurance office by uniting forty -six smallcrease of the tax burden. The cost ofadministra- Kassen. Gradually the other German self -gov-tion of five large English stock companies, ex- erning units followed this example. The com- pressed as a percentage of the premium receipts, pulsory feature of German insurance can berose from 39 percent in 192o to 42 percentin traced back to the desire of the local treasuries, 1928; Swiss company costs rose from 35.5 per- encouraged by the cameralistic economists (e.g. cent in 1910 to 39.4 percent in 1926; German Georg Obrecht's scheme, 16o6), to protect them- from 27 percent in 1910 to 53 percent in r926, selves against loss by fire, especially loss to thebut declined to 48 percent in 1928. property of wealthy burghers. The public fire The most characteristic development of the insurance societies were also regarded from thelast two decades, especially in Germany, has first as useful institutions for the extension ofbeen the attempt to increase profits by the con- mortgage credit. The insurance of goods did notcentration of insurance capital; that is, by the develop on the continent until long after realpooling in one form or another of private under- estate insurance had become common. In Ger-takings. The increasing formation of composite many it had no great growth until theend of the companies (Spartenkombinationen) represents a eighteenth century. logical attempt to combine fire insurance with With the rise of individualistic principles theother insurance lines. The company benefits by idea of profit invaded the field of fire insurance.being able to balance the earnings of the various In many European countries the importationlines and by using the same agents to solicit from England of the joint stock insurance com-them. Europe does not follow the United States pany led to the organization of similarhomein forbidding the combination of fire and cas- companies. The first stock fire insurance com-ualty insurance, although some countries pro- pany in Germany was organized in Berlininhibit the combination of fire and life insurance. 1812. In France too modern fire insurance is a In spite of increasing concentration fire in- postrevolutionary development; none of thesurance protection by both domesticand foreign earlier enterprises survived the upheaval. Forcompanies is still in excess of requirements in most European countries the latter half of themost European countries.Competition has nineteenth century was not unnaturally theforced down premiums to a point that threatens period of greatest development. At present thethe profitableness of the business. In conse- joint stock companies dominate the field. Byquence associations of fire insuranceunderwrit- their inherent elasticity, enterprise and opennessers, which aim more or lessconsistently to guard to new ideas they have generally forced otherthe interests of the insurance institutions, have forms of enterprise into the background. Publicassumed greater importance in the last ten years. fire offices have survived in the countries whereThese associations, often actual cartels, have they have been organized, but their operationsbeen organized by the public offices as well as are limited as to region and also at times as totheby the private companies. One of their activities Fire Insurance 261 has been the conclusion of agreements covering A very important form of fire insurance first the provisions of the insurance contract and thedevised in 188o is forest fire insurance. Formerly amount of the premium, which may be bindingthe fire insurance companies almost without ex- or are sometimes merely officially endorsedception refused to insure woods against loss by standards. fire; although various German groups have con- The external organization of the private firetinually sought to introduce this form, it is as insurance business in Europe resembles theyet in an early stage of development, and of the American too closely to call for description here.damages arising from forest fires in Germany There is need, however, for a more detailed ex-probably less than 8 percent is covered by in- amination of the way in which government firesurance. insurance is conducted by quasi -public institu- An inclusive state fire insurance monopoly tions. At present public fire insurance offices exist has been in operation in Soviet Russia since in Germany, Austria, Switzerland, Denmark, 192o. Insurance of allbuildings, both city Norway, France, Poland and Lithuania. Soviet houses and farm property, is compulsory. In Russia is the only European country in which 193o the compulsory provision was extended to private insurance companies do not operate. include the protection of public, communal and In Germany there are, in addition to somecooperative institutions against all natural risks, seventy private companies, forty -one regionalincluding the insurance of their movables to public fire insurance offices. These offices are as their full reproduction value without allowance a rule public corporations operating as mutual for depreciation. This is undoubtedly the most societies and directed by officials of the adminis- comprehensive insurance of property values ever trative area served by the office. Their reserveattempted. Voluntary insurance can be also funds are in certain places guaranteed by theplaced with Gosstrach, the public central insur- local administration. Some cover a whole state, ance office. It is worthy of note that Gosstrach as Bavaria and Saxony; some only single prov-has concluded reinsurance treaties with foreign inces or districts, as parts of Prussia; or individ- private companies. ual cities, as Berlin. Compulsory insurance of A comparison of the premium rates in those buildings through public offices still exists incountries where public and private companies certain places (e.g. Berlin and Hamburg); else-operate side by side shows that the public offices where the public offices compete with the private usually ask a lower rate, especially when a com- companies in this field. The majority of the pub-pulsory insurance provision allows them to dis- lic companies, however, limit their activities topense with advertising. But even where the pri- the insuring of simple risks, like dwelling houses,vate companies demand higher premiums these farm buildings and small business buildings. Acompanies are none the less often the more few public companies also handle a considerablepopular. The least attractive of all types are the range of industrial and larger commercial risks.small local or limited membership mutual so- Only about half insure goods as well as buildings cieties. in appreciable amounts. In 1927 the net pre- In Germany neither mutual insurance nor miums of the public institutions amounted to self -insurance has been able to make much head- RM 178,000,000 and losses to RM 104,000,000, way against the stock companies. In France, as compared with net premiums of the privatehowever, the big mutual companies handle about companies amounting to RM 154,000,000 and a quarter of the insurance business. In addition losses of RM 62,000,000. an attempt has been made to encourage agricul- In Switzerland, where public insurance hastural cooperatives by subvention. Italy also long been organized by cantons, the underwrit-grants special favors to the mutuals that are part ing of chattel insurance is particularly interest-of the cooperative movement. An interesting ex- ing because of the diverse forms of organization, periment by Belgian agricultural unions was the ranging from complete state monopoly throughorganization of the Syndicat Agricole to be their mixed state and private insurance to control byagent in dealing with the stock companies. private companies. The fact that four French The World War and its consequences have departments maintain public fire insurance of-led to several interesting developments. The se- fices shows that government insurance is not pe-vere air warfare caused the extension, particu- culiar to Germanic countries. Organization oflarly in Germany, of fire insurance policies to new public offices is, however, no longer possiblecover damage resulting from bombings. In Eng- under French law. land a government insurance office was organ- 262 Encyclopaedia of the Social Sciences ized to cover air risks, for which some fiftywhere the individual is held liable for damages private companies acted as agents. The central to others caused by fire on his premises unless he European countries attempted to counteract thecan prove his innocence, the fire loss is unusually unforeseen and serious underinsurance resulting low. from inflation by offering policies with sliding ALFRED MANES scale values based on index numbers or on the See: INSURANCE; CASUALTY INSURANCE; MARINE IN- dollar. A further result of the economic stress SURANCE; AGRICULTURAL INSURANCE; FIRE PROTEC- was the introduction of reproduction value poli- TION; BUILDING REGULATIONS. cies (replacement insurance) for detached build- Consult: FOR THE UNITED STATES: Huebner, S. S., ings. This type of policy is less common in Eng- Property Insurance (new ed. New York 1922); Zart- land than in Germany, where since 1924 it has man, L. W., Property Insurance (2nd ed. New Haven 1914); American Academy of Political and Social applied both to dwellings and to industrial Science, Annals, vol. xxvi, no. ii (1905), vol. lxx, pt. ii plants with rebuilding as a prerequisite for in- (1917), and vol. cxxx, pt. ii (1927); Hardy, E. R., The demnification. Switzerland and CzechoslovakiaMaking of the Fire Insurance Rate (Chicago 1926); have opposed the introduction of replacementDean, A. F., Philosophy of Fire Insurance, ed. by W. R. Townley, 3 vols. (Chicago 1925); New York insurance, fearing an increase in fires. The re-State, Insurance Department, "New York Fire In- sults of the experiment in England and Germany surance Rating Organization" in Annual Report of the are still uncertain, as few such policies have been Superintendent, vol. lxviii (1927) 376 -481, vol. lxix issued. (1928) 569 -81, and vol. lxx (1929) 411 -57; Boston, The extension of fire insurance to includeMayor's Committee on Fire Insurance Rates, A Re- port on the Problem of Fire Waste and Insurance (Bos- profit insurance, use and occupancy insuranceton 5929); Nolting, O. F., "Municipal Insurance," and the like, so widespread in America, is com-University of Kansas, Bulletin, vol.xxviii, no. 9 mon in Europe also, especially in England; most (1927); Reed, P. B., Adjustment of Fire Losses (New German companies, however, refuse this busi- York 1929); Nelson, O. S., Fire Loss Adjustment Prob- lems in the United States (Chester, Pa. 193o); Kahler, ness. The comprehensive policy is growing in C. M., Business Interruption Insurance (Philadelphia favor in England and Holland for both real and 193o); Hubbard, C. T., Where Fire Insurance Leaves personal property. A single contract insures not Off (New York 1930). only the fire hazard but also risks of forcible en- FOR ENGLAND: Cornell, F. W., Principles and Fi- try, burglary, liability and so on. In Germany nance of Fire Insurance (London 1930); Haines, F. H., Chapters of Insurance History (London 1926) chs. v- the comprehensive policy known as the Verede- xvii; Jack, A. F., Fire Insurance and the Municipalities lungspolice protects against fire and other damage (London 1914). imported raw materials which are to be re- FOR THE CONTINENT: Manes, A., Versicherungs- exported as finished products. wesen, 2 vols. (5th ed. Leipsic 1930); Raiser, R., Kom- mentar der allgemeinen Feuerversicherungs -Bedingungen State regulation of private companies, espec- (Berlin 1930); Neumann, Werner, Wandlungen im ially in Germany, Austria, Switzerland and the deutschen Feuerversicherungswesen (Berlin 1929); Vatke, Scandinavian countries, is similar in principleHans, Rationalisierung im Feuerversicherungsbetriebe to the American. Provision is made for adequate (Berlin 1927); Riebesell, P., Geschichte der Hamburger Feuerkasse 1676 -1926 (Hamburg 1926); Girard, J., premium reserves, investments are regulated Éléments d'assurances, incendie, vie, accidents (Paris and foreign companies are usually required to 1921) p. 99 -217; Hémard, J., "La nature juridique make a large deposit. Only France attempts to des caisses départementales d'incendies en France" regulate rates. A significant provision of the code in Deutscher Verein für Versicherungs- Wissenschaft, of certain German states is the enforced pooling Festgabe für Alfred Manes (Berlin 1927) p. 167 -77. by the operating companies of extraordinary risks which otherwise might not be underwrit-FIRE PROTECTION. The need for protection ten. With the exception of the French code legis- against the hazard of fire has been forcibly im- lation governing the insurance contract protectspressed upon mankind by a long experience of the insured in important particulars. In all otherdestruction and loss. A list of places that have countries the rights of the policyholder are con-suffered disastrous fires would include most of fined to the provisions of the policy as drawn bythe principal cities of the world. The burning the companies, often too drastic in their require- of Rome in 64 A.D., the great fire of London in ments. English fire insurance companies are 1666, the Chicago fire of 1871, the San Fran- merely required to deposit20,000 and to makecisco earthquake and fire of 1906 and the Tokyo adequate annual financial reports. The criminalearthquake and fire of 1923 are instances of the laws of certain countries treat fraudulent actionterrible damage that can be worked by fire. Less with particularly heavy penalties. In France,completely destructive but serious fires have Fire Insurance-Fire Protection 263 occurred in most of the cities of Europe and theUnited States and Canada. Differences in build- Orient. More recently settled countries, such asing construction as well as in fuels and lighting the United States and Canada, have repeatedand the habits of the people may also be impor- the fire experience of the European countries.tant. The isolated American farm continues to The rude huts which housed the first settlers atbe at the mercy of an accidental fire and the Jamestown, Virginia, burned within one year;thatch roofed villages of Europe suffer heavy the statehouse burned down four times beforelosses. the end of 1698 and the church twice. Certain The figures for property loss do not represent of the American colonies, like Pennsylvania,the total cost of fire to the community. For the took fire hazards into account when planningUnited States the life loss as based on the sta- their towns, an effort which has apparently beentistics gathered by the census bureau now ap- reflected in their fire experience. As the pioneerproximates between 6000 and 8000 lives per year line moved westward, however, urban centerswith as many or more serious injuries. About 25 were often planned with less care and manypercent of the deaths by fire occur in burning cities went through disastrous fires before estab- buildings; the rest are due to such causes as lishing effective regulations governing buildingburning clothing, forest fires and the like. The construction and fire protection. But as suchcost of fire protection and the cost of insurance regulations cannot greatly modify existing con- must also be included in the fire waste total. struction, many cities still include potential con- Until comparatively recent times the only re- flagration areas. Disastrous fires in the Unitedlief given to victims of fire was contributed by States in the last hundred years have causedother individuals or communities. The business losses of property and life possibly exceedingof fire insurance, which originated soon after the those of any similar period in the world's his-London fire of 1666, has only recently attained tory. The Boston fire of 1872 and that in Balti-large enough proportions to compensate for the more in 1904 are charged with property losseslosses sustained in general city conflagrations. of $75,000,000 and $5o,000,000 respectively.After the Chicago fire of 1871 many of the The property loss resulting from forest fires, insurance companies failed. The insurance losses many of which have destroyed communities inincurred in the Baltimore and San Francisco their paths, has at times equaled that from somefires were more fully paid. While the funds thus of the more severe city fires. More recentlyobtained are important in rebuilding burned burning oil wells and oil storage tanks in citycities, other forms of public aid are generally areas and fires involving burning oil on harbornecessary for both relief and reconstruction. waters have caused heavy losses. The general factors contributing to the fire In 193o the fire losses in Great Britain andhazard can be classified as climatic, racial and Ireland as reported by the British National Firematerial. Prevailing temperature, humidity and Brigades Association amounted to $51,125,428,winds often determine whether a fire can attain or $1.27 per capita. For Canada the figures asdangerous proportions; climate also determines collected by the Dominion Fire Prevention As-the extent to which artificial heating of buildings sociation were $46,109,875, or $4.70 per capita.is necessary, thus influencing the portions of the For the United States the loss in 1930 may betotal fire loss attributable to this cause; fire losses given as $499,739,172, or $4.07 per capita, onare heavy in earthquake and volcanic zones. the basis of records of the Actuarial Bureau ofVarious racial traits and customs may be con- the National Board of Fire Underwriters withducive to the origin of fire: for example, the 25 percent added for uninsured and unreportedworship of household gods by means of con- losses. Fire losses for these countries have re-tinuously maintained fires constituted an ele- mained relatively stable for the past decade, withment of fire hazard. In congested communities greater variations from year to year in Greatthe material, design and spacing of buildings are Britain and Ireland than in the other two coun-probably the most important factors. Modern tries. A steady decrease in per capita loss in thefire zoning has helped measurably in decreasing United States from $4.90 in 1924 to $3.81 inthe hazard of general conflagrations. 1929 is perhaps significant considering that the Fire protection may take the form of elimi- value of property subject to fire increased duringnation of the causes of fire, reduction of fire the period. The lower per capita loss for thehazards, prevention of the spread of fire and United Kingdom may be ascribed in part to theprovision of means for its extinction. In modern fact that per capita wealth is less than in thetimes reduction of fire hazards through restric- 264 Encyclopaedia of the Social Sciences tions on construction and less frequently throughcooking, lighting and power supply. The care- restriction of extra hazardous occupancies inless disposition of matches, cigarettes and other congested urban areas has become increasinglysmoking materials is charged with some Io per- widespread. Heights and areas of buildings havecent of the total, spontaneous combustion with been limited and certain types of materials have4 percent, sparks on combustible roofs with 5 been proscribed within given areas in most mod-percent, petroleum and its products and light- em municipalities. Such restrictions on con-ning with approximately 3 percent each. Incen- struction have their justification in the differentdiarism is charged in the fire records with less degrees of hazard involved when buildings of thethan I percent of the total loss, but this refers various types of construction burn or are exposedonly to cases of proved arson, conclusive evi- to fire. The frame building with combustible dence on which is generally difficult to obtain. frame and walls is most subject to destruction A study of the predominating causes of fire by fire. The masonry walled, wood joisted build- indicates that at least one half of the property ing is protected in part against exterior fire haz-loss is from fires which might be prevented by ards by the wall construction. Openings in thethe application of a reasonable degree of care wall do not wholly destroy the efficacy of thisand knowledge. It is difficult to draw the line protection, for the wall provides a barrier frombetween lack of knowledge and lack of care. behind which fire attempting to enter at theSuch an act as the careless throwing of a lighted openings can be fought; protections in the formmatch may have to be repeated a great number of metal frame windows with wire glass, metalof times before it results in a fire, but it is the doors and shutters can also be provided. A se-function of fire prevention to bring the individ- vere fire, however, involves the collapse of floors ual face to face with the experience of the com- and roof construction and generally the partialmunity as a whole so that he may realize that it collapse of walls, after which the building burnsis the one case out of a hundred or thousand or as a unit with a large unrestrained volume ofmore that brings disaster. The regularity with flame, hot gases and possible flying brands. The which approximately the same percentage of the conflagration hazard is present with this type ofaggregate loss from year to year is caused by building, particularly if it shelters large amountssimilar acts is striking. of combustible materials. In recent years there Individual liability for fires has been advo- have been developed what are termed fire re-cated in the United States as being conducive sistive, or fireproof, buildings that can withstandto increased caution. During the Middle Ages a complete burning out of combustible contentsin England inquests were held on fires which and trim without the collapse of major structuralhad resulted in loss of life or property, but ap- members. The fire volume in such buildings isparently they were conducted in a manner re- broken up by the floor, roof and wall construc-sulting in oppression as they were one of the tions, and the exit of flame and hot gases can grievances from which Magna Carta asked relief. take place only through the wall openings. In By an act passed during the reign of Queen Anne addition to general fireproof construction specialit was provided that no action should be main- safeguards and regulations have been devised totained against any person in whose house a fire protect explosives and highly inflammable ma-had accidentally begun. Attempts to revive per- terials, such as celluloid films. In the highly sonal liability laws in both the United Kingdom developed districts of many American cities fireand the United States have met with opposition, resistive construction predominates to such analthough arson is punishable by common law. extent and facilities for the extinction of firesThe laws in France and some other European are so readily available that the possibility ofcountries contain provisions originating in the general conflagration is remote. Code Napoléon holding the property owner or Statistics on the fire loss in the United States tenant responsible for fire damage to adjoining indicate that about 15 percent is due to fires property. While these undoubtedly result in re- communicated from other burning buildings. duced fire losses, they impose both a large bur- Most of these communicated fires involve only den of responsibility and the cost of carrying one or a few structures. The loss from generaladequate insurance. Personal liability laws in conflagrations does not constitute more than aeffect in the United States apply only in case of small percentage of the ordinary yearly loss. Aviolation of local fire prevention regulations. somewhat greater loss, in the neighborhood of Organization and equipment for the extinc- 25 percent of the total, is caused by heating,tion of fires have been in existence at least since Fire Protection 265 the time of ancient Egypt. The plans of organi-with electrically supervised connections giving zation have involved compulsory, paid and vol-coded signals from operation of outside boxes unteer service and combinations of thethree.are provided in most cities,although some com- Compulsory service is at present resorted to onlymunities of considerable size depend on the pub- in case of forest fires and conflagrations. In thelic telephone for this purpose. Where both are United States the larger cities and communities available many more alarms are received by tele- have paid fire departments, while villages, town-phone than from the public boxes and the per- ships and the smaller cities have volunteer or acentage of false alarms is smaller. combination of volunteer and paid forces. Vol- Equipment for private protection is usually unteer firemen are generally compensatedfor present only in mercantile, manufacturing and time spent at fires and drills and some commu- public establishments. Hand fire extinguishers, nities provide disability and retirement benefits. standpipe and hose and automatic sprinklers are Good sized communities are dependent mainly the most common devices. Manual or heat actu- on volunteer forces lessoften in the Unitedated fire alarm systems are also provided in some States than in Europe. In Paris and Berlin theestablishments to assist in speedy detection and fire fighting force is directed by the police de- extinction. The majority of large establishments partment. and institutions hold fire drills to lessen the Since the middle of the last century the func-possibilities of panic in case of fire. Public halls tion of fire extinction has everywhere been taken and theaters, after several disastrous fires, have over by municipalities. Inthe United States,been subjected to special regulations regarding however, fire insurance companies still maintainfire exits and preventive devices. salvage corps in larger cities to reduce damage Education, standardization and research in the from fire and fire extinction, although some citiesfield of fire protection are conducted in this have also assumed this function and added res-country by the National Fire Protection Asso- cue and ambulance units.The adoption of me-ciation and several state associations. Many chanical fire fighting machinery has involved thestates have appointed fire marshalls to inspect establishment of highly trained bodies of paidlocal fire hazards and guard against lax enforce- firemen. New York has established a firemen'sment. Excellent work is done by the insurance college. Wages have risen and shifts have beencompanies; the stock companies are represented reduced from twenty -four hours to twelve andmainly by the National Board of Fire Under- in some places to eight. In view of the increasewriters and the mutual companies by the Asso- in fire resistive construction in the more highlyciated Factory Mutual Fire Insurance Compa- developed districts of modern cities, the increasenies and the National Association of Mutual in speed and effectiveness of fire fighting equip- Insurance Companies. Fire tests of materials, ment, improvements in water supply, standardi-building constructions and devices and fire pro- zation of hose couplings and improvement intection equipment are made mainly for purposes roads, which makes aid from neighboring corn -of insurance ratings by the Underwriters' Lab- munities more readily obtainable, it is pertinentoratories and the Factory Mutual Laboratories. to take note of the high cost of the fire serviceSimilar tests are made by Columbia University in many communities and to ask whether reduc-for the city of New York as well as for the public. tion in the number of fire stations and in theThe Bureau of Standards of the United States general cost of public protection cannot be made.Department of Commerce has conducted re- Equipment for fire fighting has evolved fromsearches in the general field since 1914. The the leather bucket and hand operated squirts orFederal Fire Council was organized in 193o to pumping engines used until nearly the middle function in an informatory and advisory capacity of the last century to the motor propelled engineon matters pertaining to fireprevention and pro- capable of delivering 30o to 1500 gallons pertection on government properties. Abroad, the minute under pressures up to 25o pounds perBritish Fire Prevention Committee was active in square inch. High pressure watermains, ele-testing and educational work from 1898 to 1924, vated hose towers, mechanically operated lad-when its work was taken over by the National ders, gas masks, asbestos suits and special illu- Fire Brigades' Association. National and regional mination have increased the effectiveness of thefire prevention associations are functioning in fireman's work under difficult conditions. Themany countries and some experimentalwork on fire ship has facilitated the fighting of marinefire resistant building details has been conducted and water front fires. Public fire alarm systemsin France, Germany and Sweden. In general 266 Encyclopaedia of the Social Sciences researches on fire resistance are less fully devel-tion of G. Cohn's Finanzwissenschaft (1895) and oped than those pertaining to ordinary serviceof Henry C. Adams, who had studied in Ger- conditions of materials and equipment. many, to publish at the turn of the century The S. H. INGBERG Science of Finance (1898) in the European sense See: FIRE INSURANCE; BUILDING REGULATIONS; ZON- met with scant favor. Slowly it became custom- ING; PUBLIC EMPLOYMENT; DISASTERS AND DISASTER ary, both in the United States and in England, RELIEF. to speak of "public finance" in contrast to the Consult: Gamble, S. G., A Practical Treatise on Out- ordinary monetary and banking topics. The sci- breaks of Fire (London 1926); Kenlon, John, Firesence has accordingly almost everywhere in the and Fire-fighters (New York 1913); Johnson, W. Branch, Fire fighting by Land, Sea and Air (London English speaking world become known as the 1927); Stone, H. A., and Stecher, G. E., Organization science of public finance. and Operation of a Municipal Bureau of Fire Preven- Recently the term fiscal science has been sug- tion (Syracuse 1927); Keay, G. E., Fire Waste (Lon- gested as a more appropriate name than the sci- don 1927); Williams, B., Fire Marks and Insurance ence of finance or the science of public finance. Office Fire Brigades (London 1927); Dana, G., and Milne, W. D., Industrial Fire Hazards (Framingham, It is derived from the Latinfiscus (originally the Mass. 1928); Benoist, L., Manuel de la prévention de rope basket into which the public moneys were l'incendie (Paris 1928); Bethke, R., Wie schütze ich put), which the Romans applied to the treasury meinen Betrieb vor Feuerschaden? (Nuremberg 1927). and which is used on the continent in the same sense. In English the term has become so in- FISCAL SCIENCE. The discipline which dealsgrained that fiscal matters are never in danger with the public household, that is, with the reve- of being confused with ordinary financial or nues and expenditures of the state and the rela- monetary affairs. Inasmuch as the word fiscal tions of the individual to the public treasury, ishas an exclusive public connotation, it is un- in every language but English called the sciencenecessary to use the circumlocution of public of finance. This is to be explained by the factfinance. The appropriateness of the term seems that the term finance, although originally appliedto be beyond dispute. It does not carry the mis- to money concerns only (from finare, to put anleading connotation of the older term science of end to a matter, especially by the payment offinance and it is less awkward than the science money), acquired at a very early period on theof public finance. It will also be far more con- European continent a public connotation. In thevenient to speak of fiscal theories rather than, sixteenth and seventeenth centuries in Franceas at present, of theories of public finance or of the financier had come to mean a governmentthe still more cumbersome theories of the sci- expert in public revenues and expenditures. ence of finance (finanzwissenschaftliche Theorien). Consequently, when the science first developed, Because of its appropriateness, simplicity and as it did on the continent, it was called the sci-terseness the term fiscal science would seem to ence of finance. deserve acceptance as the name of the discipline Finance, however, never quite lost its original of the public household. wider connotation. The French of the eight- EDWIN R. A. SELIGMAN eenth century as of today speak of haute finance See: PUBLIC FINANCE; FINANCIAL ADMINISTRATION. in referring to the activities of private bankers and financiers. In England this more generalFISHERIES. Fishing was one of man's earliest scope of the term remained the prevalent one.sources of food supply and it is still one of his Even at the present time every treatise on eco-most important means of livelihood. Primitive nomics in England has its sections dealing with man probably caught fish first with his hand or finance in the sense of monetary and bankingwith a spear; later with a baited line, from which topics. When therefore at the end of the nine-he gradually evolved a rod and line; and finally teenth century the subject in its more restrictedwith a net or fish trap. In the hands of the great and special sense was erected into an independ- fishing peoples of historic times -Phoenicians, ent science, the question of a descriptive titleGreeks, Norsemen, Basques, Portuguese, Dutch, arose. The term science of finance could not British, Americans, Japanese -such devices have well be chosen because the field had alreadybeen slowly transformed into the more efficient been preempted by books like Patterson's Sci-methods of the present day. Among the impor- ence of Finance (1868), which dealt exclusivelytant modern devices are the long line with its with monetary topics. The attempt of Thorsteinhundreds of dangling hooks; the gill net, re- Veblen to use "science of finance" in his transla- sembling a huge submerged tennis net, which Fire Protection-Fisheries 267 entangles the fish in its meshes; numerous types have long been counted among the few staples of fish traps; beach seines and purse seines,in the limited dietary of the masses, and the which are closed about their victims; and thedevelopment of new methods of preservation otter trawl, a great flattened bag of netting whichhas but extended the range of use of fish as a is dragged along the bottom like a giant open food. mouthed fish. Fishing boats too have evolved The Black Sea and the Bosporus supplied the through countless variations from the early dug-Phoenicians and Greeks with their salt fish, in out to the dory, schooner and steam trawler.particular, tunny. In the later Greek and the Technical progress and mechanical improve- Roman periods the coasts of Sicily and Spain ments, however, have often been retarded bybecame important fisheries, while Egypt and the proverbial conservatism of fishermen; andthe rivers of northern Europe sent quantities of the slowly growing mechanization of the fish-fresh fish to the Roman cities. The Carthaginians eries has been achieved only in the face of steadyfrequented the seas beyond the Pillars of Her- opposition and bitter resentment. In recent years cules, hunting whales and seals as well as tunny. much of this resentment has been focused upon The prosperity of the Hanseatic League was the heavy, voracious nets of the steam trawler,based largely upon the herring catch, and the which nevertheless is steadily displacing thesubsequent transfer of power from the Hanse sailing vessel, especially on the more distanttowns to Holland has been attributed to the grounds. migration of the herring from the Baltic to the Four major methods of preserving fish haveNorth Sea. The wealth of early New England been in use since primitive times -freezing,depended upon the "sacred codfish" of the drying, smoking and salting. A fifth, canning,Grand Banks. The present economic structure was developed during the nineteenth century.of Great Britain, Norway and Japan, to say Pickling, although not uncommon, has nevernothing of smaller countries, would be seriously been as popular as the others. At the presentdisrupted by the loss of their fisheries; and the time canning and freezing (together with coldpeoples of many a stretch of coast line, Labrador, storage) are the favored methods of preservationIceland, Brittany, would be rendered econom- in the United States; smoking and pickling are ically helpless without their dominant source of practised most by the nations of northern Eu-income. rope; drying is employed mainly in the Orient; Fishing boats of all nations still gather at the salting is practically universal. deep sea fisheries to garner from each its par- The requirements of modern marketing haveticular harvest. Coastal waters too have their supplemented or modified these traditional proc-own specialties. Alaska concentrates upon sal- esses in various ways. With the aid of ice formon and upon the government controlled seal packing, fresh fish are shipped "in the round"herd of the Pribilof Islands. The Columbia (just as they come from the water) or dressed. River has become a synonym for salmon. South- Freezing, however accomplished, must be fol-ern California is devoted to tuna, abalone and lowed by glazing, which coats the fish com-sardines; with respect to the last it challenges pletely in a thin film of ice, before the product the traditional supremacy of France. Chesapeake can be safely trusted to cold storage. FilletingBay contributes oysters and crabs; the Gulf of is also increasing in favor. This process, whichMexico, shrimps; Florida, turtles and sponges; markets only two choice pieces of meat, vir- and the Middle Atlantic states, menhaden. New tually free of bones and skin, from each fish,England, less specialized, is still loyal to cod, has the added advantage of permitting the con-mackerel, halibut, lobsters and clams. The New- centration of the inedible parts for manufacture foundland bankers are commercially interested into by- products. Fish foods which can be soldin only a small number of the varieties of fish in package form are being developed in increas- life available. Norway has virtually a monopoly\ ing number, but perhaps the most promisingin the field of antarctic whaling. The North Sea' method is that of dehydration. By this process, yields unbelievable quantities of herring. Caviar which involves destruction of the enzymes andproperly belongs to Russia, seaweed to Japan removal of the water content of fish meat through and coral to Japan and Italy. Japan, however, pressure, vacuum or warm air currents, there iswith a per capita fish consumption which is obtained a highly concentrated food productmany times that of meat requires an annual which may be stored indefinitely. The dried fishcatch which is as rich in variety as it is enormous of the Orient and the salt fish of the Occidentin quantity. 268 Encyclopaedia of the Social Sciences At the present time the value of the world'smost profoundly influenced, perhaps, by the annual harvest of fishery products is in roundever growing and changing deposits made by numbers about one billion dollars. The list rivers upon the submerged continental plateaus. includes a fascinating variety of items -pearls,These shallow waters with their teeming animal buttons, ambergris, coral, tortoise shell, foods,and vegetable life account for the Newfoundland condiments, medicinals, chemicals, jellies, glues,Banks, the North Sea, the Baltic, Iceland, Alaska waxes, oils, fats, cements, stock foods, fertilizers, and the other famous fishing grounds of the leather, furs, lime poultry grit, sponges, seaweednorth Atlantic and Pacific. and whalebone. In weight and variety of annual Plankton would seem to offer one explanation catch the United States leads with the stupen-for fish migrations and fish years. When the dous total of more than three billion poundssupply changes or diminishes either with a regu- made up of more than one hundred species. Thelar seasonal rhythm or at irregular, unpredict- United Kingdom captures annually more thanable intervals the fish migrate to more congenial two billion pounds, two thirds of which are con-feeding grounds. And when fortune happens to tributed by the herring, haddock and cod fish-provide an unusually plentiful harvest of plank- eries. Japan lands five hundred million poundston just at the time when the young fish are most of herring and a like amount of sardines eachdependent upon it, a prosperous fish year may year in addition to scores of other commerciallybe predicted. Such forecasting of fish years has valuable fishes. Norway, concentrating mainlybeen greatly facilitated by the discovery that on herring and cod, produces more than a billionfish scales register each year's growth by a cir- pounds per annum; and Canada markets aboutcular ring, and consequently fish ages can be seven hundred million pounds annually, chieflyread with considerable accuracy. salmon, cod, lobsters, halibut and herring. In Another cause of migrations, spawning, is of the value of their catches Great Britain, Japan,particular importance because of its intimate the United States and France are easily in theconnection with the actual or possible exhaus- lead, with annual totals approximating $ioo,-tion of certain beds and banks. Forces inimical 000,000 in each case. These sums, plus the lessto fish life, especially in rivers, lakes and coast- striking contributions of Spain, Canada, Nor-al waters, are accumulating in many regions, way, Portugal and Russia, comprise from twolargely because of the growth of industrialism, thirds to three fourths of the world total. as in the case of pollution from the waste prod- The industry has within the past generationucts of cities, factories and steamships, or the enlisted science to further its progress. The dis- building of dams, which prevent fish like salmon coveries of oceanography, biology and piscicul-from migrating to their spawning grounds in ture have begun to replace or at least to challenge the upper reaches of rivers. In the deep sea fish- the traditions, prejudices and untrained, halferies, including whaling and sealing, the great true observations which dominated many of themenace is overfishing. In recent years vigorous fisheries. Many pioneering investigations intoconservation measures have been undertaken by the conditions of fish life have been organizedmany countries in an effort to protect or to by the United States Bureau of Fisheries at the restock depleted grounds. Legislation and trea- Woods Hole experimental station and elsewhere ties have provided for closed seasons or have and by similar governmental agencies in otherprohibited fishing entirely in certain waters or countries. The northwest countries of Europehave forbidden the catching of fish below a cooperated in founding the International Coun-specified size, often by outlawing undesirable cil for the Exploration of the Sea. types of fishing gear. Fish hatcheries have been The plentifulness or scarcity of fish dependsentrusted with the task of periodic restocking in large part upon the nature of their foodof designated waters with young fry. In some supply. While many fishes feed upon smallerinstances, notably those of many Chesapeake fishes, the primary source of fish food is to beBay oyster beds, methods have been adopted found in plankton -a collective term for thewhich virtually constitute a process of sowing myriad masses of minute marine growths, both and reaping. vegetable and animal, which float in the shal- The deep sea fisheries, as distinguished from lower waters of the ocean. Plankton, in turn, isriver, lake and coastwise fishing, have played a plentiful or scarce as the result of a combinationrole of great significance in international com- of factors including temperature, salinity, den- mercial, political and scientific development. sity, depth and currents, which are themselves Geography owes much to the fisheries. In their Fisheries 269 constant search for more prolific waters fisher-share system of wage payment. Subject to end- men have been responsible for many feats ofless variety of detail and running the whole discovery and exploration. Mediaeval Norsemengamut from simple partnership to a complicated may well have resorted to the Newfoundlandscheme of guaranteed wages, percentages of the Banks; and the names of many South Sea islands net or gross catch and bonuses minus advances still bear witness to the far flung voyages of theand deductions, the share system has been prac- American whalemen. Sea power too has leanedtically universal. It reached its greatest degree heavily upon fishermen for support. Fishingof elaboration, perhaps, in the "lay" of the fleets have always contributed strategic manAmerican whaling industry, when a "green power to merchant and naval vessels in times ofhand" often shipped for a share of one two- emergency and have often been transformed intohundredth of the net proceeds of the voyage. auxiliary navies. Since a voyage commonly extended over a pe- Because the fisheries happily combined theriod of two to four years and since no wages three virtues of promoting trade, affording em-were paid during this time, it was necessary to ployment for labor and capital and providing amake numerous advances both in cash and in nursery for seamen they have seldom lackedkind. These advances, in addition to interest warm advocates amongst those responsible forcharges and other deductions, drew so heavily national policies. Queen Elizabeth added a sec-upon the man's share, calculated at the end of ond fast day to the week for the express purposethe voyage, that he was not infrequently left of stimulating the industry. Mercantilism lookedwith a purely nominal or even a negative balance. with favor upon fisheries and provided numer- With the advent of the steam trawler and its ous bounties on catches, exports and tonnage.accompanying equipment and heavy capital out- For some centuries many branches of the in- lay, however, the ocean fisheries are falling more dustry, notably in Holland and in England, wereand more into the hands of larger owners who carried on under conditions of quasi -monopoly,pay definite wages, often adding a percentage with the necessary corollaries of a governmentfor the master and incentive bonuses for the brand and regulation or prohibition of import;crew rather than shares. Trade unionism too is and not until the latter half of the nineteenthgaining headway, sometimes at the expense of century did this system finally give way to laissezthe credit, cooperative and philanthropic socie- faire. But even today all countries engaged inties, which were more appropriate, perhaps, to fishing support government departments de-the small scale industry that is gradually passing voted to furthering the interests of the industryaway. But in the coastal, lake and river fisheries by regulation of fishing in territorial waters andwith their less expensive boats and gear the share by commercial services as well as by scientificsystem still continues. research and collection of statistics. Increasing concentration of ownership and The organization of the fishing industry hasenlarged scale of operations are also accompa- varied greatly in different times, but its naturenied by changes in the commercial organization has resulted in certain characteristic forms ofof the industry. Throughout the nineteenth cen- operation. Fishing communities the world overtury it was common for the small share owners exhibit marked similarities. With but few ex-to sell their catches (at auction, by sample, or ceptions they have acquired a reputation foron board) to merchants who in turn delivered stubborn conservatism and provincialism, reli-them to the retailers. Subject to the modifica- gious devotion and superstition, as well as fortions of growing mechanization and integration independence, courage, self- sacrifice and en-and in spite of countless variations in detail this durance. Grimsby, Aberdeen, Gloucester, Bou-triple organization of fisherman, merchant and logne, Vigo, Ijmuiden, Bergen and the otherretailer still prevails. But it is gradually yielding great fishing ports of the world have been knownto competitive pressure from large firms which as well for the poverty of their fishermen. Inseek to bring under one management everything all countries and times low average earningsfrom the ownership and operation of their own have resulted from the loss of boats and of gearfleet of vessels to the final sales in their own and from the economic risks inherent in theretail shops or at least through their chosen vagaries of catches and of prices. agents. This uncertainty as to the outcome of the The interest of national governments in the catch has been partly responsible for the devel-protection of their fishing industries has often opment among fishermen of the characteristicendangered international peace. Fishing rights 270 Encyclopaedia of the Social Sciences played a prominent part in the prolonged seven- fishery craft and equipment, by hastening ex- teenth century struggle between Holland andhaustion of traditional fisheries and so spurring England; the two rivals came to blows repeatedlythe search for new grounds, continue to increase over the North Sea herring catch and the Spits- the need for cooperative international action to bergen whaling grounds. When Grotius pro-preserve and regulate the fisheries of the world. pounded and Holland championed the doctrine ELMO P. HOHMAN of mare liberum, England under James i and See: FOOD SUPPLY; FOOD INDUSTRIES; REFRIGERA- Charles Ireplied with the concept of mare TION; MERCANTILISM; ACTS OF TRADE, BRITISH; MARI- clausum. The question was finally settled so far TIME LAW; INTERNATIONAL WATERWAYS; SEAMEN. as fishermen were concerned by the general (al-Consult: The Fisheries and Fishing Industries of the though not universal) acceptance of three nauti- United States, ed. by G. B. Goode, 7 vols. (Washing- cal miles from low water mark as the limit ofton 1884 -87); Howell, G. C. L., Ocean Research and the Great Fisheries (Oxford 1921); Jenkins, J. T., A territorial jurisdiction. Textbook of Oceanography (London 1921); Tressler, Since the Napoleonic wars fisheries have ledD. K., Marine Products of Commerce (New York the way in the adoption of international con- 1923); Kellogg, J. L., Shell -fish Industries (New York ventions and arbitration to replace force in the 191o); Great Britain, Imperial Economic Committee, settlement of controversies. Rival claims as toReport on Marketing ... of Foodstuffs, 17 vols. (Lon- don 1925 -30) 5th Report, "Fish "; Bourgain, J., Essai fishing rights on the Newfoundland Banks andsur les conditions du travail dans la pêche maritime (Paris as to the corollary right of entry to foreign 1908); Jenkins, J. T., Fishes of the British Isles (Lon- harbors for shelter, repairs and the curing ofdon 1925); Hérubel, M. A., Pêches maritimes d'autre- catch have been settled by the French- Britishfois et d'aujourd'hui (Paris 1911), tr. by B. Miall as Sea Fisheries, Their Treasures and Toilers (London 1912); convention of 1904 and the North Atlantic Coast United States, Bureau of Fisheries, "Fur -Seal Indus- Fisheries Arbitration at The Hague in 191o. try of Pribilof Islands, Alaska" by H. O'Malley, Eco- The latter award closed questions which hadnomic Circular, no. 71 (193o); Calderwood, W. L., been irritants in the field of British -American Salmon and Sea Trout (London 1930); Jenkins, J. T., relations since 1873. The status of Japan's valu- The Herring and the Herring Fisheries (London 1927), and A History of the Whale Fisheries (London 1925); able rights in Siberian waters is still the subjectHohman, E. P., The American Whalemen (New York of dispute. 1928); Melville, H., Moby Dick (NewYork 1851); The pioneering North Sea Fisheries Conven-Elder, J. R., Royal Fishery Companies of the Seven- tion of 1882 established a system of international teenth Century (Glasgow 1912); Radcliffe, W., Fishing from the Earliest Times (2nd ed. London 1926); Dele- police regulation which ended lawlessness on gation to United States from Far Eastern Republic, that important ground. The British -DanishFisheries of the Far Eastern Republic (Washington Convention of 1901 covering the rich Iceland 1922); Dabry de Thiersant, P., La pisciculture et la and Faroe Islands fisheries extended interna- pêche en Chine (Paris 1872); Anson, P. F., Fishing Boats tional police regulation and at the same time and Fisherfolk on the East Coast of Scotland (London 193o); Fulton, T. W., The Sovereignty of the Sea (Ed- applied the principle of territorial waters so as inburgh 1911); Moore, S. A. and H. S., History and to limit Danish jurisdiction and conservationLaw of Fisheries (London 1903); Coulson, H. J. W., measures to the three -mile zone. The Law Relating to Waters, Sea, Tidal, and Inland Preservation of the Pribilof Islands seal herd(4th ed. London 1924); Root, Elihu, Argument before was at the root of the famous Bering Sea con- the North Atlantic Coast Fisheries Arbitration Tribunal at The Hague zgto (Washington 1912); United States, troversy. Although the arbitration award of 1893 Bureau of Fisheries, "Report of International Fisher- denied the right of the United States to enforceies Commission Appointed under Northern Pacific observance by Canadian boats of protective reg- Halibut Treaty" by J. P. Babcock, Document, no. 1073 ulations except within the three -mile limit, Brit- (1930). ain subsequently agreed to respect them. Japan, however, did not. It was only when extinctionFISK, JAMES, JR. (1835 -72), American finan- threatened the whole herd that Japan and Russiacier. In the expanding American financial world joined Britain and the United States in signingof the 186o's Fisk was a genial, rotund, spec- the protective convention of 1911. The Unitedtacular playboy devoid of affected dignity or States -Canadian North Pacific Halibut conven-moral scruples. During the Civil War he per- tions of 1923 and 1930 were a mutual attemptfected a system for running cotton through the to preserve fish life by the establishment of amilitary lines. This did not prevent, him, how- closed season. ever, from subsequently becoming the comic These steps although encouraging are stillopera colonel and financial angel of a regiment inadequate. Improvements in the mechanics ofwith a war record. Learning of the willingness Fisheries-Fiske 271 of certain parties to purchase a steamship lineand still more his skill in reconciling scientific he commended himself to Daniel Drew, thehypothesis with the essentials of established re- would be vendor, by negotiating the transac-ligious faith brought him international recog- tion. Participation in the latter's bear operationsnition. His numerous philosophical writings in Erie quickly made him wealthy. Settlementcame to be strongly marked by an irrepressible of the Vanderbilt -Drew battle over the railroadoptimism, which rejoiced in the assurance of in 1868 left Fisk and his permanent confeder-well regulated, purposeful unfoldings of evolu- ate, Jay Gould, in control. They were nowtionary processes. This teleological tendency is employingthe Drew techniqueeffectively evidenced most clearly in a series of lectures against its originator. Direction of the Erie wasdelivered in London (American Political Ideas useful in other ways. The company took offices Viewed from the Standpoint of Universal History, in Fisk's Grand Opera House in New York atNew York 1885), in which he skilfully deploys a handsome rental. It refused railway facilitieshis broad knowledge of the past in defense of to competitors of a quarry in which he was the thesis that Anglo- American institutions and interested. Its security issues during this periodcivilization represent the ultimate goal foreseen cannot be matched against betterments of thesince the beginning by an all wise Providence. road. Association with Tammany assured Fisk From 1879 to his death Fiske's chief work the cooperation of the judiciary in his manipu-was in American history. His first study, The lations. In 1869 an effort to enlist the supportCritical Period of American History, 1783 -1789 of federal officials in cornering the gold market (Boston 1888, 4th ed. 5889), gave a new empha- proved ineffective and the speculation collapsed.sis to the years between the revolution and the Fisk contributed nothing to the development adoption of the constitution. His studies led him of the American railway plant or system. Anbackward and he gave great attention to the attempt to control the Albany and Susquehanna period of discovery (Discovery of America, 2 and thus to compete for New England traffic,vols., Boston 5892) and to the formative first carried out by a species of physical warfaresettlements, as in The Beginnings of New England among other means, was unsuccessful. Could(Boston 1889, new ed. 1930), Old Virginia and his ready resource and commercial inventive-Her Neighbors (2 vols., Boston 1897) and The ness conceivably have been disciplined, heDutch and Quaker Colonies in America (2 vols., might have done something of lasting value. Boston 1899). Although he was frequently con- THOR HULTGREN cerned with formulating laws of history and establishing criteria for a science of history, his Consult: Stafford, M. P., The Life of James Fisk, Jr. (p. p. New York 1872); Mott, E. H., Between theresearches were those of a literary man rather Ocean and the Lakes (New York 1901); Adams, C. F. than of a scientist. He lived, however, among a and Henry, Chapters of Erie (Boston 1871) ch. i. group of men who were laying the foundation for the present knowledge of American history. FISKE, JOHN (1842- 1901), American philos- Fiske's chief contributions were as a popular opher and historian. Edmund Fiske Green, whowriter and lecturer. His wide culture, his lucid- after 1860 was known by his adopted name ofity of mind and literary style and his unique John Fiske, was connected during most of hispersonality made him perhaps the chief Ameri- lifetime with Harvard University. He graduated can intermediary between the closet scholars from the college in 1863, from the law schooland the intelligent public. While his popularity in 1865 and from 1869 until his death servedwas in part due to his talent for the picturesque, as lecturer,assistant librarian and overseer.he held his audience because among the philos- During his earlier years Fiske's chief interestophers and scientists of the day he most strongly was in philosophy. His first work was a widelyrepresented the prevalent American ideal. He read critical analysis, in philosophical and his-may be placed by considering that from the torical terms, of Buckle's contributions towardstudy of evolution he ran in exactly the opposite a reinterpretation of history. Fiske wasdeeplydirection from his Harvard associate Henry influenced by the writings of Comte, DarwinAdams. and Spencer, and together with Edward You- CARL RUSSELL FISH mans, whose biography he wrote,devoted his Other important works: "Fallacies of Buckle's Theory best efforts to publicizing Spencerian evolu- of Civilization" in National Quarterly Review, vol. iv tionism in America. His capacity for striking(1861) 3o-63; Outlines of Cosmic Philosophy with Criti- presentation both on paper and on the platformcisms on the Positive Philosophy, 4 vols. (Boston 1874); 272 Encyclopaedia of the SocialSciences Darwinism and Other Essays (New York 1879, rev. ed. Morgan, Social Evolutionist (Chicago 1931); Frazer, Boston x907); A Century of Science (Boston 1899); J. G., "Howitt and Fison" in Folk -lore, vol. xx (1909) Through Nature to God (Boston 1899); Civil Govern- 144 -80. ment in the United States (Boston 1890, new ed. 1904); The American Revolution, 2 vols. (New York 1891); The Mississippi Valley in the Civil War (Boston 1900); FITTING, HEINRICH HERMANN (1831- New France and New England (Boston 1902). 1918), German jurist. Fitting passed almost the Consult: Life and Letters, ed. by J. S. Clark (Boston whole of his academic career at Halle. His first 1917); Riley, Woodbridge, "La philosophie française endeavorswere gemeinrechtlich,particularly en Amérique" in Revue philosophique, vol. lxxxviiupon questions of joint obligations. His dog- (1919) 369 -423; Sanders, J. B., in Mississippi Valley Historical Review, vol. xvii (1930 -3i) 264 -77; Beer, matic- historical studies began with his disser- G. L., in Critic, vol. xxxix (Igor) 118 -27; Hart, A. B., tation and ended with his Das Castrense pecu- "Historical Service of John Fiske" in Internationallium in seiner geschichtlichen Entwickelung and Monthly, vol. iv (1901) 558 -69; Schouler, James, in heutigen gemeinrechtlichen Geltung (Halle 1871). Massachusetts Historical Society, Proceedings, and ser., vol. xv (1901 -02) 193 -zoo. With the appearance of the German Code of Civil Procedure in 5877 he partially left his- FISON, LORIMER (i832-19o7), Australiantorical fields and until 1890 devoted his best anthropologist. Fison, born in Barningham, Suf-efforts to procedural studies. Notable results of folk, England, migrated to Australia in 1855.these are Der Reichs- Civilprozess (Berlin 5878, From 1863 to 1884 he served as a missionary in13th ed. 1907) and Das Reichs- Konkursrecht and Fiji. His interest in anthropology was awakeneddas Konkursverfahren (Berlin1881, 3rd ed. by a circular letter which he received in 18691904). Fitting's fame, however, rests upon his from Lewis Henry Morgan soliciting informa-research into the legal history of the early tion on kinship systems. With the collaborationmediaeval period. Throughout the sixties he of A. W. Howitt, whom he interested in theprepared himself for this work by a thorough project, he published a pioneer work on Austra-mastery of the secondary literature. As late as lian social organization, Kamilaroi and Kurnai 1866 he still was a follower of Savigny in deny- (Melbourne 188o), to which Morgan wrote aning any connecting link between Justinian and introduction. the glossatorsof the twelfth century, but In the acrimonious controversy that was rag-Stintzing's continuity theory, the view that ing between McLennan and Morgan as to theduring this period legal science flourished and meaning of kinship terms Fison supported thethat a direct line of legal scholarship might be latter against McLennan's mistaken judgmenttraced back from Irnerius to Justinian, later that the terms were merely terms of address. Hefound in him an eager adherent. During the substantiated Morgan's view that exogamy was aseventies and eighties he searched for direct rule of the gens against McLennan's theory thatreferences to legal science in this period and it was caused by female infanticide, whichpublished his most important results, perhaps, caused a scarcity of women, and Lubbock'sin Juristische Schriften des früheren Mittelalters theory of marriage by capture. Although he en-(Halle 1876) and Die Anfänge der Rechtsschule dorsed Morgan's hypothesis of the origin of thezu Bologna (Berlin 1888). Fitting's later efforts gens as a reformatory movement to prevent thewere attempts to show the extent of the glossa - intermarriage of kin, a view which elicited deri-tors' utilization of earlier material. In editing sive criticisms from McLennan, Lubbock andthe Summa codicis des Irnerius (Berlin 1894) Lang, he refused in spite of Morgan's urging toand Questiones de iuris subtilitatibus des Irnerius contend positively that promiscuity originally(Berlin 1894) he thought he had established existed. He vigorously criticized the degradationthe continuity theory. In reality here, as in his theory, which held that the cultures of primitive conjectured pre -Bolognese sources, he had found men represented lapses from civilization, aonly the typical popularizing works of the glos- theory which was being used by theologians insators. Mommsen, Conrat, Flach and Bremer their attempt to discredit the concepts of theearly pointed out errors in Fitting's studies; evolutionary ethnologists. Fitting did little for the continuity theory. BERNHARD J. STERN Nevertheless, his mastery of the secondary lit- erature and comprehensive knowledge of the Consult: Stern, Bernhard J., "Selections from the Letters of Lorimer Fison and A. W. Howitt to Lewis sources make his works storehouses of infor- Henry Morgan" in American Anthropologist, n.s.,mation. Moreover, as Juncker says, he undoubt- vol. xxxii (193o) 257-79, 419 -53, and Lewis Henry edly quickened interest in the legal history of Fiske-Fitzhugh 273 the early Middle Ages, and his errors were atrangement between landlord and tenant and to least fruitful. "change fields with his neighbour so that he A. ARTHUR SCHILLER may lay his lands together,"keep more livestock and rest and enrich his impoverished cornland. Works: A list of Fitting's works to 1907 are to be found in Mélanges Fitting, 2 vols. (Paris 1907 -08)The Boke of Husbondry is in the form of a vol. i, p. xvii -xx. Farmer's Year, beginning with January. It re- veals not only the conditions and difficulties of Consult: Juncker, J., in Deutsches biographisches Jahr- of a pro- buch, vol. iv (Berlin 1929) p. 298 -303. common field farming but the ideas gressive agriculturist. Few improvements are FITZHERBERT, JOHN (died 1531), Englishsuggested in methods of cultivation or its imple- agriculturist. Fitzherbert is now considered toments. But Fitzherbert gets at the rootof the yard be the father of English agricultural literaturematter when he urges that a full bullock and the author of two books, both publishedinand a full sheepfold make a full stackyard. No without live- 1523, The Boke of Husbondryand The Boke ofman, he says, can thrive by corn Surveyeng and Improuvemétes. The first is a prac- stock, and he who tries to keep stock without tical treatise on English farming, the second ancorn is either "a buyer, a beggar, or aborrower." exposition of the law of manors. The two worksAlthough he did not foresee the extension of farms are the first books writtenand printed in Englishpasture by the break up of common arable on English agriculture.Neither work reveals thehe did anticipate developments which were ren- name of the author, butthe writer of the seconddered possible by the supply of new sources of definitely claims the authorship of the first.Inwinter keep for stock. Shrewd, far seeing and his edition of the Husbondry (London 1534) Ber-humorous, Fitzherbert wrote of what he knew thelet says that it was "compyled ... byMaysterof farming after forty years' experience. Had his Fitzherbarde ... after he had exercysed hus-golden rule been followed, the literature of which bandry with greate experience XL years."Untilhe was the parent might have been less copious. the present century the authorship wasclaimed ERNLE for a famous lawyer, Sir AnthonyFitzherbert Works: The best edition of The Boke of Husbondry is (1470- 1538), author of La graundeabridgement that by W. W. Skeat, English Dialect Society Publica- tions, vol. xxxvii, ser. D., misc. (London 1882), who (London 1514) and of five other legal treatises. the and supports the claim of Sir Anthony Fitzherbert to He and John were respectively the youngest authorship of the work. Norbury, eldest sons of Ralph Fitzherbert of Consult: Fitzherbert, Reginald H. C., "The Author- Derbyshire. John Fitzherbert had for four yearsship of the Book of Husbandry and the Book of Sur- studied at the Inns of Court before hereturned veying" in English Historical Review, vol. xii (1897) to Derbyshire to manage the estatewhich he in- 225 -36; Gay, Edwin F., "The Authorshipof the Book herited on his father's death in 1483. Hethus of Husbandry and the Book of Surveying" in Quar- the terly Journal of Economics, vol. xviii (1903 -04) 588 -93; possessed the legal knowledge necessary for Ernle, Lord (Prothero, R. E.), English Farming, Past Boke of Surveyeng and by 1523 hadgained ex-and Present (4th ed. London 1927) p. 9o-97;Mc- actly his forty years' experience ofpractical Donald, Donald, Agricultural Writers from Sir Walter farming. Berthelet, moreover, impliesthat in of Henley to Arthur Young, 1200 -1800 (London5908) p. 13 -23. 1534 the author wasdead. This was true of John but not of Anthony, who lived until1538. It seems more reasonable to assumethat John hadFITZHUGH, GEORGE (1807 -81), American profes- learned enough law to write on surveyingthansocial and political theorist. A lawyer by gained thesion, Fitzhugh practised at the bar duringthe that a busy lawyer like Anthony had period he was practical experience to write on husbandry.Ongreater part of his life. For a short dur- these grounds the British Museumcataloguealso a judge in the local Virginia courts and ing Buchanan's administration he served inthe now attributes theauthorship of both works to federal attorney general's department. His real John Fitzherbert. The two books appeared at the beginningofimportance is to be found, however, in his writ- outstand- the period of transition from commonfield farm-ings, which reveal him as probably the ing theorist among the surprisingly large group ing to individual occupation. Fitzherbert,in the language of the day, strongly advocates"sev-of southerners who in the two decades preceding he advisesthe Civil War attempted to justify theexisting eral" as opposed to "champion" land; and of the legal facilitiesorder in the South in the light of social every man to take advantage South; for withdrawal from the commonfarm by ar- political philosophy. In Sociology for the 274 Encyclopaedia of the Social Sciences or, the Failure of Free Society (Richmond 1854)(4 vols., Paris 1886- 1917). This work is especially and Cannibals All! or, Slaves without Mastersimportant for the study of the rise of the great (Richmond 1857) as well as in numerous ar-local states of France and their share in the ticles in DeBow's Review and other periodicalsdevelopment of the French nationality. Flach's he defended the institution and principle ofmain thesis is that early France was not a feudal slavery in such fashion as to carry the war intostate and that the royal power was but partially the enemy's country. Identifying political econ- a development of territorial feudalism. The omy with the doctrine of laissez faire he at- relationship of the princes to the early Capetian tacked always vigorously and often extrava-monarchs was one not of feudal vassalage but gantly the economists and their concept of aof personal allegiance. Although this work was free society built on the foundations of liberty,influential in modifying historical opinion on freedom of contract and freedom of competi-many important issues, its conclusions cannot tion. He asserted that not liberty but a strongbe accepted without reserve. Flach's ardent benevolent government is the proper functionFrench patriotism is revealed in his refutation of the political order. The experience of historyof the thesis that attributed the regeneration of and especially of southern history shows thatGaul to the Germanic invasions. only a few men succeed in independent careers. CH. PFISTER The only workable organization of society there- Consult: André, Paul, in Institut de France, Académie fore is one which provides a method by which des Sciences Morales et Politiques, Séances et travaux the unsuccessful will be cared for and protected... Compte rendu, n.s.,vol.lxxxiii,pt.i(5923) in accordance with their needs rather than their 573 -200; Bémont, C., in Revue historique, vol. cxxxiii (592o) 585 -88. For a highly critical view of Flach's capital. The manifold evils of a free society,work see 1Ialphen, L., "La royauté française au me which have aroused the increasing protests ofsiècle" in Revue historique, vol. lxxxv (5904) 271 -85. the socialists, can be eliminated only by a return to slavery, "the oldest, the best and the mostFLACIUS, MATTHIAS. See MAGDEBURG common form of socialism." As elements in a CENTURIATORS. practical program for improving conditions in the South Fitzhugh advocated an extension ofFLAX, HEMP AND JUTE. These three fibers public education, diversification of industrybelong to the group of plant stalk, or bast, fibers. and a protective tariff as stimuli to economicIn contrast with cotton, which is a seed fiber, independence. and abacá and henequen, which are leaf fibers, B. F. WRIGHT, JR.they are found in the skin of the plant stem. Consult: Wright, B. F., Jr., "George Fitzhugh on the They are removed from the woody core of the Failure of Liberty" in Southwestern Political andstem and from the surrounding gummy pulp by Social Science Quarterly, vol. vi (1925 -26) 219 -41. retting, or submersion in water, a difficult and disagreeable process that has been instrumental FIVE -YEAR PLAN, RUSSIAN. See GOSPLAN.in limiting their production to regions of abun- dant and cheap labor. Flax is used in the manu- FLACH, JACQUES (1846 -1919), French his-facture of linen, cloth of jute (gunny cloth) torian. Flach was born in Strasbourg. There hemakes the bagging and the baling for the grain studied law and practised; but when Alsaceand cotton crops of the world, and hemp is a was separated from France after the Franco-material for the manufacture of cordage. Prussian War, he left his native land and settled Flax and hemp were probably among the first in Paris, where he attended the École desvegetable fibers to be used by man. Certainly Chartes and the École des Hautes Études. Hethey were the most widely distributed in prehis- taught comparative law at the Collège de Francetoric and early historic times, for they are much and comparative civil law in the École desless exacting in their climatic demands than the Sciences Politiques. He made studies of the other fibers. Flax is grown from the cold north- history of the agrarian regime in Ireland fromern plains of Russia to the valley of the Nile, and its inception until the present, the code ofhemp throughout the middle latitudes. The pre- Hammurabi, the political and private institu-dominant position of flax and hemp continued tions of Hungary, those of Russia and Japandown to the opening of the nineteenth century, and the primitive institutions of the tribes ofwhen the invention of the cotton gin greatly America, Africa and Oceania. His most impor- cheapened the production of cotton; the flax tant work is Les origines de l'ancienne Franceserved as the fiber for fine clothing and hemp, Fitzhugh-Flax, Hemp and Jute 275 strong and dependable, outfitted sailing vesselstheir theaters and covered their streets and pub- and entered into more ordinary cloth. Jute de-lic places. It was even used for the making of mands a tropical climate and until recently itstable linen. use was limited to India. Flax growing in the British Isles probably Flax was used by the lake dwellers of the earli-dates back to the Roman occupation. Itis est stone age, and in the ruins of some of their thought to have been introduced into Ireland by habitations in Switzerland it has been found inthe Norman settlers in the thirteenth century every stage of preparation from the straw toand there it became the basis of a hand industry, cloth of good quality. Of the people of historicwhich did not become important, however, until times the Egyptians were probably the first tothe advent of the Huguenot refugees in 1685 produce a linen cloth of fine texture. There is nowith the spinning wheel and other improve- record of the earliest introduction of flax into ments in manufacture making possible a product Egypt, but the discoveries at Badari made inmuch superior to the earlier coarse and narrow 1924 -25 indicate that it was cultivated by thecloth. Hemp was also grown in the British Isles, Badarins, whose period has been placed by Sirespecially in the lowlands of the east coast of Flinders Petrie at between 1o,000 and 13,000England, in Lincolnshire, Suffolk and Holder - B.c. and by other authorities at 5000 B.c. Theseness and in Ireland. It was used in the ropewalks people wore clothing of goat skins, but some ofof the coastal cities, in which were made the rope their garments were of linen. Linen was used byand rigging for British naval and merchant ves- the ancient Egyptians both for clothing and forsels and for the fishing industry. The cultivation the wrappings of the dead. In the biography ofof hemp in the British Isles has disappeared. Methen, who belonged in the third dynasty The British government early began to en- (2980 -2900 B.c.), and perhaps the earliest biog- courage the growing of flax. In 1532 an act of raphy extant, mention is made of his appointment Parliament compelled all persons holding tillage as overseer of all flax of the king. In the descrip-land to sow at least one rood (a quarter of an tion of the preparation of the flax fiber in Egyptacre) with flax for every sixty acres occupied. given by Pliny the process is almost identicalThirty years later a penalty of £5 was imposed with that which prevails today. Flax continuedon persons not growing at least one acre of flax to be an important crop in Egypt for many cen-for every sixty acres of land cultivated. In 1691 turies and until the fourteenth century Egyptthe tithe on flax was reduced to four shillings per was the leading contributor of flax to world trade.acre and in 1712 a bounty of one penny per ell Hemp seems to have originated somewhere in(a length of about fourty -five inches) was given western or central Asia and wild hemp is still to on all exported sailcloth of British manufacture. be found growing along the lower Ural and the These measures were intended more for the en- Volga rivers, near the Caspian Sea and in Per-couragement of manufacturing industries in the sia, the Altai mountains and northern and west- British Isles and for insuring necessary supplies ern China. At a very early period the cultivation for British ships than they were for any expan- of the plant spread eastward to China and Japan, sion of agriculture, since bounties were also paid southward to India and westward to the Medi-on the importation of flax and hemp from the terranean lands. As early as the twenty- seventhcolonies. During the mercantilist period of the century B.C. hemp was cultivated in China formiddle eighteenth century there was consider- fiber, and garments of hemp clothed the greatable agitation for the encouragement of the pro- majority of the people. Before the introductionduction of flax and hemp, among other raw ma- of cotton into Japan in the ninth century A.D.terials, in the British colonies. hemp was the cloth of the poorer classes. Herod - Both flax and hemp were of some importance otus states that hemp was cultivated in Thrace in the American colonies. They were planted in and that it was used not only for ropes but forthe Plymouth colony and in Virginia and practi- fine cloth. Reference is also made to its use bycally every farm had a field devoted to their cul- Babylonians, Persians, Egyptians, Hebrews and tivation. The fiber was retted, scutched, hackled Chaldeans. An early important use was for sailsand spun by the members of the farmer's house- and ropes of ships, the word canvas being de-hold. By 163o considerable quantities of flax rived from the Arabic name for hemp. The Ro-were raised in Massachusetts. As early as 1662 a mans apparently consumed much hemp. It waslaw was enacted in Virginia calling upon each used in their ships; their laws and annals werepoll district to raise annually and manufacture sometimes written on hempen cloth; it adornedsix pounds of linen thread. Before sheep had 276 Encyclopaedia of the Social Sciences been introduced in any number into the coloniesagriculture was in a serious position and al- and before the cultivation of cotton had becomethough it was probably true that a slightly greater important, flax and hemp fibers were used byreturn might be obtained from flax than from the settlers for their clothing. A French treatisewheat, the difference was not sufficient to com- written in the middle of the eighteenth centurypensate for the exacting labor that was de- described hemp as the most important of all the manded in preparing the fiber for market. The products of the new settlements save bread corn,straw had first to be submerged in water to free since it provided one half of the clothing for thethe fiber from the gummy pulp that held it to- winter season and practically all of it for thegether and the fermenting putrid bundles had to summer. Hemp was used for the rigging ofbe spread upon the ground to dry before break- ships. It was important in the New Englanding and separating out the woody core. In addi- fishing industry and the famous clipper ships oftion, the flax plant is exacting in its care, is some- the first half of the nineteenth century were out-what sensitive to climatic conditions and in Ire- fitted with ropes, cables, shrouds and sails ofland is an uncertain crop because of the exces- hemp fiber. The wagons that crossed the western sive rainfall. With the final abolition of the corn plains before 186o carried covers of hemp cloth.laws in 1856 the attempts to stimulate artificially For a time hemp was cultivated in the blue grassthe cultivation of agricultural products in the region of Kentucky to supply the boat buildingBritish Isles came to an end. industry of the Ohio River. But the two fibers Following the Treaty of Paris of the same were not suited to a region of scanty populationyear and the conclusion of peace with Russia and abundant resources. Their preparation waslarge quantities of cheap Russian fiber came into too exacting. As long as each farm and each smallthe British market. Since that time Ireland has district was forced to be self -sufficient, the culti- never been able to meet the competition of Rus- vation of hemp and flax could continue, but withsia, for the Russian flax can be delivered in Ire- the opening up of trade it was impossible toland more cheaply than the Irish farmer can pro- compete with lands of denser population andduce it. There was a brief revival of the industry cheaper labor. Imported hemp and flax productsbetween 186o and 1870, a result mainly of the and cotton fiber supplanted the locally producedshortage of cotton during the American Civil supplies and the land was turned to other cropsWar. In 187o the area in flax had increased to that were more profitable and more pleasant to24,000 acres, but bad seasons about 1875 and the cultivate. Only a small amount of hemp, rettedhigh prices of wheat caused many farmers to by the dew process, is now produced in Ken-turn from the cultivation of flax. There has been tucky, Illinois and Wisconsin. Between 3,000;some recovery in recent years and between 1909 000 and 4,000,000 acres of land in the Unitedand 1914 the area averaged 53,000 acres, but in States are in flax, but the plant is cultivated not193o it had declined to about 32,000 acres, an for the fiber but for the seed. Indeed, at thearea of no importance in comparison with the present time a far greater quantity of flax ismore than 4,000,000 acres in flax in Russia. planted for seed than for fiber. In 1924 the world Russia now occupies the dominant position in acreage of flax was about 19,000,000 acres, offlax production, contributing some 6o percent of which I,000,000 acres were harvested for fiber.the world's total. An additional 18 percent comes The largest producers of flaxseed, or linseed, oilfrom former Russian territory now included in are Argentina, Russia and the United States (seePoland and the new states of the Baltic. This PAINTS AND VARNISHES). region of the northwestern part of the European The efforts to encourage the production ofplain has the advantage of very cheap labor, flax in the British Isles and in the colonies con-since the population is dense in relation to the tinued into the nineteenth century. In 1806 aagricultural possibilities, which are limited by a bounty was offered for the importation of theglacial topography, poor drainage and a sandy fiber from the British possessions and every ef-soil. In this region the straw is retted without fort was made to increase the output of the fibersubmersion by spreading it out thinly on the at home. In 1851 a very strong movement wasground, the so- called dew process. The resulting under way to encourage an expansion of flax cul-fiber is not of the best quality but when mixed tivation in Ireland. It was supported by thewith better grades it makes a satisfactory cloth. press, the Royal Agricultural Society of EnglandAlong the river Lys in Belgium, especially at and the Board of Trade, but the factors unfavor-Courtrai, a flax fiber famous for its quality is able to cultivation proved too strong. Althoughproduced. The waters of the river possess some Flax, Hemp and Jute 277 property that gives to the flax a remarkable fine-of the hand looms are in use. In 1841 Ireland ness and a spinning quality that is unequaled.had 250,000 flax spindles. The number has now Japan is the only country outside of Europe thatincreased to approximately I ,000,000. Linen is is important in the cultivation of flax for fiber. manufactured also in France, Belgium, Ger- many, Czechoslovakia, Russia and Japan, but TABLE I Belfast is the center both for quantity and qual- WORLD FLAX FIBER PRODUCTION ity. The British Isles now have about one third (In moo quintals) of the world's flax spindles and most of them are ANNUAL ANNUAL located in northern Ireland. About two thirds of COUNTRY AVERAGE AVERAGE 1909 -13 1925 -29 the Irish output of linen is exported. Belgium 235$ 263 Undoubtedly the greatest blow to the flax and France 184 ** 237 linen industry occurred in 1793 with the inven- Ireland* 97 72 Latvia 302úf 22I tion of Eli Whitney's cotton gin. The new ma- Lithuaniaf 241$ $ 364 chine greatly reduced the cost of separating the Poland 420$$ 56o cotton seed from the fiber. Flax and hemp, pre- U. S. S. R. 5130$$ 3495 * ** viously the vegetable fibers of major importance, Japan 23 3o were quickly supplanted by the cheaper cotton, Total Europe (including Asiatic which became the staple clothing material of the Russia) 7336 5726 world. An invention that would replace with a Total Asia 25 37 Total Africa 38 II machine process the present costly and unpleas- World total 7410 5755 ant hand retting of flax would bring about a rev- * Combined figures for northern Ireland and Irish Free State; olution in the linen industry as far reaching and in 1929 the former produced 70,249 quintals, the latter 12,000 quintals. complete as that produced in cotton manufacture t Flax and hemp, of which the area under hemp represented 5 to 7 percent during the period 1926 to 1929. by the cotton gin. 1911 -13. Many disagreeable features are found in the ** Figures for territory included within former boundaries. tt Not inclusive ofthewholeho country. manufacturing processes as well as in the retting #$ Figures for the territoryincluded within the present bound. aries. of the flax. In the mill the roughing, hackling * ** Figures for years 1925 to 1929 have been revised and refer only to individual peasant holdings. In 1929 production for and sorting of the flax preparatory to spinning such holdings was 4,145,000 quintals as compared with 127,000 quintals from collective holdings and 5000 quintals from state give off a fine dust which has an injurious effect farms. Source: Adapted from International Institute of Agriculture, upon the lungs of the workers. At one time Brit- International Yearbook of Agricultural Statistics, 1928 -29, 1929 - ish recruiting officers were forbidden to enlist 3o. for the army men who had worked in flax mills. The manufacture of linen as a hand industryFlax because of the smooth, straight and ine- was important in Ireland from themiddle of thelastic character of the fiber cannot be spun on seventeenth century. In 172o, 240,000 yards ofmules, and ring frames have been discarded be- linen cloth were exported; in 1800, 25,000,000cause of the dirt and water. The flyer system is yards; and in 1821, 44,000,000 yards, all spunused, and for fine yarns the fiber is passed and woven by hand. About the same time thatthrough troughs of heated water just before it the revolutionary inventions were taking placereaches the spindles. In the spinning room of a in the cotton industry, similar developmentsflax mill the air is very humid and water is were occurring in the manufacture of linen.Inthrown from the spindles upon the floor and 1787 flax spinning machinery was invented byupon the workers. In the British Isles and in John Kendrew and Thomas Porthouse at Dar-France and Belgium and some other linen man- lington, England, and spinning frames drivenufacturing countries stringent laws have been first by water power and later by steam powerenacted for dust removal and for protecting the were adopted in England and Scotland. Theseworkers from water. early mills were operated on a dry spinning Hemp as a fiber for the weaving of cloth was principle suitable only for the coarser yarns. In supplanted by cotton soon after the invention of 1828, three years after the perfection of the wetthe gin, not only because the cotton can be pre- spinning process for superior yarns, the firstpared more easily and more cheaply but also be- power spinning mill was erected in Ireland atcause it can be spun more easily and with less Belfast. The weaving continued to be done onwaste and produces a smoother and more uni- hand looms until 185o, when eighty -eight powerform yarn. For a time hemp was important in looms began operation. They displaced the hand the making of rope and cordage, but it is now looms slowly and even at the present time manybeing replaced in marine uses by abacá, or 278 Encyclopaedia of the Social Sciences Manila hemp, and in uses such as binder twine,grass, or ramie, is a most important textile plant where great strength is not essential, by sisalof China. It produces one of the strongest and hemp and henequen. Abacá has the advantage offinest fibers known. The fiber is prepared in being lighter than the real hemp. It will float in China almost entirely by hand. A machine or water and it is resistant to injury from salt waterchemical process of preparation would un- without being tarred. Hemp fiber is still used in doubtedly make China grass one of the leading the twines with which the ends of the largertextile fibers of the world. ropes are bound. A small amount is made into Jute,first brought to Europe and North cloth in China, Korea and India. Some isAmerica from India about a century ago, is now raised in Japan for local use in fish nets and mos- used more than all other vegetable fibers com- quito netting. The important world producers ofbined, excluding cotton. It is the cheapest, the the fiber are Russia and Italy, the two countriesweakest, the most perishable, the least lustrous contributing 75 percent of the world output.and the most easily spun of any of the bast The hemp fiber is used in the United Statesfibers. It has replaced hemp in many temporary mainly for the manufacture of twine for a num-uses, such as covering for cotton bales and bags ber of specialized purposes where strength isfor grain, coffee and sugar, and its great use has necessary. come with the expansion of world trade in those TABLE II products. Some jute is grown in Indo- China, Japan, WORLD HEMP FIBER PRODUCTION (In moo quintals) Formosa, Siam and southern China, but about ANNUAL ANNUAL 99 percent of the world's jute crop is grown in COUNTRY AVERAGE AVERAGE India -in Bengal, Assam and Cooch Behar and 1909-13 1925 -29 France 133 48 a variety of jute known as bimlipatam in Madras. Hungary IIO *f 85 The average world production of jute fiber for Italy 835 I002 the years from 1909 to 1913 was 15,316,000 Jugoslavia 74X 288 quintals, of which 15,280,624 quintals were Poland 205* 193 Rumania 20 ** 167 raised in British India; for the year 1929 the Spain II2ff 72 world total was 17,680,000 quintals and the pro- U. S. S. R. 3290` 3299 duction of India 17,630,233 quintals. Efforts Japan 94 87 have been made to grow jute in southern United Korea 75 208 States, Egypt and other parts of Africa, but the Total Europe (including Asiatic yields have been stunted and the cost of extract- Russia) 5322 5252 ing the fiber is prohibitive. The peculiar al- Total Asia 169 295 World total 5496 5573 luvial soil and warm climate from upper Orissa * Figures for territory included within present boundaries. through eastern and northern Bengal seem to pro- t 1911 to 1915. Former kingdom of Serbia; average 1909 to 191r. vide the best conditions for raising jute, and the ** Figures for territory included within the former boundaries. tt 1915 to 1918. dense population of this area provides the labor Source: Adapted from International Institute of Agriculture, necessary for the preparation of the fiber for InternationalYearbookofAgriculturalStatistics,1928 -29, 1929-30. manufacture. No mechanical device has been perfected for releasing the fiber from the gummy Abacá, sisal, henequen, ixtle, New Zealandpart of the husk after it has been steeped, or hemp, are all fibers found in the leaves of plantsretted, in water. The Bengali ryot performs this and must be removed by stripping and scrap-operation by hand, working waist deep in water ing or decortication. With the exception of someto accomplish it. The dried fiber is boated or recent attempts to introduce machinery in thecarted to the nearest rural market. There it is preparation of the abacá in the Philippine Islandssold to local middlemen, who dispose of it to all of these fibers are prepared by hand. Themerchants in Calcutta. The mills rarely pur- world's supply of abacá comes from the Philip-chase their raw jute direct from the producer. In pine Islands, although a small quantity is alsoCalcutta the jute is sorted and graded for domes- produced in Java. Henequen is the product oftic mill use and for export. Under such methods the dry limestone peninsula of Yucatan and New of merchandising, where the units of production Zealand hemp is grown in New Zealand, theand distribution are so small, the major problem Azores, St. Helena and Scotland. Sisal comesof the trade is the practise of watering the jute from Java, East Africa and the Bahamas, andfor added weight. The natural percentage of ixtle from the central basins of Mexico. Chinamoisture in sound jute is about 8 percent, but Flax, Hemp and Jute-Fleetwood 279 the dishonest ryot or petty middleman can add by R. O. Herzog, Technologie der Textilfasern, vol. v, to his wealth by watering his stock of fiber, for pt. iii (Berlin 193o); International Labour Office, En- detection is very difficult. quête sur la production; rapport général, 5 vols. (Paris 1923 -25) vol. ii, pt. i, p. 531-78; Gilroy, Clinton G., Jute spinning was extensively practised in The History of Silk, Cotton, Linen, Wool, and other India centuries before the British occupation. ItFibrous Substances (New York 1845); United States, was a hand industry and a most important do- Bureau of Foreign and Domestic Commerce, "Inter- mestic occupation for the populous eastern dis-national Trade in the Minor Fibers" by Leslie A. Wheeler, Trade Information Bulletin, no. 289 (1924), tricts of lower Bengal. The yarn was used forand "Linen, Jute and Hemp Industriesinthe cordage and lines, bedding, garments for theUnited Kingdom" by W. A. Graham Clark, Special poor, matting and screens. Agent Series, no. 74 (1913); New Zealand, Depart- Jute as a world fiber became important be-ment of Agriculture,Industries and Commerce, "Fibres and Fibre- Production," Bulletin, n.s., no. xlv tween 1835 and 1838 through the perfection of (Wellington 1914); Barker, Walter S., "Flax: the Fiber machinery for softening the fiber and various and Seed" in Quarterly Journal of Economics, vol. xxxi other mechanical improvements for working it (1916 -17) 500 -29; Sessa, Ernesto, Della canapa e del up. The Dundee flax spinners were responsible lino in Italia, Federazione Nazionale Fascista delle for introducing the fiber to world trade andIndustrie Tessili Varie, Publication no. z (Milan 193o); Germany, Reichsamt des Innern, "Flachsbau held a monopoly in jute manufacture that wasund Flachsindustrie in Holland, Belgien und Frank - broken only by the introduction of jute machin-reich" by J. Frost- Brüffel, Berichte über Landwirt- ery into India in 1855 and the growth of theschaft, no. ix (Berlin 1909); Meyer, Percy, Der lett- large scale mill industry there. By 1894 the In- ländische Flachshandel (Riga 1924); Gill, Conrad, The Rise of the Irish Linen Industry (Oxford 1925); Cut- dian industry was a strong competitor for world ting, Malcolm C., "American Linen of Home -Grown markets, and at the present time Calcutta farFlax" in Country Gentleman, vol. xcv (193o) 16 -17, surpasses Dundee in quantity of output. With 138 -40; Börger, Hans, Die Hanfspinnerei und Seiler - competition the Dundee manufacturers have warenfabrikation in Deutschland, Wirtschafts- und turned to specialties, to dyed and bleached juteVerwaltungsstudien, vol. lxxiii (Leipsic 1926); Bon - sack, Friedrich, Die Versorgung der Welt mit Jute unter and its use in rugs, towels, upholstery and as a besondererBerücksichtigungderWirtschaftsgeogra - foundation for linoleums. Germany is also anphischen Grundlagen (Leipsic 1929); Wallace, D. R., important consumer of raw jute, rivaling the The Romance of Jute (London 1928). United Kingdom in quantity of imports; but the bulk of jute manufacturing is now done alongFLEETWOOD , WILLIAM (1656 -1723), Eng- the Hooghly River near Calcutta. India has overlish divine, antiquary and publicist. Educated at 1,000,000 jute spindles and more than 50,000Cambridge, Fleetwood entered the church and looms for hessian and sacking. became bishop of Ely. The rise of prices engaged In spite of its success the Indian mill industry his attention, as it did that of other clergymen, has suffered many setbacks, due very largely tobecause of the losses suffered from the com- excessively rapid growth. During the Worldpounding of tithes. In A Sermon against Clip- War it operated at full capacity, but since thatping (London 1694) he expressed his belief that period it has been almost continuously underhalf a crown in 1248 was "equal to Twelve or some form of voluntary agreement for produc- Fourteen Shillings now." After more careful tion curtailment. Faulty forecasting of the juteexamination he published Chroniconpreciosum crop by government officials has been another(London 1707; new ed. 1745, with an appendix important cause of difficulty for the industry.by another hand), in which he reviewed the In 1921 the forecast underestimated the crop history of English coinage, and collected prices about 8o percent, and in 1923 by 27 percent. of corn, meat, drink and cloth, along with wages This has resulted in famine prices for raw jute inand stipends, ranging over six centuries. His the early part of the season with heavy losses to purpose was to inquire whether one possessing the mills when the actual crop becomes ap- six pounds per annum could conscientiously ac- parent. cept a fellowship restricted to possessors of less JOHN E. ORCHARD than five pounds by a statute made about 1450, "upon presumption that vi l., now is not worth See: TEXTILE INDUSTRY; COTTON; PLANTATION; IRISH QUESTION; INDIAN QUESTION; DRESS. what v 1. was" then. He decided affirmatively, not so much because five pounds then contained Consult: Der Flachs, ed. by R. O. Herzog, Technologie der Textilfasern, vol. v, pt. i (Berlin 193o); Hanf and 40 ounces of silver and now only 193, as be- Hartfasern, ed. by R. O. Herzog, Technologie der cause the prices of each of the commodities in- Textilfasern, vol. v, pt. ii (Berlin 1927); Die Jute, ed. vestigated had risen about sixfold, on the ground 28o Encyclopaedia of the Social Sciences that "the value of a pound is truly a pound."vancing various projects which he had at heart. This was, perhaps, the first attempt to measureThe chief of these was the government owned variation in the purchasing power of money byPacific cable from Canada to Australia; he per- the variations of prices. He averaged the pricessuaded the dominion and imperial governments of individual articles over twenty years in eachto cooperate in the project as a means of pro- of the two periods compared; and getting themoting imperial unity. He was an imperialist, prices of all to vary nearly alike, he escaped thewas prominently identified with the Imperial problems of averaging the variations and ofFederation League and participated as one of weighting the quantities, which trouble thethe Canadian representatives in the first two makers of index numbers today. These con-colonial conferences of 1887 and 1894. Another siderations did not come up until some fiftyachievement with which his name is promi- years later. nently associated is the adoption of "standard C. M. WALSHtime," after an intensive struggle against local Consult: Biographical preface by William Powell to his and national prejudices. Fleming is notable as edition of Fleetwood's collected works (London 1838); an engineer who spent the greater part of his Gras, N. S. B., "The Rise and Development of Eco- life in official or voluntary public service and nomic History" in Economic History Review, vol. i (1927 -28) 12 -34; Clapham, J. H., The Study ofwho combined vision with practical persistence Economic History (Cambridge, Eng. 5929) p. II-13. in converting dreams into realities. FRANK H. UNDERHILL FLEMING, SIR SANDFORD (1827 -1915),Consult: Burpee, L. J., Sandford Fleming, Empire Canadian engineer and publicist. Fleming, who Builder (London 1915); Grant, G. M., Ocean to Ocean was born in Scotland and came to Canada as a(Toronto 1873); Fleming, S., The Intercolonial, an youth, played a notable part in the development Historical Sketch: 1832 -1876 (Montreal 1876). of lines of communication in his adopted coun- try. In 1852 he joined the staff and soon becameFLEURY, ANDRE HERCULE DE (1653- chief engineer of the Northern Railway, then 1743), French cardinal and statesman. Through under construction from Toronto to Colling-the patronage of Pietro Bonzi, a clever and influ- wood and one of the first railway lines to beential Florentine diplomat in the service of the built in Canada. In 1863 he was chosen by theBourbons, Fleury received an appointment in three provincial governments of Canada, New1679, not many years after his graduation from Brunswick and Nova Scotia and by the imperialthe Jesuit Collège de Clermont, as almoner to government to conduct the surveys for the linethe queen and upon her death in 1683 was given which was projected to unite the British Norththe same office under Louis xiv. He profited by American colonies. He remained in charge ofobserving his patron and rapidly developed into this work, the Intercolonial Railway, until thea genial man of the world, well received inall line was completed in 1876; in the course ofcircles and discreetly paving his way to fortune construction he vigorously opposed the awardby pleasing every one and offending no one. of extravagant contracts to political favorites. Because Louis believed he detected, in spite of Fleming recognized the importance of rail-Fleury's probity, a deficiency of ecclesiastical ways in the economic and political developmenttemperament, it was not until 1698 that he was of Canada, and he was one of the earliest andgiven a bishopric, that of Fréjus in Provence. most active advocates of a transcontinental rail-The will of Louis xlv, appointing him preceptor way. When the new dominion government de-to the dauphin, gave him opportunity to estab- cided upon construction of the Canadian Pacificlish a lasting influence over Louis xv. For a while Railway, Fleming in 1871 was appointed chiefafter the conclusion of Louis' minority in 1723 engineer. It was under his direction that thehe thought it prudent to dissimulate his power almost unknown country north of Lake Supe-behind the shadow of the duke of Bourbon. But rior, across the prairies and through the moun-in 1726 he secured the dismissal of the bungling tains of British Columbia was surveyed for a duke and at the age of seventy -three was himself practicable line of railway. After the surveysinvested with full control of the kingdom. Al- were complete the government turned over thethough he cleverly declined the title of first enterprise to a private syndicate and Flemingminister and his elevation to the cardinalate was retired. the only official sign of his new position, the After 188o Fleming took little part in activeunwavering confidence of the king, sustained in engineering work and devoted himself to ad-the face of incessant court intrigue, made his Fleetwood-Flint 281 counsel prevail in France until its single costlyconcerned with theistic sociology he has left The defeat in the last year of his life. Philosophy of History in Europe, France and Most historianssinceSaint -Simon haveGermany (Edinburgh 1874), of which the part agreed with Fleury's political adversaries inon France was subsequently expanded into A censuring the peace policy which he foundedHistory of the Philosophy of History (Edinburgh upon the alliance with Robert Walpole as senile1893); Vico (Edinburgh 1884); Socialism (Lon- and unworthy of the youthful heir of a greatdon 1894, znd ed. 1908). king. Voltaire, however, did him justice. After Preoccupation with the work of his chair and the long wars by which Louis xiv had exhaustedeven more an extreme conscientiousness about France the years of peace under Fleury enabledcommitting himself to print before he had ex- her to balance her budgets, to achieve commer-amined all material available have left his work cial prosperity by developing her Indian andon the philosophy of history a fragment. Flint Canadian colonies and thus to recover herdeliberately refuses to define "philosophy of strength. His policy toward the Jansenists, onehistory." He starts with "a notion quite general, of bloodless persecution, superficially timorouseven although vague," that human affairs have but in reality manifesting the unobtrusive con-not been abandoned to caprice, to chaos, but sistency characteristic of Fleury, was justified by exhibit somehow the reign of law. But he warns the same fundamental concern for public tran-against the error of a "too definite or rather too quility and order as a condition of internalnarrow view of law and order; one drawn from integration. Drawn into the War of the Polishphysical science alone," and insists that moral Succession he not only succeeded, to a certainlaws cannot be brought under physical laws. In extent, in confining its course but extracted one sense he finds human curiosity from the very from the Treaty of Vienna (1738) at its close the first concerned with the problem of the develop- completion of national unification through ament of the human race. But in a stricter sense clause sanctioning the reversion to France of the the philosophy of history begins with the duchy of Lorraine. In order to defend the com-Renaissance -perhaps with Bodin -since this merce and colonies of France and Spain afterphilosophy involves three primary notions not English ambitions had become emancipatedadequately worked out until that period. They from Walpole's pacific influence Fleury was pre- are the notion of development or evolution, that paring to make an alliance with Austria whenof human unity and that of liberty. He postpones French tradition, more powerful than his pru-the full explanation of his own philosophy of dence, swept Louis xv in 1741 into the War ofhistory as hinted at in these three notions for the Austrian Succession. So good a judge aslater and unfortunately unwritten volumes. Frederick II, "the young prince who had started Flint concerns himself in his published work not the dance, leaving it to the king of France to payonly with professional philosophers of history the piper," thus vindicated Fleury's position:like Hegel and Cousin but also with practising "He raised up France again and healed her. Hishistorians like Voltaire and Michelet. He is no countrymen owe their success to his skillfulmere summarizer but a critic. His critical canons negotiations." are substantially those of traditional British em- EMILE BOURGEOIS piricism, with which his firmly held theism does Consult: Verlaque, V., Histoire du cardinal de Fleury et not in the least conflict. The quality of his mind de son administration (Palmé 1879); Vaucher, Paul, as well as his ethical standards reminds one of Robert Walpole et la politique de Fleury (1731-1742) his countryman Adam Smith. Flint has temper- (Paris 1924); Bourgeois, Emile, Manuel historique de amentally no sympathy for such transcendental- politique étrangère, vols. i -iii (4th ed. Paris 1902 -19) ists as Hegel; yet his treatment of them is no- vol. i, P. 475-98; Voltaire, F. A., Siècle de Louis xv (new ed. Paris 187o), especially p. 20-24; Hardy, G., tably fair. He has left no grand system; but his Le cardinal de Fleury et le mouvement janséniste (Paris work is painstaking, sensible, lighted with ideas 1925). and by no means outlived. His very refusal to set up a system of his own as a prolegomenon, FLINT, ROBERT (1838- 191o), Scotch theo-which to Morley was a weakness, may well be logian and philosopher of history. Flint was theone of the reasons for his vitality. son of humble parents; he was able to prepare CRANE BRINTON himself for the ministry, whence he entered into Consult: Acton, J. E. E. D., A History of Freedom and chairs of divinity at St. Andrews and Edinburgh Other Essays (London 5907) p. 588 -96; Morley, John, successively. In addition to his many writings"Mr. Flint's Philosophy of History" in Fortnightly 282 Encyclopaedia of the Social Sciences Review, n.s., vol. xvi (1874) 338-52; Gullland, An-logic, invective with reason, political theory with toine,"R.Flint'sHistory of the Philosophy ofa broad constitutional knowledge. As a states- History" in Revue historique, vol. lvi (1894) 402 -14. man he was exceedingly effective in stating and popularizing the political needs of Ireland, al- FLOOD, HENRY (1732 -91), Irish statesmanthough his reputation has suffered from the am- and orator. Flood's political career began at abiguity of his motives. Unquestionably, how- time when the Irish people were in a state ofever, his missteps resulted from personal ambi- apathy and the Irish legislature was in completetion, jealousy and faulty judgment rather than subjection to England. In the sixteen years suc-from any lack of patriotic devotion. ceeding his entrance into the Irish Parliament in W. P. M. KENNEDY 1759 he built up a strong parliamentary oppo- Consult: Flood, W., Memoirs of the Life and Corre- sition to English domination and became the spondence of ... Henry Flood (Dublin 1838); Grattan, recognized leader of reform. In 1775, however, H., The Life and Times of Henry Grattan, 5 vols. (Lon- for reasons variously interpreted, he accepted don 1839 -46); Lecky, W. E. H., Leaders of Public Opinion in Ireland, 2 vols. (London 1912) vol. i, p. 35- office as vice treasurer of Ireland with a seat in 93; Bowers, C. G., The Irish Orators (Indianapolis the Privy Council. This move, which seemed to 1916) ch. i. his party an act of treachery, robbed him of public confidence; and when he left his position FLOODS AND FLOOD CONTROL. The in the government in 178o he was for a timeland surface of the earth is in a state of continual without influence or friends in the Irish Par-change: it is slowly being elevated by geological liament. forces and as slowly and inevitably being eroded He had given his support to the free tradeand leveled by the action of water. Water falls measures of 1779, and in 1782 he cooperatedas rain or snow, a large portion of which runs with Grattan in securing the repeal of the De-off the land as rivulets and creeks, which later claratory Act, an achievement which represented unite to form large rivers. On higher elevations the first landmark of Irish independence. Notthe river cuts a deep channel which is more than satisfied with this, Flood contended that Irishcapable of caring for the maximum flow of independence was not secure until England hadwater, as, for example, the Grand Canyon of formally renounced the right to legislate in addi- the Colorado River. When the river reaches the tion to repealing the act which defined that lowlands it becomes sluggish and meanders over right. Public opinion and the recently organizedwide areas, so that its channel is not deep volunteer army supported Flood, and his successenough to take care of the maximum flow of in securing the Renunciation Act from England water. Consequently, when heavy rains or snows restored to him a great deal of his former popu- occur on the watershed of the river, floods in- larity. Flood was strongly opposed to any reduc- evitably must occur in the lowlands of the tion or dissolution of the volunteers, and it wasvalley. Floods of this type are largely seasonal with their support, gathered in a convention inand have occurred and are apt to recur when- Dublin, that he brought to the legislature inever the rainy season begins on the lowlands 1783 his bill for parliamentary reform. Although of such large rivers as the Mississippi, the his measure still excluded Catholics from theHwang Ho or Yellow River, the Ganges, the franchise it represented an admirable solutionRhine and the Nile. of the abuses then existing in Parliament. It was Other floods may be caused by inundations defeated, however, on the ground that it pro-of the seas, such as those which have repeatedly ceeded from an armed body, although the failuretaken toll of Holland. An inundation caused the of subsequent reform bills, after the volunteersdisastrous Bengal flood of 1876, in which Zoo; had disbanded, seemed to indicate that the cause 000 lives were lost; and the Philippine flood of of failure was not unrelated to the conditions 1911, which killed 85o people. Floods also occur which the measures attempted to remedy. In the because of the breaking of dams constructed same year Flood entered the English Parliament, for impounding water or as a result of so- called although he retained his seat in the legislaturecloudbursts. The Johnstown,Pennsylvania, of Ireland. He did not, however, achieve success flood of 1889 was preceded by torrential rains or prestige in the former, and his activity in thewhich caused a break in the dam above Johns- latter rapidly declined after his defeat on thetown on the Conemaugh River; cloudbursts question of reform. caused the Constantinople flood in 1913 and the Flood as an orator combined emotion withWellton, Arizona, flood in 1931. Flint-Floods and Flood Control 283 Occasionally floods are beneficent, as in thelower valley, causing one of the most disastrous valley of the Nile. Heavy tropical rains occurfloods on the American continent. The flood on the headwaters of the Nile River in Aprilcovered 18,268,78o acres of land, of which and May, causing the river to rise often as much4,417,500 were crop lands, and submerged the as three feet per day. The resulting flood in- homes of 750,000 people. About 700,000 people variably reaches a maximum at Aswan early inwere rendered destitute and were dependent September. For over seven thousand years theon the American Red Cross and other relief flood waters, rich in fertilizing material, haveagencies for shelter, food and medical attention. been diverted by a series of canals so as to floodProperty damage amounted to nearly $300,000,- the whole Nile valley, where they are held for000, of which over a third was in crops, livestock a period of forty -five days and then drainedand farm property. back into the river. Egyptian agriculture is en- The persistent and catastrophic nature of tirely dependent on the certainty of this floodfloods early led to efforts at their control. There condition. is little new, except as to magnitude, in modern The case of the Nile is exceptional. Floodsmethods of flood control, which include the are a calamity from which no continent or construction of levees, spillways and reservoirs, people is immune. Since the beginning of his- reforestation, terracing cultivated soil and the tory China has been afflicted by floods, becom-creation of flood ways to care for the river at ing progressively worse in their destructiveflood time. The Chinese, as early as z000 B.C., effects. In 1887 a flood on the Hwang Ho,built levees and drainage canals, combining known as the "Sorrow of China," killed millionsflood control, land protection and irrigation. of people; Ioo,000 persons lost their lives inFlood ways have been used by the Egyptians the 1911 flood on the Yangtze River. Therefor thousands of years. Recently discovered were severe floods in mediaeval Europe; andruins of terraces in South America antedate the in the past hundred years Europe has experi-Inca civilization. During the Middle Ages levees enced a dozen disastrous floods, some of whichwere constructed on the Po, Danube, Rhine, extended from Belgium to the Adriatic. TheRhone and Volga rivers, supplemented in mod- rising of the Seine in 1910 flooded Paris, killingem times by reforestation and storage reservoirs. a large number of people and destroying prop- Levees have been the most favored method erty valued at $200,000,000. of flood control. Since the water of a river runs In the United States the most persistent floodmore slowly near its edge than in the center it problem is that of the Mississippi River. Sincenaturally deposits its silt and mud to form banks. the alluvial valley of the Mississippi has beenThe banks of the river in a low valley therefore formed by the flood waters carrying the siltare higher at the river's edge and slope away from the higher elevations, floods must havefrom it. The inhabitants of a region adjacent always occurred there. From 1785 to 193o thereto a river menaced by floods early sought to were thirty major floods, the destructive effects protect their homes, property and lives by of which were progressively aggravated by thestrengthening these banks, making them higher increasing density of settlement. In 1912 thereand stronger. The theory is that if these levees occurred the greatest flood then recorded, fol-are constructed high and strong enough they lowed by one still greater in 1913. The floodwill confine the river and cause it to construct, which occurred in 1927 was the greatest in theby scouring, a channel deep enough to care history of the Mississippi. It began with the for the maximum flow of the river at flood time. abundant rains of August and September, 1926,For forty centuries the Chinese have been trying which maintained the water of the Mississippito control the Hwang Ho in this manner, con- above normal for the season. The torrential structing higher and higher levees. But the river rains on the watershed of tributaries of the Ohiobed does not scour: it rises a foot a century until in December increased further the volume oftoday the bottom of the river, confined by water. Early in 1927 there were rains over thelevees, is twenty feet above the surrounding entire watershed sufficient to maintain the risecountry. When the levees break as they do in already obtained on the Mississippi. The heavytime of flood, the terror, suffering and desolation rains of March and April were so far aboveon the lower plains are inconceivable. Experi- normal and the volume of water was so enor-ence indicates that levees must be supplemented mous that the water completely overflowed all by other means of flood control. of the protecting banks, levees and dikes of the The establishment of reservoirs on the head-. 284 Encyclopaedia of the Social Sciences waters of the various streams which make theAlthough the Mississippi valley is the drainage main river would be of immeasurable value in basin for thirty -one states, the problem and holding back flood waters and lowering theirburden of flood control, up to 1879, was left to crest. But many experts consider the construc-a few. After 1879 the federal government, under tion costs prohibitive; it is estimated that Boul-the fiction of improving navigation on the der Dam on the Colorado River, which is theMississippi, paid one third and later two thirds only feasible way of controlling the flood watersof the cost of levee construction. The national of this stream, will cost $165,000,000. Reser-government's authority is neither complete nor voirs have proved their value in the Miamiclearly defined. Legislation varies in the differ- valley. They can also be used for irrigation,ent states and there is serious conflict of author- water supply storage and the control of navi-ity owing to the many different bodies partici- gation. pating in levee construction and other methods Another method of control is the construction of flood control. There is no adequate federal of spillways and flood ways to divert and ac-water power code for the development, control commodate the flood waters. Advocates of floodand conservation of rivers. ways would widen the river at certain points to Legislation for the construction of levees on permit and cause it to spill over and flood athe Mississippi was adopted by Congress in confined portion of the surrounding country1928; its costs are to be borne exclusively by which would be deliberately sacrificed to pro-the federal government. This program, for tect the remainder. But here again opponentswhich $325,000,000 is appropriated, officially consider the costs prohibitive. sanctions the theory, adopted by the Mississippi Reforestation and improved soil managementRiver Commission soon after its formation in are vital problems of flood prevention and con-1879, that "levees only" will solve the problem trol. Floods occurred on the Mississippi Riverof flood control, although further surveys are long before white men settled in its valley orauthorized of the feasibility of constructing had removed the protecting tree and sod coverflood ways, spillways or diversion channels. of the timbered watershed or sod bound prairie. There is no recognition in the law of 1928 of Yet it is true that the accepted method of cropthe possibility of lessening the damage from production on the uplands by breaking up thefloods by adopting a national policy of refores- sod and producing only cultivated crops pro-tation, improved soil management to prevent motes soil erosion and decreases the water hold- erosion, and restoration of some of the bottom ing power of the soil. The same thing is truelands to their original condition as carriers of when the primeval forest is destroyed and theflood waters. protecting vegetation thus removed. Soil erosion Adequate flood control is a vast and compli- under these conditions takes place more rap-cated undertaking. It encounters obstacles in idly. More water escapes to the river, especiallythe wide divergence of opinion on methods where swamps are drained, and the soil debrisprevailing among recognized authorities. Tax- is deposited in the river channel in the low-payers object to increased government expendi- lands, thus increasing the damage from floods.tures. Reservoirs, flood ways and the restoration The Chinese cut down forests and cultivatedof swamps are opposed because they render the soil on the upper reaches of rivers, anduseless enormous tracts of arable land. Timber when the rains came the soils washed away;owners destroy forests and farmers plant the hundreds of square miles of land once farmedmost profitable crops regardless of the danger are now a desolate waste which producesneitherof soil erosion and floods. Adequate flood con- forest, grass nor food and increases the menacetrol depends in the last analysis upon a proper of floods. These man made conditions aggravateadjustment and combination of the different the menace of floods, and they must be con-methods into a comprehensive program. The sidered in any program of adequate flood con-cost would be heavy, but so is the cumulative trol. Reforestation and improved soil manage-cost of flood disasters. ment are important also because of their pro- ROBERT STEWART nounced influence on the state of agriculture See: DISASTERS AND DISASTER RELIEF; RED CROSS; and lumbering. FORESTS; WATERSUPPLY; IRRIGATION; STATES' Flood control in the United States is ham- RIGHTS; COMPACTS, INTERSTATE. pered by lack of centralized control due to Consult: Hazen, Allen, Flood Flows: a Study of Fre- constitutional limitations and to sectionalism. quencies and Magnitudes (New York 193o); Sonklar Floods and Flood Control-Floridablanca 285 von Innstädten, C. A., Von den Ueberschwemmungen Henry George he was one of the first to defend (Vienna 1883); Alvord, J. W., and Burdick, C. B., on economic grounds the common right to land. Relief from Floods (New York 1918); Frank, A. D., The Development of the Federal Program of Flood To this subject Flórez Estrada devoted his Control on the Mississippi River (New York 193o);La cuestión social; origen, latitud y efectos del Frankenfield, H. C., "Floods of 1927" in United derecho de propiedad (Madrid 1839), which pro- States, Department of Agriculture, Yearbook, 1927posed the gradual socialization of land through (1928) p. 317 -2o; United States, Senate, loth Cong., Ist sess., Commerce Committee, Hearings Relative the purchase by the state of the real estate to Flood Control of Mississippi River, San. 23 -Feb. 24, offered for sale. The state was to derive its 1928 (1928); United States, Department of Agricul- funds for these purchases from the proceeds of ture, Relation of Forestry to Control of Floods ina special tax. Flórez Estrada's analysis of taxes Mississippi Valley (1929), and "Soil Erosion a Na- and their effects, especially those that fall upon tional Menace" by H. H. Bennett and W.\ R. Chap - lane, Circular, no. 33 (1928); Bock, Carl A., History land, is one of the most interesting parts of of the Miami Flood Control Project (Dayton, 0. 1918). his work. He considered that a tax on rent is the most just and convenient tax but he did not FLÓREZ ESTRADA, ALVARO (1765 -1854),favor making it the sole one, nor did he advocate Spanish economist. After studying law Flórezdirect taxes exclusively. He was opposed to the Estrada entered the government service and inpolicy of paying current expenses by govern- 1798 was appointed attorney general of Asturias. ment loans. In this position he distinguished himself by his Flórez Estrada had considerable influence active opposition to Napoleon. In 1813 he wasupon the development of the science of econom- made chief justice of Seville. Because of hisics in Spain. His works were published in many revolutionary activities he had to leave Spaineditions and translations and won the respect of several times and spend long periods of exilehis contemporaries. His most original ideas, in London and Paris. He was elected corre-however, found no echo in his own country. sponding member of the Académie des Sciences GERMÁN BERNÁCER Morales et Politiques in 1851. Consult: Heckel, Max von, "Zur Entwickelung and In his Examen imparcial de las disensiones de Lage der neueren staatswissenschaftlichen Literatur América y medios de conciliación (Madrid 1814) in Spanien" in 5ahrbücher für Nationalökonomie and Flórez Estrada criticized Spain's vicious and Statistik, n.s., vol. xxi (1890) 26 -49. antiquated system of colonial government, which estranged the colonies from the mother country,FLORIDABLANCA, CONDE DE, Jog Mo- and strongly advocated the adoption of a less ÑINO Y REDONDO (1728 -1808), Spanish states- oppressive system. The period of his secondman. Moñino studied law at the University of exile was characterized by his greatest literaryOrihuela and soon became interested in political activity. During it he published the pamphletsand economic questions. In 1766 he was ap- Efectos producidos en Europa por la baja en elpointed fiscal to the Council of Castile and as producto de las minas de plata (London 1824;such issued in collaboration with Campomanes English translation 1826), Examen de la crisisthe well known Respuesta fiscal- contra los gana- comercial de la Inglaterra en 1826 (Paris 1827,deros trashumantes (Madrid 1770), which pro- 3rd ed. London 1828) and his leading worktested against the grazing privileges of the mesta Curso de economía política (2 vols., London 1828; as a menace to Spanish agriculture. He was sent 6th ed. Madrid 1848), the first systematic trea-as ambassador to Pope Clement xiv to negotiate tise on economics written by a Spaniard. Thisfor the suppression of the Jesuit order. In 1773 work was based principally upon the theories of he was raised to the nobility and from 1777 to Adam Smith and the English economists con- 1792 was prime minister of Spain. temporary with Flórez Estrada. Although he Floridablanca was strongly influenced by the defended commercial freedom and advocated Frenchphilosophes and economists, and his min- the abolition of customs duties he admitted theistry was marked by a series of far reaching expediency of export duties in certain cases. He reforms, most of which are summed up in his supported Malthus' theory of population andRepresentación hecha al Sr. Rey D. Carlos III Ricardo's theory of rent. His most original doc- (Madrid 1829). Through his efforts a uniform trine was that private ownership of land wassystem of import duties was established through- an unjust privilege to which should be ascribedout Spain and a number of regulations which "the laborer's failure to obtain the entire fruithampered industry and trade were suppressed. of his labor." Anticipating John Stuart Mill andThe alcabala, which weighed most heavily upon 286 Encyclopaedia of the Social Sciences the circulation of merchandise, was lowered androse. The churches housed a formal and deca- in certain instances done away with entirely.dent "Christianity" which attracted nobody; the The trade with America was expanded and in-schools including the university were centers of ternal communication improved by the buildingan irrelevant classicism. of roads. Floridablanca also succeeded in abating The history of the folk high school goes back the activities of the Algerian pirates who har-to an educational project proposed in 1832 by assed the eastern coats of Spain and in estab-Nicolai S. F. Grundtvig, a liberal theologian and lishing commercial and friendly treaties withsocial philosopher, who had been banned from various countries, including Turkey. With thethe pulpit. Grundtvig had dug deep into the old cooperation of Cabarrus he established in 1782Norse cultures, had felt the rising tide of sci- the first Spanish bank of issue, the Banco de ence, had made the acquaintance of such educa- San Carlos. tional reformers as Rousseau, Pestalozzi and He aided the improvement of agriculture byFröbel, with their emphasis upon the partici- modifying the traditional pasturage rights of thepation of the individual in his own education, mesta and by limiting entails through the pro-and had discovered, as he himself said, "what vision that new ones could be created only bythe Englishman calls freedom." In 1832 in the royal license. He undertook vast irrigation proj-preface to a book on Norse mythology he pro- ects, fostered agricultural and technical educa-posed to wipe out the decadent and irrelevant tion and encouraged manual labor. Believingcultures of the churches and existing schools and that only the state could organize charity effi-replace them with the old folk cultures of the ciently and economically, he attempted to abol-Danes, thus restoring the nation's morale, and ish vagrancy and beggary by a system of publicwith the new applied sciences, thus creating a beneficence supported by special taxation. nation of technicians and restoring its economic Floridablanca was a skilful diplomat whoposition. To do this new schools were needed in favored peace and understood the politics of hiswhich personal growth could be stimulated and time thoroughly. He increased the internationalin which a social life might develop out of indi- prestige of Spain and contributed effectively tovidual freedom. A new Denmark must be the formation of the armed neutrality directedbrought into being by means of a new education. against England. In his relations with the papacy The first of these schools he set up in 1844, he was an uncompromising supporter of royal but Grundtvig was no practical school man and authority. Some of his works have been pub-the project failed. In 1851 Kristen Kold, who lished in Biblioteca de Autores Españoles serieshad found teaching in the formal state schools (vol. lix). intolerable, established the first successful folk GERMÁN BERNÁCER high school. After 1865 the number of such Consult: Alcazar, Molina C., El conde de Floridablanca schools increased rapidly, and by 1885 there (Madrid i929); Ferrer del Rio, Antonio, Introductionwere more than a hundred of them. In 193o to Obras originales del conde de Florida Blanca, Biblio- there were sixty with an enrolment of 7000 stu- teca de Autores Españoles, vol. lix Madrid 1867); dents, almost half of whom were women. A few Colmeiro, Manuel, in Real Academia de Ciencias Morales y Políticas, Memorias, vol. i (1861), bibliog- have been organized by the so- called "inner mis- raphy p. 119 -21. sion" religious movement in small cities and very recently the socialists have set up several in FOLK HIGH SCHOOLS (Folks HOjskole).the larger cities, but on the whole they remain The folk high school is a distinctive type of edu-village and countryside institutions. Of the cational institution for adults, indigenous to approximatelyeightyschools now existing Denmark, which within the last two or threeabout sixty are rural. decades has taken root in Sweden and Finland Leaving academic learningtotheLatin and more recently has been copied in Americaschools and the university, the folk high schools and to some extent in Germany, although thetry to discover the occupational, sex, social and German Volkshochschuleis generally a veryspiritual interests of each individual and to re- different sort of institution despite its similarlease, clarify and integrate them. Grundtvig name. These schools grew out of a nationalregarded the realization of such a process as the need. Denmark had been ruined politically, eco- only true form of education; learning he con- nomically and morally by the Napoleonic wars.sidered secondary. The curriculum covers four At the mercy of tyrannical landlords the peasantor five fundamental areas: the wealth of northern farmers had become poverty stricken and mo-culture, especially that of Denmark; world Floridablanca-Folk High Schools 287 history; the life of the modern community, espe- ments such as the International Peoples' College cially its social and economic aspects; and theat Elsinore have won wide support, putting the great cultural meanings of life expressed in liter-nationalist folk high schools on the defensive. ature and modern science. There is no attemptWhatever their fate is to be, however, the high to teach facts; the object is only to develop in-schools have contributed to pedagogy some terests and suggest meanings. Education is pri-realistic lessons in the profounder meanings of marily through conversation, the "living word."education. There are no recitations, assigned lessons, exam- The Danish folk high schools were brought to inations, grades, credits, diplomas or other aca-America (notably to Nebraska, Iowa and Minne- demic gestures. Lectures are intended to stimu-sota) by Danish immigrants in the seventies and late reading without assigning it as a command.eighties of the last century. They were consist- The schools are small communities containingently ignored by American educators who, re- about a hundred students and four or fivegarding them from the American academic point teachers with their families. The students live inof view, found nothing significant in them. the school. There is a five -month session for men Later, American educators became aware of the in the winter and a three -month session fordistinctive nature of these schools and within women in the summer. This separation is based the past decade have realized their possible partly on economic needs, partly on the peda-values. That realization has resulted in a num- gogical theory that it would otherwise interfere ber of significant books on education and at least with the development of an intensive intellectualthree schools modeled on the Danish plan: life in the students. Pocono Peoples College at Henryville, Pennsyl- The schools are privately owned and con-vania; the John C. Campbell Folk School at trolled in many cases by the teachers, in some by Brasstown, North Carolina; and Ashland Col- religious organizations. In general, those owned lege at Grant, Michigan. by the teachers do the best work. The state There is a definite conflict between the Amer- recognizes the schools and grants some financialican conception of education as something to aid either by supplementing teachers' salaries or be got at a school, to be taken on in units and by subsidizing needy students, without at-measured in credits, to be passed and to be tempting political control. At present, it is said,graduated from, and this Danish conception of the state subvention makes it possible for every education as something to be achieved during all Dane to attend a school. the years of life and to be valued for its own sake. The only qualification for admission to mostHence there has been much discussion as to of these schools is that the pupil be eighteenwhether anything of the Danish type can take years old. Most of the students finish elementary root in American life. It was assumed by the school at about fourteen, spend the next fourfounders of the Pocono and the Campbell ex- years working in the home and on thefarm andperiment that the distinctive thing about the then go to a folk high school for a term or two. Danish movement in Denmark was that the Since about 3o percent of the adult population Danes are a homogeneous race and that therefore goes through these schools, Denmark has theit would be best to begin similar work in best educated village and rural population in theAmerica among a similarly homogeneous people. world. This fact is intimately related to the in-Hence both efforts were begun among the al- tensive development of farmers' cooperativeslegedly homogeneous racial groups of the eastern and an agricultural political party which inAmerican mountain regions. The founders of coalition with the urban Social Democrats hasthe Ashland experiment, assuming that the dis- largely dominated the state in recent years, astinctive thing about the Danish movement was well as to the growth of a liberal wing of thethe moral and intellectual contribution it made state church, the so- called Grundtvigians. to the economic recovery of discouraged Den- Denmark, however, cannot escape the effectsmark, began their work in the heart of agricul- of world wide economic forces which in recenttural Michigan. The greatestdifficulty en- years have upset national prosperity.For ex-countered in both Pennsylvania and North ample, unemployment in Great Britain, byCarolina has been the precariousness of the local seriously contracting the market for Danish economic bases of existence; although the people foodstuffs, has embarrassed the cooperative asso-may be easily stimulated to new moral and ciations and given support to critics of coopera- spiritual outlooks they lack secure economic tive education. In addition, international move-foundations upon which to build a new civiliza- 288 Encyclopaedia of the Social Sciences tion. The greatest difficulty encountered in com-entific analysis. Future studies will probably be paratively prosperous Michigan has been thatmade under the headings of specific subjects, little need of spiritual or intellectual nourish- such, for example, as folk songs, food tabus and ment beyond that furnished formally by the localmagic. schools is felt. Probably many experiments must The branch of folklore dealing with the tra- be undertaken before the American folk highditional tales of primitive and modern peoples school learns how to meet American needs andranks among the important humanistic sciences. avoid American pitfalls. The history of the attempts to understand folk JOSEPH K. HART tales goes back far beyond the coining of the See: EDUCATION; ADULT EDUCATION; VOCATIONAL word folklore. Religious prophets, poets and EDUCATION; AGRARIAN MOVEMENTS, section On DEN- philosophers from primitive times have been MARK; RURAL SOCIETY. compelled to adopt some attitude toward the Consult: Hohmann, A. H. H., Die dänische Volkshoch- myths which incorporated the religious dogma schule ... (Berlin 19o9); Foght, H. W., Rural Den-of their times. Priestly reworking of myths is mark and Its Schools (New York 1915); World Associ- clearly seen in various primitive American In- ation for Adult Education, Adult Education in Den- mark, Sriniketan, etc., Bulletin no. xviii (London 1923); dian tribes, and, as Lang points out, the Rigveda Begtrup, H., Lund, H., and Manniche, P., The Folk left out the most glaring indecencies in the be- High Schools of Denmark and the Development of ahavior of the gods and Homer avoided the worst Farming Community (new ed. London 1929); Hart, J. scandals. Confucian and Buddhist scribes and K., Light from the North (New York 1927); Campbell, O. A. D., The Danish Folk School (New York 1928); the writers of both the Old and New Testaments Schröder, Ludvig, Den nordiske folkehöjskole (Copen- allegorized or definitely made light of the myths hagen 1905); Otte,Fritz, Wesen und Gestalt derthat formed the body of the religious belief with deutschen Volkshochschule (Charlottenburg 1928). which they were confronted. The early philoso- phers rationalized the myths of their times in FOLKLORE. The term folklore was first usedaccordance with their leading concepts. Aristotle in the middle of the nineteenth century to de-used them as allegories of political philosophy note folk traditions, festivals, songs and super-and Porphyry of mystic experience. stitions. Much of the anthropological material Early modern scientific study of folk tales was called folklore comes from rural populations ofmotivated by a desire to find a rational explana- the civilized world. It is the field in which thetion for their abhorrent and fantastic content. culture of peasant Europe is most obviouslyMax Müller proposed the theory, eagerly taken similar to the cultural traits of primitive peoples up by students of Aryan languages, that mythol- and as such has been used since the time ofogy was to be understood as a disease of lan- Tylor to document the parallelisms of primitive guage, a pathology of words. Lang, the most and modern culture. More than any other bodyvigorous critic of the theory, showed that the of material it makes vivid the recency and themyths occurred far beyond the regions inhabited precariousness of those rationalistic attitudes ofby peoples of Aryan speech and that they could the modern urban educated groups which arenot be founded on the same allegories based often identified with human nature. Two fieldsupon puns on completely different proper names of inquiry have become differentiated: the studyof gods and heroes. The great diversity in inter- of popular superstitions, including proverbs,pretation among Aryan students also helped to songs and popular sayings; and research con-discredit the theory. nected with folk tales. The Euhemerists, whose best known spokes- Superstitions among civilized peoples havemen were the abbé Banier and Lemprière, in- been widely collected. The best known reposi-terpreted myth as fantasy concealing historical tory of peasant magic and festivals is Frazer's fact. Danaë's golden shower was said to repre- Golden Bough, although the author makes no at- sent the gold with which her guards were bribed; tempt at systematic study. Some degree of orderDaedalus' walking images were said to portray has been brought into the vast mass of availablethe fact that legs were just being separated in material by Hazlitt's dictionary (Brand's Popularthe contemporary sculpture instead of being Antiquities ... Faiths and Folklore), the Mit-modeled in one piece as in archaic sculpture. teilungen zúr jüdischen Volkskunde and especiallyJakob Grimm considered unnatural and extrav- the Handwörterbuch des deutschen Aberglaubens.agant incidents in secular household tales as The vast available heterogeneous material has,degenerations of serious cosmic allegories in however, hardly been made the subject of sci-earlier religiously motivated mythology. Folk High Schools--Folklore 289 The survival theory of Tylor and Lang washaps be explained by the fact that late Greek also an effort to explain away fantastic and ab-mythology is compact with nature allegories and horrent elements. They believed that mythsalso by the fact that the study of myth in the arose in savage society and remained compara-nineteenth century coincided with a great ro- tively unchanged as survivals in higher and latermantic revival of the cult of nature. Once one civilizations. However unintelligible a tale ap-questions the dogma that imagination expresses peared in its present setting, all its incidentsitself in myth only by allegory, it is difficult to were thought to have been originallyin keepingsee why tales of fights between the hero and the with the ethos of the people who invented them.dragon are intelligible only as they are explained This theory was supported by the obvious sur-by the phenomena of sunset or other natural vivals of feudal customs in Grimm's tales, sur-phenomena. Human war and marriage and birth vivals which are due to the fact that Europeanand death are themselves capable of suggesting folklore is not living. The theory of survivalstales. Lowie has further shown that the complex assumes too great a stability inculture traits,of traits which Ehrenreich posits as solar sym- for the importance of survivals naturally de- bolism is definitely unstable and that the crucial creases as one deals with astill functioningsymbols are often lacking in any given version. mythology. Tylor, for example, speaks of SouthThis fact and doubt concerning the validity of American myths as containing reference to thethe major premise of the nature symbolists, that polar sun of the arctic regions through whicha fixed symbolism exists without reference to the South American peoples presumably passedthe culture or associations of the people among in remote ages, and Lang would apparentlywhom a tale is current, have caused modern have us believe that the myth of Cronus survives realistic students of primitive mythology to from a primitive stage in which fathers wereabandon the nature symbolism theory. It is rec- accustomed to eat their children. Studies of theognized, however, that sometimes native story myths of primitive peoples who have establishedtellers have made their own allegories of their themselves in different culture areas within thetales and have given them nature symbolism, as past hundred years, however, reveal thatmythswhen an American Indian or Siberian tribe has change much more rapidly than either languagedeveloped a cycle of star myths or of storm or physical type. myths. The nature symbolists, who have dominated Psychoanalysts also interpret folklore in terms German mythological studies and continue toof allegory. Instead, however, of seeing in the dominate the field of the mediaeval romances,myths cosmic phenomena hidden under fixed have in common the dogma that all mythology symbolism they see physiological and especially reproduces the phenomena of nature under hid-sex processes so portrayed.Fixed symbolism den figures of speech. The death and rebirth ofaccording to which one reads fire as the sex act, the hero is interpreted, for example, as a parablewater as birth, whetstones, knives and serpents of the succession of winter and summer; theas the male organs is a gratuitousinterpretation warriors' combat with arrows as the shootingin cases where the symbolism of the region has of the sun's rays; the tremendous bulk of testnot been studied. Snakes, for example, arethe themes, in which the hero submits to and con-prime symbol of immortality over large parts of quers in tests set by his prospectivefather -in-the world because snakes rejuvenate themselves law or uncle, as dramatizations of the sun'sby casting off their skins, and it is untenable to progress through the underworld beforeit isinterpret snakes in the mythologies of such re- permitted to rise again at dawn. Such sun alle- gions as phallic. The psychoanalytic school has gories are made the basis of mythology by Seler,further weakened its position by adopting the Ehrenreich and Preuss; a similar role has beenfamiliar and sex situation of urban twentieth claimed for fog by Laistner and for the moon bycentury western civilization as thestandard of Siecke, and more generalized theories of naturereference in all primitive mythologies, inter- symbolism include as well allegories of the sea-preting them in the light of Oedipus fixations, sons and of storm. It is not held thatthe talescastration complexes and the inhibitions and are considered allegories by their presenttellers, displacements consequent on the particular sex but they are thought to have so originated.tabus of modern western society. They commit Careful studies in folklore, such as Ehrenreich'sthe serious methodological error of interpreting collection of New World mythology, have beenmyths as representing the father -son conflict in inspired by this theory. Its popularity may per-a matrilineal society where thefather is shorn ago Encyclopaedia of the Social Sciences of all authority, which is instead vested in athe driftwood theory and collected widely dis- person outside the biological family, usually thepersed examples of the Jason, or magic fleece, mother's brother. Symbolists, whether they findstory, which is still one of the best available in myth nature or sex symbolism or prognosti-stories with which to document the importance cations of the future, as in certain schools ofof contacts of peoples in early times. The em- Biblical exegesis, have failed to realize the co-phasis on the importance of diffusion led to two gency of the criticism made by Tylor that mereexaggerations: one school derived all myths from possibility is worthless in mythological specu-the Euphrates valley and the other derived all lation. myths from India. The pan -Babylonian school, Certain scholars regard myths as primarilywhich was interested in showing eastern ana- etiological. According to this view man desiredlogues to the Hebrew Old Testament tales, effec- to explain the material world in terms of thetually refuted the dogma of the uniqueness of the human and animal world and therefore soughtBible but has had little evidence with which to narrative forms under which to interpret thereenforce its position that all myths originated processes of nature and of culture. The explana-in the Euphrates region. The pan- Indians on tory conclusions of many tales are held to bethe other hand have a strong case for their argu- the most significant and dynamically importantment that world mythology can be traced to mythological elements and it is believed thatancient India. Benfey and later Cosquin have these are the sources of the tales. The etiologicaldemonstrated that Indian parallels of both ani- motivation is sometimes deduced from talesmal and novelistic European tales are legion and although it has not been specifically formulated that the oldest versions are found in the Orient. in the telling. Dähnhardt was especially inter-The genetic relationship of tales in Europe and ested in the etiological use of tales, rather thanin Asia is no longer questioned and, broadly in their etiological origin. Rivers argued thatspeaking, all Eurasia and Africa may be con- man would naturally be driven to explain the sidered as one culture area in regard to mythol- more unfamiliar or insecure aspects of his en-ogy. The criticism against the pan- Indians is vironment and that hence the comparative re- that the fact that the oldest versions are recorded cency and historical background of those aspectsin Indian sacred literature does not prove India of social life which his myths explain could beto be the place of origin of these tales. The study learned therefrom. The primary hypothesis hereof contemporary preliterate peoples has shown involved, that myths are fundamentally expla-that unwritten literature often maintains itself nations, is open to two thoroughgoing criticisms.with remarkable stability, as, for example, in One of these rests on the ground of its intellec-widely separated Eskimo tribes. The fact that tualistic character, for emotional stress and fancythe tales had been first written down in one area both play a role in folklore themes as well asrather than in another, while significant in rela- does the intellect with its effort to seek explana-tion to the history of written literatures, does tions. A further criticism is that of Waterman,not settle the question of the region in which the who in his examination of the "that's whys" oftales were current earliest. Indian folk tales shows that mythological plots The distribution of myths has been studied are often very stable over wide distributions, butfor several other ends than that of proving the the facts that they are supposed to explain andsource of origin of mythology. Dixon has used from which they are supposed to have originated it to determine movements of peoples. Frazer's are the most unstable of all elements of the plots.works and Bolte and Polívka's concordance to He found ten different origins of animals, namesGrimm's tales have been compiled without the-. or customs added by as many different tribesoretical preoccupation. The modern Finnish to the same tale; in as many more variants allschool under the leadership of Aarne and Krohn, mention of origins was absent. The explanatoryrepresented in the United States by Taylor and elements therefore, far from being the source ofThompson, have set themselves as their aim the the plot, are secondary and local associations. reconstruction of the archetypal tale. Their thor- The modern study of folklore stresses equallyough work is important because they have iso- diffusion and acculturation, the study of the geo-lated the most stable and widely distributed graphical distribution of tales and the absorptionelements of the tale in order to define the limits of local cultural material into tribal mythology.of investigation. The archetypal tale has been, The importance of the study of diffusion in folk-however, in much of their writing a somewhat lore was early recognized. Lang spoke of it asmystic abstraction, and their method a search Folklore 291 after fixed laws that they conceive to be neces-out reference to sacred tales, often specifically sary to give meaning to folklore study. Boas, indesignated mythology. The animistic attitude his concordance of the Indian tales of the Northuniversalinreligionexpressesitselffreely Pacific coast, analyzes mythology like any otherthrough the medium of tale making, giving em- culture trait to show its content over a consid-bodiment to the spirits which religion postu- erable area and the kind of changes that maylates in the universe. These tales sometimes be expected -the breakdown and recombinationbecome the most stressed aspect of the local of the elements of a tale as it passes from onereligious complex. Folklore plays a similar al- people to another and the incorporation of cul-though less noticeable role in relation to other tural material. cultural traits such as etiquette, morals, avoid - The excessive stability of tales in Europeanances and occupational pursuits. It crystallizes folklore, due partly to the fact that they arethe forms that are locally favored or insisted current within a single culture area very slightlyupon, and gives therefore one of the important differentiated and also to the illusion producedavailable sanctions to the mores of the group. by the fact that a tremendous profusion of vari-The social acceptance or intolerance of the ants is known as compared with other mytholo-autocratic attitude, the behavior toward the gies, has prevented the understanding of thepoor, the treatment of the elder generation by usual morphological behavior of folk tales. Folk-the younger, and innumerable other points of lore incidents combine and recombine with ease,ethics are in this way reenforced and perpetuated attaching themselves now to one plot and nowby the folklore of the group. to another. In the process they are necessarily Modern folkloristic study isfreeing itself reconstructed to suit the new association thatof preconceptions and of far fetched allegories has been set up. Only by a study of their diffu-and is founding itself upon the importance of sion can it be determined which aspects of a talefolklore as a social phenomenon and as a means are present because they are the traditionalandof expression by a social group of its own atti- common property of the entire area or evenoftudes and cultural life. By regarding folklore as a large part of the world, andwhich elementsaculturaltraitliketechnology,socialor- are the peculiar contribution of thepeople underganization or religion any special consideration discussion. Historical analysis must thus pre-of communal authorship is made unnecessary, cede the psychological study of tales. since myths are as much and as little due to Among any people tales are individualized ascommunal creation as marriage or fertility rites. a part of their adoption intothe local cultureAll cultural traits including folk tales are in the and acculturated by the incorporation of culturallast analysis individual creations determined by detail and by marked changes of motivation.cultural conditioning. They must, however, each The picture of their own daily life is incorpo-be socially accepted, a process with which the rated in their tales with accuracy and detail.individual has comparatively little to do and This is well illustrated by Boas in regard to thewhich is dependent upon the cumulative social tales of the Tsimshian ( Tsimshian Mythology,traits and preoccupations of his group. Folklore is literature and like any art it has p. 393 -477).Peoples' folk tales are in this sense their autobiography and the clearest mirror oftraditional regional stylistic forms which may be their life. Not all elements of culture, however,studied like any other art forms. The elaboration are reflected and even important ones maybeof many African tales on a stylized framework ignored because of local literary convention.of songs or on local proverbs, the device of the In most of the world the culture reflected istheme of the youngest of three sons in European roughly contemporaneous -not of a distant past,folk tales and the frequent formalized repetition as has been argued on the basisof European folk- that is common almost everywhere are literary lore. When mythology is living and functioningconventions. Folklore is an oral art and involves even the most recent culturalinnovations mayall the special arts of oral narration, only some be reflected in the tales. of which survive reproduction on the printed Behavior and attitudes become more articulatepage. The most complex mythological artform in folklore than in any other cultural trait, andis the epic which is common to a large part of folklore then tends tocrystallize and per- Eurasia and comprises many epic cycles. Strictly petuate the forms of culture that it has madespeaking the form is not known outside this articulate. This is true especially in regard toregion. religion, which is largely unintelligible with- It is ironic that the academic study of folklore 292 Encyclopaedia of the Social Sciences should have labored throughout its course underincongruous settings. This is especially true the incubus of theories explaining seven -headedin Mexico, where mythology is filled with char- monsters and magic swords as survivals of pri-acters and appurtenances like lions, thrones mordial conditions, allegories of the sun andand scepters, retained from the Spanish folk- moon or of the sex act or etiological philoso-lore that has quite superseded the older Indian phizing and have ignored the unconfined rolemythologies. The same is true to a somewhat of the human imagination in the creation ofslighter extent of the folklore of the French mythology. Exaggeration is inherent in the playCanadians and of the mountain whites of the of imagination; distance and time are annihilatedCumberlands. The latter have preserved, for in- and natural phenomena personalized spontane-stance, the old English ballad. The incongruity ously without rationalistic background. The playbetween the traditional forms of folklore and of imagination, fundamental in folklore, is giventhe cultural practises of the present day is less direction by the great opportunity for wish ful-marked in Negro folklore and in the Paul filment. More than in any other form of art thereBunyan tales of the lumbermen. Negro folklore is the possibility of pleasurable identificationvaries comparatively little wherever it is found and whatever is thought of as most desirablein North America and in the West Indies. A in personal experience in any region finds freeconsiderable proportion of it seems to have re- expression. In hero tales as nowhere else manceived its present form in the New World, but it can indulge his desires without running the risk isall fundamentally related to West African of consequences or flying in the face of possi-mythologies which are in turn genetically related bility; thus the dead are brought to life, daysto European folktales. However, allofit are lengthened or shortened, the despised herohas been remodeled to serve as a vehicle for triumphs and pride goes before a fall. Since thecomment on the conditions that surrounded the wish fulfilments of different cultures vary,Negro in his new environment. Brer Rabbit and strongly contrasting myth cycles develop. TheAnansi are opportunities for slave comment and Hebrew mythology was cast in the form of his-the Massa stories are often direct transcrip- tory portraying the drama of the race in its roletions of slave life. The one native American as the chosen people of God. In mediaeval Eu-folklore is that of the lumbermen, the "tall rope the peasant folk tales, the Grimm's collec-tales" of Paul Bunyan or similar heroes. Here tion, were motivated by naïve grandiose dreamsself- expression is at a maximum and historical of the success of the despised; those of theanalogues are almost non -existent. The tales aristocrats, the chansons de geste, by the glory areall extravagant exaggerations of exploit, of hereditary lines in a society where chivalrya folk form that is common in America but which was dominant; those of the growing urban pro-has nowhere except in the Paul Bunyan cycles letariat, such as that of Reynard the Fox, bybecome traditional folklore. These tales, said the dream of living by one's wits. In the sameto have been current in the middle of the last manner the themes of primitive mythologies in-century along the Susquehanna, are now found corporate dominant daydreams of the tribe orthroughout lumbering centers in North America. culture area. Except that folk tales still flourish in America The autobiographical character of folklore isin these few rural groups, folklore has not preserved in present day mythologies in thosesurvived as a living trait in modern civilization. regions where mythology is still a living cul-It has been perpetuated by the printed page, tural trait. The mockery of the priest in Germanhowever, in the nursery through the fairy tale folklore as contrasted with the ubiquitousnessand the animal anecdote of European deriva- of the church background in Spanish tales, ortion and in the church, which perpetuates much the great number of episodic adventure stories,Semitic mythology. Thus in a strict sense folk- often picaresque, in Spain as compared with thelore is a dead trait in the modern world. All overwhelming popularity of the love theme instudy of it from the point of view of furthering Russia,reflectcharacteristic preoccupations.the understanding of present social forms, is In those rural sections of North America wherein order to comprehend, from the one example folkloreisstill found there are wide diver-available, the changes that occur when a culture gencies in the degree to which the customs andtrait ceases to follow a traditional mold and attitudes of the narrators are reflected in theirbecomes an affair of individual responsibility tales. In some regions the tales are ossifiedand initiative. For while individual expression and the traditional form is retained in the mostisstill largely curtailed in other aspects of Folklore--Folkways 293 culture, such as marriage and education, by an148; Rank, Otto, Der Mythus von der Geburt des emphasis on the value of conformity to tradi- Helden, Schriften zur angewandten Seelenkunde, vol. v (Leipsic 1909), tr. by F. Robbins and S. E. Jelliffe, tional standards, in literature, which through- Nervous and Mental Disease Monograph series, no. out previous human history has been tradition-xviii (New York 1914), and Das Inzest -Motiv in ally determined, individual creativeness is now Dichtung und Sage; Grundzüge einer Psychologie des indispensable for popular approval and plagia- dichterischen Schaffens (Vienna 1912); Malinowski, Bronisiaw, Sex and Repression in Savage Society (Lon- rism is a punishable offense. The study of folk- don 1927); Dähnhardt, Oskar, Beiträge zur verglei- lore therefore makes more vivid than any other chenden Sagen- und Märchenforschung (Leipsic 1908), discipline the contrast between behavior as itand Naturgeschichtliche Volksmärchen,ed. by O. findsexpressionundertraditionalcultural Schwindrazheim, 2 vols. (7th ed. Leipsic 1925 -26); forms and as it finds expression as a manifesta- Rivers, W. H. R., "The Sociological Significance of Myth" in Folk -lore, vol. xxiii (1912) 307-31; Water- tion of individual creativeness. man, T. T., "The Explanatory Element in the Folk - RUTH BENEDICT tales of the North American Indians" in Journal of American Folk -lore,vol. xxvii (1914)1 -54; Boas, See: MYTHOLOGY; LITERATURE; SUPERSTITION; SYM- Franz, "Tsimshian Mythology" in United States, Bu- BOLISM; MAGIC; RELIGION; TABU; SACRED BOOKS; reau of American Ethnology, Annual Report, vol, xxxi TRADITION; CULTURE; ANTHROPOLOGY. (Washington 1916) p. 29 -1037; Hocart, Arthur M., Consult: WORKS ON SUPERSTITIONS: Frazer, J. G., The "The Common Sense of Myth" in American Anthropol- Golden Bough, 12 vols. (3rd ed. London 1911 -15);ogist, vol. xviii (1916) 307 -18; Malinowski, Bronis- Wuttke, A., Der deutsche Volksaberglaube der Gegen- law, MythinPrimitivePsychology (New York wart, ed. by E. H. Meyer (3rd ed. Berlin 1900); 1926); Winckler, Hugo, "Arabisch- semitisch -orienta- Mitteilungen zur jüdischen Volkskunde, vols.i -xxiii lisch;Kulturgeschicht lich -mythologischeUntersu- (Hamburg and Vienna 1898 -1922); Brand's Popular chung," Vorderasiatische -Aegyptische Gesellschaft, Antiquities of Great Britain.Faiths and Folklore, ed. Berlin, Mitteilungen, vol. vi (1901) nos. iv -v; Pailt- by Henry Ellis and W. C. Hazlitt, 2 vols. (new ed. schantra, tr. into German from Sanskrit by Theodor London 1905); Handwörterbuch des deutschen Aber- Benfey, 2 vols. (Leipsic 1859); Cosquin, E. G., Contes glaubens, ed. by E. Hoffmann - Krayer and H. Bäch-populaires de Lorraine, z vols. (Paris 1886); Dixon, told- Stäubli, Handwörterbücher zur deutschen Volks- R. B., Oceanic Mythology, Mythology of All Races, kunde, pt. i, vols. i -iii 1-2 (Berlin 1927 -31). vol. ix (Boston 1916); Aarne, A., Leitfaden der ver- WORKS ON FOLK TALES: Müller, F. M., Contribu- gleichenden Märchenforschung, Folklore Fellows Com- tions to the Science of Mythology, 2 vols. (London munications, no. xiii (Hamina 1913); Krohn, K. L., 1897); Gubernatis, Angelo de, Zoological Mythology,Die folkloristische Arbeitsmethode, Publication of 2 voIs. (London 1872); Lang, Andrew, Custom andInstituttet for sammenlignende Kulturforskning, ser. Myth (new ed. London 1904); Banier, Antoine, La B, vol. 5 (Oslo 1926); Taylor, A., The Black Ox: a mythologie et les fables expliquées par l'histoire, 3 vols. Study in the History of a Folk Tale, Folklore Fellows (Paris 1738 -40), tr. as The Mythology and Fables of Communications, no. lxx (Helsingfors 1927); Grimm, the Ancients, 4 vols. (London 1739-40); Lemprière, Jakob and Wilhelm, Anmerkungen zu den Kinder- und John, A Classical Dictionary (new ed. London 1888); Hausmärchen, ed. by J. Bolte and Georg Polinka, Grimm, Jakob, Kleinere Schriften, ed. by K. Müllen- vols.i -iv (new ed. Leipsic 1913 -30); Cox, M. R., hoff and E. Ippel, 8 vols. (Berlin 1865 -90); Tylor, Cinderella, Folk -lore Society publications, vol. xxxi E. B., Primitive Culture, 2 vols. (7th ed. New York (London 1893); Hartland, E. S., The Legend of Per- 1924); Lang, Andrew, Myth, Ritual and Religion, z seus: a Study of Tradition in Story, Custom and Belief, vols. (new ed. London 1899); Hahn, J. G. von, Sag - 3 vols. (London 1894 -96); Frazer, J. G., Folk -lore wissenschaftliche Studien (Jena 1876); Laistner, L.,in the Old Testament, 3 vols. (London 1918); Hand- Das Rätsel der Sphinx, z vols. (Berlin 5889); Ehren- wörterbuch des deutschen Märchens, ed. by Johannes reich, Paul, Die Mythen und Legenden der südameri-Bolte and Lutz Mackensen, Handwörterbücher zur kanischen Urvölker und ihre Beziehungen zu denen deutschen Volkskunde,pt.ii,vol.i1 -2(Berlin Nordamerikas und der alten Welt (Berlin 1905), and 1931-); Folklore Fellows, F. F. Communications, "Götter und Heilbringer" in Zeitschrift für Ethnolo-nos. i -Ixxix (Helsingfors 1911 -29). gie, vol. xxxviii (1906) 536 -610, and Die allgemeine BIBLIOGRAPHIES: Volkskundliche Bibliographie, ed. Mythologie und ihre ethnologischen Grundlagen (Leip-by E. Hoffmann -Krayer, 6 vols. (Berlin 1919-29); sic 1910); Preuss, K. T., Religion und Mythologie derBibliography of Anthropology and Folk -lore, compiled Uitoto, Quellen der Religionsgeschichte, Group XI, by N. W. Thomas, 2 vols. (London 5907-08); Lesser, vols. ...x -xi (Göttingen 1921 -23); Seler, Edward, Ge-Alexander, "Bibliography of American Folk -lore, sammelte Abhandlungen zur amerikanischen Sprach - 1915 -1928" in Journal of American Folk -lore, vol. xli und Altertumskunde, 5 vols. (Berlin 1902 -23) vol. iv; (193o) 1 -6o. See also bibliographies and articles in Frobenius, L., Das Zeitalter des Sonnengottes (BerlinJournal of American Folk -lore, published quarterly in 1904); Mitra: Monatsschrift für vergleichende Mythen- New York. forschung, vol. i (1914 -20); Grimm, Jakob, Deutsche Mythologie, ed. by E. H. Meyer, 3 vols. (4th ed.FOLKWAYS are group habits or customs. Berlin 1875 -78); Loomis, R. S., Celtic Myth andThe word folkway was coined by W. G. Sumner Arthurian Romance (New York 1927); Lowie, R. H., "The Test Theme in North American Mythology"084o -z91o) in order to give definiteness and in Journal of American Folk -lore, vol. xxi (1908) 97-tangibility to similar sociological concepts al- 294 Encyclopaedia of the Social Sciences ready in use, such as custom, social usage andjust themselves to the telephone and the auto- tradition, and to avoid the set of vague con- mobile through folkways as distinctive as those notations that cling about the more familiarwhich clustered around the courier and the terms. Folkways win traditional authority byhorse. The factory system has produced a body becoming intertwined with cult practises andof folkways which distinguish the manufac- religious concepts. They become regulative forturing town from the residential suburb or the succeeding generations and assume the char-agricultural village. Technological advances have acter of a social force controlling individual andaltered the standards and habits of all classes. social undertakings. They also belong to a sys-But despite changes in form the folkways still tem of social relations, conventions and insti-retain their essential character and authority in tutional arrangements and in virtue of thismodern society. characteristic constitute the leading factual ma- Expediency by no means explains all folk- terial in the "science of society." To Sumnerways. There always resides in them a large thus the study of the folkways "is for a scienceelement of force, and this may be directed by of society what the study of the cell is forthe ruling class or interested persons. They may biology" (Science of Society, vol. i, p. 31). likewise be due to accident, to false inference Folkways originate in the frequent repetitionor to irrational and incongruous action based of petty acts, usually by a number of individualson a sort of pseudo -knowledge. On the Nicobar acting in concert or at least acting similarlyIslands, for example, some natives who had when faced with the same basic need. Thebegun to make pottery died; from then on the simultaneous efforts of many to satisfy theirart was given up. A Winnebago girl who had personal interests produce mass phenomena,been expelled from her tribe for bobbing her which are folkways by virtue of the uniformityhair was recalled when an epidemic followed; and repetition they possess and the wide con-the new custom was then sanctioned. These currence in them. The process of custom form-cases illustrate the generally prevalent mode of ing is thus similar to that of habit forming,reasoning of primitive people post hoc ergo and the same psychological laws are involved.propter hoc. Traditional folkways that are gross, Folkways tend to group themselves about theabsurd or inexpedient may often be preserved major interests looking toward the maintenance,by the process of conventionalization. Thus protection and perpetuation of the individualthere may be nakedness without indecency and and toward security and satisfaction in life.tales of adultery told without the stigma of They are attended by pleasure or pain accord-lewdness. ing to the measure in which they are adapted When the conviction arises that certain folk- to these needs. They thus constitute a meansways are indispensable to the welfare of society, of adjustment to life conditions, and the morethat they are the only "right" ways and that expedient ways tend to survive. departure from them will involve calamity, i.e. The development of these group habits iswhen philosophical and ethical generalizations largely unpremeditated or automatic, and theyare developed about them, they are called mores. tend with time to become more and more arbi-Sumner borrowed the word with its implica- trary, positive and imperative. If primitive mentions from the Roman usage and defined it as are asked why they behave in a certain way in"the popular habits and traditions, when they particular cases they usually answer that it isinclude a judgment that they are conducive to because they and their ancestors have alwayssocietal welfare, and when they exert a coercion done so. Moreover, the ancestral ghosts wouldon the individual to conform to them, although be angry if the living should deviate from thethey are not coördinated by any authority" ancient ways. Despite this apparent rigidity(Science of Society, vol. i, p. 34). The term, like the folkways nevertheless change to meet newfolkways, has found its way into common usage. conditions; innovations appear and practisesMores differ from folkways not in kind but in that become inexpedient are discontinued. Thedegree. The removal of the hat when a man folkways are also subject to a strain toward con-meets a woman on the street is a folkway, while sistency with one another, for they answer theirthe practise of monogamy belongs to the mores. several purposes with less friction when theyNeglect of the former usage is not usually harmonize and cooperate. regarded as dangerous to society, although it "Use and wont" areascharacteristic ofis discreditable to the individual; but the latter modern as of primitive civilization. People ad-is regarded as so valuable that in the supposed Folkways 295 inter( !ie polygamist is promptlyassimilated must undergo an even more radical and se ,ed. change of mores. M use mores which have become Tabus are negative mores -the thou shalt positive in dogma and which dominate onnot's. They usually contain a greater element account of their importance, real or assumed.of philosophy than the simple positive injunc- "The morality of a group at a time is the sumtions, because they imply a rationalization such of the taboos and prescriptions in the folkwaysas, for instance, that the act would displease by which right conduct is defined. Thereforethe ghosts. Tabus thus provide a means by morals can never be intuitive. They are his-which fear of the supernatural comes into play torical, institutional, and empirical" (Folkways,to prevent actions which are believed to be p. 29). Morals, like the mores in general, haveharmful to public health, industry, sex and their strongest hold in the masses, for thefamily regulation, established religion or any masses are ever conservative. The folkways areother social interest. Often they are attenuated their ways because they constitute the support-in more developed societies into a proscription ing core of society. of "bad form." Another important fact about the mores is Laws are those folkways and mores which to be found in their dominion over the indi-in addition to the uncoordinated approval of vidual. He is formed under their influencepublic opinion are given the added and specific before he is capable of reasoning about them.sanction of the group as organized politically. Rules of action and standards of ethics setThat this is the fundamental nature of laws is before him an ideal of the "man as he shouldseen by the countless cases throughout history be," and mold him by repeated suggestion inof governments that have unsuccessfully at- spite of himself and without his apparent knowl- tempted to establish as laws certain modes of edge. Only in so far as social rules have beenbehavior which had not already become fixed transferred from the mores into laws and posi-as group habits, i.e. which were not already tive institutions are they to be viewed with any folkways. objectivity. It is always easiest to conform and The mores form accretions about the nuclei the unconventional is penalized. Even the en-of outstanding social interests, such as those of lightened can free themselves only in a measure. sex regulation or of worship, and, through selec- The mores thus constitute an engine of socialtion, assume a definite and specific structure control. They regulate the political, social andwhich takes the form of institutions such as religious behavior of the individual. the family and the church. As institutions take But the individual is not entirely powerlessthese definite forms and somewhat disengage to influence the mores of his group, since hethemselves from the mass of custom they do exercises a function of surpassing importancenot lose but carry with them that approval and as a source of their variations. Slight departures that conviction as to their indispensability to from the code are always in evidence; indeed, social welfare which are accorded the mores in the code of a society is merely a sort of averagethe first place. or mean about which cluster the codes of Folkways are to be regarded as the units or classes, sects and other larger and smaller sub- elements of culture or civilization and by the groups. The individual not infrequently findssame token all culture may be resolved into himself in involuntary antagonism to the moresgroup habits. Customary modes of behavior of the society or the subgroup to which heand thought are obviously of this character. belongs. When a man passes from one class toFolkways originatein"inventions"inthe another, his behavior shows the contrast be-broader sense; these are adopted by the group tween the mores in which he was bred andand become thereby a part of its culture; they those in which he finds himself. Satirists havemay then spread to other groups by diffusion. ridiculed the parvenu for centuries. The mis-The concept of folkways differs from that of takes and misfortunes of this class reveal theculture traits primarily with reference to mate- nature of the mores, their power over the indi-rial culture. Anthropologists use the term cul- vidual, their pertinacity against later influences,ture trait generally to designate a spear, a pot, the confusion in character produced by chang-an article of clothing, etc. as well as common ing them and the grip of habit which appearshabits of thought and behavior. Sociologists both in the persistence of old mores and theregard as the units of culture not such material weakness of new ones. The immigrant to beobjects themselves but rather the ways of mak- 296 Encyclopaedia of the Social Sciences ing and using them and the ideas entertainedwas also active in the natio t and about them. These are group habits, and culturehis name is connected witl., on of consists basically of habits carried in the nervousthe Catalonian uprising ana.L.. .ilian system of the individual. A culture area is atroops of the Marquis de los Vélez. In 1631 he geographic region in which the various socialmoved to Perpignan, where in addition to his groups possess a large proportion oftheir folk-work in law he continued his political activities ways in common. and was made president of the council of the From the fact that culture consists of folk-city. ways or group habits, i.e. habitsshared by Fontanella was one of the leading Spanish many individuals rather than possessedby one,jurists of his time. In his writings he avoided cultureissuperindividual. Individual habitsthe ineffectuality of the traditional commentaries die with their possessors, but folkways or groupand tried to make the law a vital force. De pactis habits. live on in the survivors. The young innuptialibus, sive capitulis matrimonialibus tracta- any society are initiated into the grouphabitstus (2 vols., Barcelona 1612) is a systematic dis- of their elders, thus insuring the continuity ofcussion of all the legal problems connected with culture in spite of the impermanence of thematrimony and a very shrewd exegesis of the individual. Habits so transmitted constitute thedifferent points in marriage articles and the legal social heritage of a group. questions to which their stipulations may give Folkways and mores, laws and tabus, culture rise. In it Catalonian laws and customs are corn- traits and customs, are specifically human phe-pared with those of other countries, frequently nomena. Only the most meager evidencesof cul-in terms of their social and historical implica- ture are discernible in non -human organisms.tions. In 1639 and 1645 he published the two The so- called social insects, for example, do volumes of Sacri regii senatus cathaloniae deci- not possess culture in the sense that this issiones. His Testamentum illustratum, a study of true of human societies. Animal behavior istestamentary succession as complete as his book innate in character rather than acquired, in-on marriage articles, has unfortunately never stinctive rather than habitual. The fact thatbeen published. culture is superindividual raises its phenomena The tendencies found in Fontanella's writings to another plane, that of the "superorganic"are representative of the Catalonian jurists of of Herbert Spencer and A. L. Kroeber. To bethe seventeenth century. He manages, however, sure, the superorganic rests on theorganic, asto avoid the narrow viewpoint which character- the organic in turn rests on the inorganic, butizes some of them and the exaggerated respect the social phenomena of humans neverthelessfor the Roman law which marks others. belong to a different order, governed by dis- ANTONIO ROYO VILLANOVA tinctive laws and principles. Consult: Pella y Forgas, J., "Juan Pedro Fontanella" MAURICE R. DAVIE in Real Academia de Jurisprudencia y Legislación, See: CUSTOM; MORALS; CULTURE; TRADITION; CON- Jurisconsultos españoles, 3 vols. (Madrid 1911 -14) vol. VENTIONS, SOCIAL; CONFORMITY; TABU; INSTITUTION; ii, p. 49-52, and Código civil de Cataluña, 4 vols. LAW; SOCIAL PROCESS; CHANGE, SOCIAL; FUNCTION- (Barcelona 1916 -2o) vol. i, p. 107 -Io. ALISM. Consult: Sumner, W. G., Folkways (Boston 1906);FONTENELLE, BERNARD LE BOVIER Sumner, W. G., and Keller, A. G., The Science of DE (1657- 1757), French writer and philosophe. Society, 4 vols. (New Haven 1927 -28); Keller, Al- The versatile Fontenelle wrote no masterpiece bert G., Societal Evolution (New York 1915); Hertz - and his important ideas are scattered through ler,J.O., Social Institutions (New York 1929); Wissler, Clark, Man and Culture (New York 1923); numerous works: Dialogues des morts (Paris Lowie, Robert H., Culture and Ethnology (New York 1683, last enlarged ed. Amsterdam 1710); Di- 1917); Willey, Malcolm M., "The Validity of thegression sur les anciens et les modernes (published Culture Concept" in American Journal of Sociology, vol. xxxv (1929) 204 -19; Kroeber, A. L., "Thetogether with Poésies pastorales, Paris 1688), in Superorganic" in American Anthropologist, vol. xixwhich he defended the moderns in the great (1917) 163-213. dispute over the relative merits of ancient and modern literature; Histoire des oracles (Paris FONTANELLA, JUAN PEDRO (1576- 1680), 1686, rev. ed. The Hague 1728); De l'origine des Spanish jurist. At an early age Fontanella be-fables (published in 1724 ed. of Entretiens); En- came famous as a practising lawyer in Barcelonatretiens sur la pluralité des mondes (Paris 1686, and as the author of De pactis nuptialibus. Helast enlarged ed. 1724), a pioneer work in sci- Folkways-Food and Drug Regulation 297 entific popularization in which he chatted verybecame recognized trades the government be- pleasantly to the social élite about the Coper-gan to regulate them. In the reign of Edward nican system; a history of the Académie desthe Confessor brewers were punished for bad Sciences, of which he was perpetual secretarywork, and during the sixteenth century many for sixty years; and vivid and just Eloges ofEnglish towns employed ale tasters. Beginning members of the academy (first collected ed.in 1203 the Assize of Bread regulated the price Paris 1708; final ed., z vols., 1744). He was theof the loaf and gradually clauses controlling most intelligent and discerning representative ofadulteration of bread and other products were that French philosophic spirit which becameadded, until the later acts, finally abrogated in increasingly prevalent from about 1680 to 1740. 1836, acquired some of the character of a gen- A freethinker, believing neither in a revealederal law. Christian religion nor in current moral stand- In 1316 the London pepperers, or spicers, ards, he considered many so- called virtues to bebegan to regulate the quality of their produce, no more than "prejudices." He found it tempt-and the drug and grocery trades, which were ing to believe in nothing at all except an intelli- one until 1617, followed the same practise. The gent egoism, distrustful of men and entirelyCollege of Physicians was authorized to super- wrapped up in the quest of exquisite pleasures.vise apothecaries in 1540 and in 1553 and pub- But as time went on Fontenelle became morelished the first pharmacopoeia in 1613. From and more estranged from the pure Epicureans the early eighteenth century onward special leg- of his day, because for him the best pleasuresislation, primarily to protect the revenue, con- were those of the intellect. From his skepticismtrolled such articles as tea, coffee, chicory, beer there thus emerged a great confidence in theand wine. progress of the human reason. He thought that In France food control statutes were early there were few reasonable men and doubted ifenacted. In Paris that of 1292 forbade the adul- there would ever be many. These few, however,teration of beer and that of 1330 the mixing had caused the human mind to make essentialand misrepresenting of wines. In 1708 Paris had progress in the past; and now there was openingzoo public wine inspectors. In 1382 millers were up before that mind the boundless vista of theforbidden to mix foreign cereals or legumes with experimental sciences, which were to overthrowwheat; in 1420 bakers were forbidden to grind mystical credulity and the systems of abstract wheat, in order to make adulteration more diffi- philosophers. So far did Fontenelle carry hiscult to accomplish. In 1396 Paris forbade the confidence in reason and in the methods of ex-coloring of butter or the mixing of old butter perimental science that, like many of his con-with new. Henry II proceeded against the adul- temporaries, he would have submitted art andteration of saffron and Philip iv against that of poetry to their canons. drugs, spices and related products. The Paris DANIEL MORNET Conseil de Salubrité, established in 18o2, and Works: Fontenelle's complete works have been pub- later other departmental and municipal councils lished in II vols. (Paris 1758 -66); the 1825 editionexamined and reported on the quality of prod- (5 vols., Paris) contains a Notice historique by J. B. J. ucts and began to acquire jurisdiction over foods Champagnac. and drugs. Consult: Maigron, L., Fontenelle, l'homme, l'oeuvre, In Germany records of regulation go back to l'influence (Paris 1906); Mornet, D., La pensée fran- the thirteenth century. In 1532 Charles v at- çaise au I'm le siècle (Paris 1926) p. 27 -34; Bury, J. B., Idea of Progress (London 1920) ch. v; Delvaille, J., tempted some imperial regulation, but control Essai sur l'histoire de l'idée de progrès (Paris 1910) p. was exercised almost wholly by local authorities, 210 -23. the towns or the guilds. The dukes of Saxony regulated druggists as early as 1607. Frederick II FOOD AND DRUG REGULATION. Rec-of Prussia appointed drug inspectors. In the ords of government efforts to prevent food and seventeenth century commissions of physicians drug adulteration go back to antiquity. Both supervised apothecaries and published pharma- Athens and Rome made provision against thecopoeias. adulteration of wine. With the growth of the In no country does a general law seem to mediaeval towns there was a gradual transfer ofhave been enacted before the second half of the certain forms of food manufacturing from thenineteenth century. Such laws would have been home to the artisan's shop. As bread baking,futile in the main, for until the invention of the milling, wine and beer making and slaughteringmicroscope about 1590 and the development of 298 Encyclopaedia of the Social Sciences analytical chemistry the means of detectingresult numerous state and federal laws against more than a very few kinds of adulteration didadulteration came to be administered by depart- not exist. ments of agriculture or by agricultural experi- In 18zo Frederick C. Accum inaugurated ament stations and colleges, with which such period of muckraking in England with A Trea-chemists were early connected. tise on Adulteration of Food, and Culinary Poi- The city boards of health established between sons (London). There followed an anonymous 185o and 1875 advocated and secured legislation brochure, Death in the Pot, and finally Hassall'sregulating the quality and sale of meat and mar- Food and Its Adulterations (London r855), em-ket milk. As a result of conflicts between cities, bodying the investigations of the Analyticalmilk dealers and dairy farmers dairy associations Sanitary Commission organized by Wakley, thewere formed which succeeded in having state editor of the London Lancet. As a result generallaws controlling dairy products enacted. In some regulatory laws were enacted in 186o and 1872.states a dairy commissioner still supervises dairy In 1874 there was established in London theproducts. The first general food law was passed Society of Public Analysts, which set up stand-in Illinois in 1874. In 1878 a joint committee ards of food quality and purity. The Sale ofof the principal scientific societies concerned Food and Drugs Act of s 875 with the Amend-with public health matters drew up a model ment of 1879, the Margarine Act of 1887, thelaw for New York. In 1879 the National Board Sale of Food and Drugs Act of 1849, the Butterof Trade recognized by resolution the need for and Margarine Act of 1907 and the Sale offood and drug legislation. Food and Drugs Act of 1927 form the existing About this time the success of oleomargarine English law. in competing with butter induced the well or- In France from 1884 onward general andganized dairymen to secure remedial legislation special laws were enacted. In Germany wide-in a number of states. In 1881 food and drug spread outbreaks of trichinosis resulting fromlaws were enacted in New York and New Jer- measly pork aroused public interest. The impe-sey, and in the ensuing twenty -five years most rial health bureau (now the Reichsgesundheits-states enacted food laws. In 1871 general food amt) was founded in 1876 and a general foodinspection was begun in the District of Colum- law passed in 1879; it has since been widenedbia and in 1888 Congress enacted a food and to control margarine, filled cheese, ediblefats,drug law for the District to be administered by butter, wine and saccharin. In 1900 a new Meat the Bureau of Internal Revenue. In 1898 the Inspection Act was passed. The administrationDistrict health officer was put in charge. Be- of these laws is aided by special research labora-ginning in 1906 many states which had been tories supported by government bodies, cham-without regulation laws until that time passed bers of agriculture and universities; in 1921legislation similar to the federal laws; other there were about no such institutions. Betweenstates brought their laws into harmony with the 1874 and 1921 Sweden, Austria, Switzerland,federal statute. Boards of health enforce the laws Denmark, Italy, Japan and Russia passed lawsin sixteen states, boards of agriculture in eleven, controlling food and drug trades largely alongindependent commissions in fifteen and agri- lines laid down in the German and Englishcultural experiment stations in four. In a few regulations. The laws are administered gener- states there is no active enforcement. ally by health departments of central and local The first national food adulteration law, the governments. Within this same period Portugal,Oleomargarine Act of 1886, since repeatedly Rumania and Spain issued royal ordinances de- amended, was enacted after a hard struggle. In signed to cope with the problem, but neitherthe following year the Division of Chemistry of these countries nor Russia provided proper ad-the United States Department of Agriculture, ministrative or scientific apparatus to detect orthen under the direction of Harvey W. Wiley, prevent frauds. began issuing a bulletin on "Foods and Food Agricultural chemists under the leadership ofAdulterants" (no. 13, 9 pts., 1887 -1902). This Samuel W. Johnson paved the way for stateand later supplements furnished ammunition in food legislation in the United States by exposingthe struggle for legislation. In 1889 the Depart- adulteration in the fertilizer industry and led inment of Agriculture was given its first appro- the fight for further laws to curb adulterationpriation to "extend and continue the investiga- of meat, kerosene, milk, feedstuffs, foods andtion of the adulteration of food, drugs and drugs, paints, insecticides and fungicides. As aliquors." Food and Drug Regulation 299 A United States Supreme Court decision oftation of the first bill to Congress in 1879 there 1887 denied to the states the right to interfereensued a struggle lasting more than twenty -five with the shipment of original packages into theyears. Special interests opposed federal legis- states and thus materially handicapped the en-lation and many members of Congress and forcement of state laws. As early as 1879 Euro-learned jurists questioned the constitutional pean countries began to restrict the importationright of Congress to legislate on the subject as of meat animals from the United States becausewell as the wisdom and the constitutionality of of pleuropneumonia and trichinosis and by 1888 using the taxing power for such purposes. The eleven countries had prohibited the importationoutstanding leader in the fight for federal legis- of pork products from the United States. Inlation was Harvey W. Wiley, chief of the Bureau 1890 Congress passed a very general law relatingof Chemistry. The "embalmed beef" scandal to exported and imported foods and drugs. The of the Spanish -American War and the muck- administration of this law was placed in the raking that followed Upton Sinclair's The Jungle hands of the secretary of agriculture, but no(New York 1906), which dealt with meat pack- special provision was made for its enforcement. ing, and Samuel Hopkins Adams' articles on In 1891 a not very effective meat inspectionpatent medicines in Collier's Weekly in 1905 law was enacted. From 1890 to 1893 there was and 1906 did much to assist his efforts. In 1906 a bitter and unsuccessful fight in Congress overthe Food and Drugs Act and the Meat Inspec- a bill analogous to the margarine law to curbtion Act were passed, dealing only with the the very prevalent adulteration of lard. In 1895interstate and foreign commerce in foods and filled cheese was so heavily taxed that it wasdrugs. The Food and Drugs Act makes a mis- practically driven off the market, in 1897 thedemeanor not of adulterating or misbranding but importation of tea was regulated and in 1898 only of the shipment or offering for shipment in mixed flour was heavily taxed. interstate or foreign commerce of adulterated or In 1902 the Division of Chemistry (called the misbranded goods. Products manufactured and Bureau of Chemistry after 1901) of the Depart-consumed within the confines of a single state ment of Agriculture was authorized in an appro- are subject solely to the control of state laws. priation bill to deny entry to adulterated orThe Food and Drugs Act has been amended to misbranded importations of food. Even widerrequire that the outside of a package bear a powers were conferred upon the secretary ofstatement as to the quantity of food within and agriculture in the appropriation act for the fiscal to prevent the placing of misleading curative year 1904. In 1902 Congress authorized the sec- claims on the labels of medicines, but it does retary of agriculture "to investigate the character not cover statements made in advertising matter of proposed food preservatives and coloringnot accompanying the goods. matters, and other substances added to foods, The early history of the enforcement of the to determine their relation to digestion and tolaw was a stormy one. The Bureau of Chemistry, health, and to establish the principles whichcharged with the collection of the evidence of should guide their use." Under this authoriza-violation of the law, came into conflict with the tion the so- called poison squad formed by Har-secretary of agriculture, with some Department vey W. Wiley investigated boric acid and borax, of Justice officials and finally with Presidents salicylic acid and its salts, benzoic acid and itsRoosevelt and Taft. salts, sulphur dioxide and sulphites, formalde- The lack of harmony in Washington was re- hyde, copper sulphate and saltpeter. flected in a lack of uniformity in local food and In an appropriation act for 1903 the secretarydrug control in the states, in part because of of agriculture was authorized to establish stand- differences between laws but largely also be- ards for food products, but no means werecause of differences in interpretation and ad- provided to enforce such standards. ministration. One of the principal sources of Most of the federal laws enacted up to thislack of uniformity was and to some extent still time had an economic motive. They either pro-is the lack of legally enacted standards and defi- tected the farmer from competition or safe-nitions, which under the federal law exist for guarded the export trade in foodstuffs or both.drugs only, as set down in the United States Some dealt with imports and so had a protective Pharmacopoeia and the National Formulary. As or retaliatory effect as well. Domestic intereststhe result of a conference in 1913 of officials bitterly opposed federal control over the domes- enforcing state food and drug law the secretary tic food and drugs trades, and after the presen- of agriculture established a Joint Committee on 300 Encyclopaedia of the Social Sciences Definitions and Standards, representingthehad become especially interested with the ac- National Association of Food, Drug, and Dairyquisition of the Philippine Islands; and by the Commissioners, the Association of Official Agri-act of March 4, 1909, amended in 1914, the cultural Chemists and the United States De-United States prohibited the importation and partment of Agriculture. The secretary of agri-use of opium for other than medicinal purposes. culture publishes definitions and standards forThe Harrison Narcotic Act, applying to both food or drug products set by this committee.opium and cocaine, was passed December 17, Although such standards do not have the force1914, and amended May z6, 1922. It is admin- of law, in practise they have great weight withistered by the Bureau of Internal Revenue, the trade, local enforcing officials and the courtswhich through the imposition of a small tax and have helped to bring about a greater degreerequires all who handle or use these drugs to of uniformity in the control of food and drugbe registered and to keep records in order that products. illegitimate trade and uses may be punished. The enactment of food and drug standardsIn addition, international conventions have been by law has often been advocated both in thisadopted in an effort to restrict international country and abroad. While such standards would trade in opium and its derivatives. make enforcement simpler, less expensive and While the Harrison Narcotic Act, the Meat more efficient, the existence of rigidstandardsInspection Act and the Food and Drugs Act difficult to change would be likely to hamperhave cured or restricted many very great evils, progress in the food industries and torenderthey have grave defects apart from errors of difficult the introduction even of meritoriousadministration. So far as concerns the Food and new articles or new methods ofmanufacture.Drugs Act the most serious are the lack of This might be avoided by delegating the author-authority to inspect warehouses, of any restric- ity to promulgate and to alter definitions andtion whatsoever upon the use of the most viru- standards to some responsible government ad-lent poisons in drugs or of jurisdiction over ministrative agency. fraudulent statements other than those in or The history of legislation in control of drugsupon the packages of foods or drugs. Further- differs from that dealing with food because ofmore, the common practises of adulterating such the general regulation of pharmacy as a profes-commodities as textiles, leather goods, cosmetics sion. The practise of pharmacy laws passed byand articles of common household use, some- the states early in the nineteenth century helpedtimes with dangerous substances, is altogether maintain the purity of medicines. Furthermore,uncontrolled. a large proportion of crudedrugs has always CARL L. ALSBERG been imported, and proposals to supervise im- See: ADULTERATION; CONSUMER PROTECTION; PUBLIC portations met little opposition. The New York HEALTH; INSPECTION; FOOD INDUSTRIES; MEAT PACK- College of Pharmacy, soon joined by the Phila- ING AND SLAUGHTERING; MEDICAL MATERIALS INDUS- delphia College of Pharmacy, urged legislation TRIES; OPIUM PROBLEM. in 1831, and Congress responded in 1848 with Consult: FOR GENERAL DISCUSSIONS: Wassermann, L., Der Kampf gegen die Lebensmittelfälschung vom Aus- an Act to Prevent theImportation of Adulter- gang des Mittelalters bis zum Ende des 18. Jahrhunderts ated and Spurious Drugs. The administration(Mainz 1879); Mezger, Otto, Tiber die Entwicklung of the law became unsatisfactory after a few der Lebensmittelkontrolle in den verschiedenen Kultur- years, since drug examiners wereusually ap-staaten (Stuttgart 1913); Beythien, A., Die Beur- teilung der Nahrungsmittel (Leipsic 1919); Blyth, A. pointed for political reasons rather than forW. and M. W., Foods, Their Composition and Analysis fitness. (5th ed. London 1903). See also the files of the follow- In 1887 Congress passed an act to prevent the ing periodicals: Annales des falsifications, published importation of opium, and from 1895 to 1906monthly in Paris since 1908; Analyst, monthly in many states and territoriespaid special attention London since 1876; Journal of the Association of Offi- drugs in theircial Agricultural Chemists, quarterly in Baltimore since to opium and other habit forming 1915; Zeitschrift für Untersuchung der Nahrungs- und general food and drug legislation. In 1907 North Genussmittel sowie der Gebrauchsgegenstände, monthly Dakota required the presence of habit formingin Berlin since 1898, with the irregular supplementary drugs to be declared upon the labels of medi- volumes Gesetze und Verordnungen sowie Gerichtsent- cines, establishing a widely followed precedent scheidungen betreffend Nahrungs- und Genussmittel und Gebrauchsgegenstände (Berlin 1909- ). which has practically driven narcotics out of FOR THE UNITED STATES: Congdon, L. A., Fight patent medicines. Such legislation failed to con-for Food (Philadelphia 1916); Food and Drug Laws, trol the opium evil, in which the United StatesFederal and State (Annotated), ed. by C. W. Dunn, Food and Drug Regulation-Food Industries 301 3 vols. (New York 1928 -29), and supplement;UnitedDrug and Insecticide Administration, Institute of Gov- States, Department of Agriculture, Bureau of Chem-ernment Research, Service Monograph, no. so (Balti- istry, "Foods and Food Control. Revised to July 1, more 1928). 19o5" by W. D. Bigelow, Bulletin, no. 69 (revised) OTHER COUNTRIES: United States, Department of (1905 -06); United States, Department of Agriculture, Agriculture, Bureau of Chemistry, "The Food Laws Office of the Solicitor, Food and Drugs Act, ,une 3o, of the United Kingdom and Their Administration" 1906, and Amendments of August 23, 1912, and March by F. L. Dunlap, Bulletin, no. 143 (1911); Juckenack, 3, 1913, with the Rules and Regulations for the Enforce- A., Die deutsche Lebensmittelgesetzgebung (Berlin 1921); ment of the Act, Food Inspection Decisions, SelectedMonier, F., Chesney, F., and Roux, E., Traité thé- Court Decisions, Digest of Decisions, Opinions of the orique et pratique des fraudes et falsifications, 2 vols. Attorney General, and Appendix (1914); United States, (2nd ed. Paris 5925-27); Chicon, F., Le contrôle ad- Department of Agriculture, "Rules and Regulations ministratif des viandes (Clermont - Ferrand 1923); Co- for the Enforcement of the Food and Drugs Act ofdex alimentarius austriacus, 3 vols. (Vienna 1911 -17); June 3o, 1906, as Amended," Circular, no. 21 (8th Schweizerisches Lebensmittelbuch (3rd ed. Berne 1917); revision, 1922); United States, Department of Agri- Georgiadès, N., "Les fraudes alimentaires en Égypte" culture, "Report of the Chemist" by C. L. Alsberg, in Institut Égyptien, Mémoires, vol. viii (1915) 95- Annual Report, 1917 (1918) p.199 -218; United 144; United States, Department of Agriculture, Bu- States, Department of Agriculture, Bureau of Chem- reau of Chemistry, "Pure Food Laws of European istry, Service and Regulatory Announcements (irregu-Countries Affecting American Exports" by W. D. lar, 1914 -23), and Food, Drug and Insecticide Ad- Bigelow, Bulletin, no. 61 (1901). ministration, Service and Regulatory Announcements (irregular, 1927-); Weber, Gustavus A., The Food, FOOD GRAINS. See GRAINS. FOOD INDUSTRIES INTRODUCTION INEZ POLLAK BAKING INDUSTRY Europe URSULA BATCHELDER STONE United States G A. STEPHENS BEVERAGE INDUSTRY ROBERT W. DUNN CONFECTIONERY INDUSTRY ROBERT W. DUNN FOOD DISTRIBUTION Grocery Trade PAUL H. NYSTROM Perishable Products, United States W. P. HEDDEN Food Distribution in Western Europe INEZ POLLAK Food Distribution in Russia ALEXANDER GOURVITCH

INTRODUCTION. Food industries are a prod-and a few luxury products never ceased, but the uct of urban civilizations. Primitive peoples,preparation and distribution of most foods were whether absorbed in the struggle for mere exist-entirely local matters. Gradually, however, as ence or relying on nature's bounty, lead too im-order was reestablished the towns revived and mediate a life to develop what could strictly betheir skilled freemen formed themselves into called industries of any kind. But when at cer-guilds of bakers, vintners, pepperers, fishmon- tain favorable sites the city evolved from the vil- gerers and the like, which acquired monopolies lage, growing wealthy through trade or throughof the production and sale of certain foodstuffs. military strength, the community ceased to be The invention and use of power machinery self- supporting. Foodstuffs had to be securedand the industrialization it entailed, by enabling from the surpluses of surrounding territoriesthat fraction of the population which is engaged and the maintenance of the food supply becamein agriculture to support large city populations, a prime object of government. Dealersin grain,have vastly raised the standard of living of the oil, wines, figs, spices and dried fish appeared;community as a whole and have been both the they organized, usually under the supervisioncause and the effect of the development ofmod- of the authorities, the earliest food industries. em food industries. In the newly settled coun- With the disintegration of the Roman Empiretries this development has been more striking the channels of economic life in the westernthan in the old. European peasants have since world were blocked and cities dwindled in sizethe Middle Ages lived, for protection and mu- and power. The agrarian feudal system, torn bytual aid, in communal groups, which made pos- constant strife, was forced to rely on the peddler,sible a certain degree of specialization of func- the fair and the market for all but the baretion and the provision of common facilities, such necessities of its food supply. Trade in spicesas mills and bakeries supervised andregulated by 302 Encyclopaedia of the Social Sciences the authorities. But the settlers of the Americanfrom houses to apartments with their small continent were of necessity self -sufficient. Eachkitchens and decreased storage space; and the in- household raised and prepared its own food andcreased renting and frequent moving, which de- its own textiles. Today as a result of modern in-ter the installation of cooking equipment, have dustrial processes the city dweller knows ofcombined to revolutionize the types of food pur-. milk only that it comes from a bottle, of bread chased by the housewife in the large and even the that it is wrapped in cellophane, of vegetablesmedium sized American city. Bread, breakfast that they come regularly to market. But to pro-foods, canned goods, soft drinks, ice cream and vide him with his fruit and cereal for breakfast,confectionery are now staples. The trend away his coffee with cream and sugar, his bacon andfrom home cooking has gone even further: ac- eggs, his buttered toast andjam, great indus-cording to the census of distribution 136,000 tries have been developed during the last hun-restaurants and other eating places sold in 1929 dred years to gather these foodstuffs from the pro-food valued at $2,100,000,000, an amount al- ducer and transport them to the manufacturer,most one fifth as large as the net sales of $11,- to process them and to distributethem through300,000,000 made by the 498,000 retail food wholesaler and retailer to the ultimate consumer. stores. Combined sales of restaurants and food Especially in the United States but also instores accounted for more than a quarter of the many European countries inthe last two decadestotal retail sales of the country. changes in technique and scale of operation have Great as the changes have been, the problem had such far reaching results that the situationof the efficient distribution of food is by no in 1931 differs in kind rather than in degreemeans solved. The wastes of overproduction and from that of the pre -war period. At each stageof spoilage and the distributive costs resulting the individual enterprise is being supersededfrom unnecessary handling, too much competi- by the heavily capitalized corporate or coopera- tion and excessive advertising are enormous. The tive organization. The producers' society nowproblem of price control looms more insistently sells fruit, dairy products, milk, livestock andwith every increase in the size and power of the wheat directly to the chain store or to thelargecorporations controlling the food industries. manufacturer. Nationally advertised brands are The importance of reducing costs and stimu- proof of the fact that the whole United Stateslating consumption is obvious in a world where forms essentially one market for the less perish-large parts of the population suffer from periodic able foodstuffs. The market for staples suchfamine and chronic undernourishment. The as cereals, canned goods,chilled meat and fruitChinese, who live on a daily handful of rice or and even cheese is world wide. The consumer pulse, cannot support large scale food industries. alone lags behind in successful joint action toIn certain parts of Europe the lower standard promote his interests. of living limits trade in cereals, dairy products Nevertheless, the changing demands of theand meat intended for domestic consumption. consumer have fundamentallymodified theAnd even in the United States there are wide manufacture and distribution of foods. The av-variations in effective demand for foods. Con- erage diet today includes moremilk and dairysumption of meat, dairy products, white flour products, more sugar, more vegetables, moreand vegetables is greater in the north and west fruits generally, but fewer apples and fewerbread-than in the mill villages and mining communities stuffs than thirty years ago. An estimated declineof the south, where compulsory trading at high of so percent in the per capita calorie valueofpriced company stores often cuts far into the the food consumed has been attributed totheworker's low purchasing power. lessening of physical labor in the machine age; Governments have from the earliest times been to the increasing proportionof old people in the forced by the narrow margin of subsistence to population; and more particularly to a greatertake action to preserve and promote the quantity, knowledge of food values, which has led to care quality and price of essential foods. In Europe in the selection of the diet, partly in theinterestprices of important commodities have been de- of fashion, partly of hygiene. The growingtermined by the authorities and the hours and demand for ready to serve foods may be at-conditions of work in food processing establish- tributed more directly to the effect ofindus-ments regulated. In the United Statesemphasis trialization and mechanization on communityhas been placed on inspection and regulation of life. The smaller families, which make possiblequality and on the prevention of monopoly con- women's activities outside the home;the shifttrol. The tariff has also been used to influence Food Industries 303 prices- generally, as in Germany today andstones had by the time civilization had pro- less effectively in the United States, to protectgressed far enough to leave written records been the farmer; few countries have followed thelargely superseded by the more satisfactory fer- English in rejecting tariffs on food.Yet evenmented product. All the cereal grains and many Great Britain has levied the customary internalvarieties of nuts, vegetables and fibers have been revenue duties, sometimes with startlingresults, used as breadstuffs at one time or another. Wheat, on such staples as tea, salt andbeverages, thehowever, has always been the staple grain of the consumption of which, it was thought, wouldMediterranean peoples, and as the northern scarcely be affected. Europeans became acquainted with its use they In Europe the consumers themselves havetoo tended to adopt it as a basic food. While rye shown a more active interest in the question ofis still the major cereal food for large portions of food distribution than have the more mobilethe human race, the use of wheat has grown populations of the United States; and by thesteadily even in areas where it cannot be raised organization of consumers' cooperative societies in sufficient quantities to satisfy the demand. they have done much toward its rationalization. Early in the history of Egypt, Greece and The English Cooperative Wholesale Society, for Rome as well as of China and the rest of the instance, owns a tea plantation in India, dairyOrient there existed a thriving bakers' trade, and fruit farms in Great Britain and is the largestwhich because of its fundamental relation to the flourmilling operatorinthecountry.Infood supply was invariably under close state Germany, the Scandinavian countries, Switzer-supervision. Although in these early communi- land and Czechoslovakia the consumers' socie-ties the baker often operated on a purely corn - ties are especially significant; only in southernmercial basis he sometimes performed also a Europe have they failed to make much headway. communal or religious service. Bakers' guilds Soviet Russia has gone farthest, in theory atwere of importance in Rome and also inHellen- least, in fitting the food industries into a plannedistic Egypt and the Byzantine Empire. economy and in encouraging theconsumers' In mediaeval Europe baking and milling were cooperative society, an organic part of thefeudal rights accruing to the lord of the manor state, to undertake the production as well as theand were among his most lucrative forms of tax- distribution of food. ation. In order to enforce his right and since With increasing integration lines of demarca- moreover he alone owned the rather expensive tion between the various food industries areequipment necessary to perform these opera- becoming less clearly drawn: large distributorstions he compelled all baking to be done in a of food themselves engage in its processing;communal oven. Where the feudal authority meat packers are drawn into the production ofrested in a monastery or in some religious digni- staple grocery products. It has therefore been tary, either of these exercised the same privilege. somewhat difficult to separate sharply the dis-It is probable that the more isolated rural com- cussion of food industries from other topics.munities always did their own baking. In general this article has been restricted to a In the towns the monopolistic character of the treatment of those still distinct industries whichbaking industry closely resembled that of other involve only the processing of food and to amediaeval industries. The bakers' guilds at- survey of the problems of fooddistribution.tained a high rank among the industrial guilds. Food supply and the production of certain foodsIn general their position was protected by strin- as well as those industries, such as meatpackinggent apprenticeship requirements restricting en- and slaughtering, canning and the dairy in-trance to the trade. In return for a monopolistic dustry, in which the earlier stages of productionrelation to their market they were subjected to form an integral part of the industry, are treatedrigorous supervision designed to restrict the separately. price of bread and to protect the food supply by INEZ POLLAK definite provisions as to the exact quantity, qual- ity and type of ingredients to be used in the BAKING INDUSTRY. Europe. The early recordscomposition of bakery goods. At a somewhat of every known civilization make it clear thatlater period more general codes for the conduct from time immemorial peoples living in closeof the baking industry became common. The settlements have been served by members of the English Assize of Bread of the year Iz66 affords bakers' craft. The small unleavened cakes whichan example of this early type of restriction.The primitive peoples baked before a fire on flat enforcement of the law was left to the local au- 304 Encyclopaedia of the Social Sciences thorities, who at set intervals drew up tables ofprocedures which do not differ fundamentally the required weight of a loaf of bread of a givenfrom those described in the inscriptions and price and quality as determined by the existing literature of ancient civilizations. There is, how- price of wheat plus an allowance for expenses ofever, considerable interest in baking techniques; production and a small profit. The assize wasin England, Scotland, Germany and France the still in effect in parts of England in 1836, whenindustry supports trade schools with expert it was finally repealed and bakers were requiredstaffs engaged in both training and experimental to sell their bread by weight. work. In other countries restrictions surviving from The bread industry as a sheltered trade safe the Middle Ages still hamper the freedom of thefrom foreign competition has paid relatively high baker. French bakers in addition to being subjectwages. In Germany the average wage for skilled to the ancient taxe du pain are forced to sell theirworkers as established by collective agreements bread at a price set by the local authorities; andincreased from RM 28.84 in 1913 to RM 46.18 although the law of 1924 gives the industry morein 1928 and made a further advance in 1930 to freedom, they claim that the price is often set RM 50.69. The wages for apprentices rose from with a view to political expediency regardless ofRM 23.45 in 1913 to RM 39.89 in 1928 and bakery costs. Bread prices in Germany are alsoRM 43.58 in 1930. In England in 1924 men, fixed by governmental authority and the condi- who form 85 percent of bakery employees, tion of the trade is strictly controlled by theearned 54/I for a 48 -hour week, women 24/11. government acting in conjunction with a veryTrade union organization is fairly strong when effective union organization. In certain countries allowance is made for the large portion of the the vital importance of bread has caused theindustry still conducted on a small scale, often authorities to regulate the industry more drasti-by the proprietor and his family. In 1929 Ger- cally than ever before in peace time. Since 1928many reported 23,400 bakers in the open union, Italian bread production has been subject to2300 in the Christian Socialist union and 32,840 complete control by the state. In Russia breadsons of master bakers in the Meisterfreundliche can be sold only to holders of ration cards. "Bund der Bäcker- and Konditoreigesellen." The European baking industry emerged from Night work has been characteristic of the bak- the Middle Ages with a well defined market. ing industry. The nature of the production proc- Since the average European household was notess and the time element involved have made it equipped for baking, the consumer was accus- expedient for the baker to work at night if he is tomed to supply his bakery needs at the bake-to supply his clientele with fresh bread at an shop. This situation affords an interesting con-early morning hour. European governments have trast with that in the United States, where theuniversally prohibited night work on the ground isolation of the pioneer household with its in- that it is unhygienic and deleterious to the work- grained custom of home baking definitely re-ers' health; but in many cases the bakers them- tarded the development of the commercial bak-selves strenuously protest against such regula- ery. At the present time the commercial bakertions and are often willing to pay the penalty produces practically all the bread consumed ininvolved by violation rather than conform. most countries of Europe. In contrast with the In many parts of Europe cooperative societies prevalent over -the -counter methods of retailinghave been conducting bakeries for many years. in the United States, in Europe over 8o percent In England these bakeries form one of the largest of all bread is delivered at the door by the baker's departments of the cooperative society and have wagon. attained a size not surpassed by the non- cooper- The greater part of European baking is stillative commercial establishment. In France the done on a very small scale by craftsmen pro-cooperative has been smaller in character and ducing a varied line of baked goods and cateringhas been largely a place where arrangements are to the demands of particular clienteles. Littlemade for farmers to exchange wheat for bakery or no machinery finds its way into such shopsproducts. In Germany 3o percent of the con- and, while many individual bakers have become sumers' cooperatives operate bakeries. consummate artists in some particular line, Certain advantages accrued to the baking in- standardization of product as it is known in thedustry as a result of the World War. The prob- United States has been very slow to take rootlem of baking the immense amounts of bread among European populations. The typical Euro- required by the armies hastened the introduc- pean baker today uses inherited rule of thumbtion of more modern methods of production, and Food Industries 305 government operated bakeries equipped in theping machinery as well as standardized mate- most modern manner were erected in manyrials that bakers' bread is often superior to the places to supply this demand. Chemists devoted homemade product. It may generally be had so their attention to problems of fermentation andcheaply that where readily available it has practi- the best combination of materials. Productioncally eliminated domestic baking of plain breads. wastes were investigated and cut down. At theWhile it was estimated that in i 90 r only one end of the war the industry found itself with athird of the urban bread consumption was sup- body of authentic information which was based plied by the baker, in 1918 the baker's share had on scientific knowledge rather than the rule ofrisen to two thirds, and in 1928 according to a thumb procedures of centuries. Although the re-study made of bread purchasing habits in fifteen laxation of government supervision in the pastPennsylvania towns fully seven eighths was pur- decade has allowed most of the bakers to fallchased. Per capita consumption according to the back into their old habits, a modicum of im-Pennsylvania survey averaged 2.53 loaves a week, provement remains. Several mechanized baker-ranging from 3.05 loaves per capita in Russian ies have sprung up in northern England, Scot-households to 2.32 loaves in American. Lower land and Ireland. Austria has one of the largestAmerican consumption is perhaps an indication and most perfect mechanical bakeries in the that as standards of living increase bread tends world in the Hammer Plant at Vienna. Sovietto form a smaller part of the food supply. Russia has built a mechanized plant in Moscow In spite of the increasing diversity of the aver- which is big enough to feed one third of the pop-age diet bread remains an important food. Com- ulation of that city. Mussolini has decreed themercial baking ranked tenth among the fifteen remodeling of all bakeries so that bread can bebillion -dollar industries in 1927, and was ex- produced by the most sanitary and efficientceeded among the food industries only by meat methods. He proposes that in five years all Ital- packing and slaughtering. Factory production of ian bakeries located in cities of20,000inhabi-bakery products in 1929 was valued at $1,510, tants shall be equipped in the most modern 000,000, of which approximately 55 percent was manner. bread, 26 percent cake and pastries and 19 per- The European baking industry will no doubtcent biscuits and crackers. Progress in the tech- gradually develop more large scale units, particu- niques of baking has served both as cause and larly if the apparent trend toward mechanizationeffect of the expansion of the baking industry continues; but for the present such bakeries are and has made possible an increase in the scale of not making great inroads upon the small estab-production. The modern factory is superseding lished bakeries. There are two essential reasonsthe cellar bakery in the making of bread as well for mechanization: conservation of raw materialsas of crackers. As in other industries the growth and conservation of labor. It has never beenin the size of the production unit has been fol- demonstrated that a mechanized bakery unitlowed by the grouping of units under central uses raw materials more effectively, although itcontrol. Of the nearly 17,000 bakeries in opera- does of course conserve labor. Since, however,tion in 1925, 278, or 1.6 percent, operated by labor is plentiful in Europe and since there is no fifty -seven companies, produced more than 3o reason to believe that the mechanized product ispercent of the estimated output of commercial superior to that of the craftsman, it is probablebread. that in the near future there will be relatively The first consolidations of bread bakeries oc- few changes in the essential character of thecurred early in the nineteenth century and were baking industry. local in character, uniting actual or potential URSULA BATCHELDER STONE competitors. After 1910 combinations of plants located in different cities began to take form and BAKING INDUSTRY. United States. In America in 1921 reconsolidation of bakery organizations the growth of the baking industry has accom-was begun. By 1925 there were thirteen compa- panied the urbanization and industrialization ofnies operating 222 plants. Early in 1926 the the country. The isolated farmer's wife bakedWard Food Products Corporation was organ- her own bread, and until recently many a cityized; its apparent purpose was to hold the stock housewife followed her example. But beginningof the three corporations in which W. B. Ward with the discoveries of Pasteur concerning yeastwas interested: the Ward Baking Corporation and its cultivation science and invention have sooperating eighteen bakeries, the General Baking perfected automatic mixing, baking and wrap-Corporation operating forty -two and the Conti- 306 Encyclopaedia of the Social Sciences nental Baking Corporation operating, in theprice through the wholesale channel of $.o86. United States, ninety -one. These three corpora-This included credit and delivery on perhaps 6o tions had been affiliated at one time or anotherpercent of the bread. The consumer's price on through a community of stock ownership and ofbakery bread delivered from house to house was organizing personnel and produced nearly oneslightly more ($.o89) and included full delivery fifth of the commercial bread of the country asand large credit services. The consumer's price well as a considerable proportion of the cake.on chain store bread averaged $.o6 and included Shortly after the organization of the Ward Foodno delivery or credit. Generally speaking, ingre- Products Corporation the Department of Justicedients of poorer quality are used in chain store filed a bill in equity against the several Wardbread and selling and advertising costs appear corporations and against various individuals al- to be lower. On the other hand, chain stores fre- leging violations of the federal antitrust acts andquently sell bread as a "leader" at little or no asking for an injunction to prevent further viola- profit, while some bakeries appear to charge a tions. The court entered a consent decree dissolv- part of the extra cost of their fancy products ing the Ward Food Products Corporation and against their plain staple loaf. The advantage of restraining the several defendants in respect to lower costs claimed for the bakery merger has their future interstate activities. Notwithstand-not been proved by cost studies, in which com- ing the activity of the government the mergingparison of the costs of plants of single plant of bakeries has continued and has sometimescompanies with those of multiple plant compa- proved very profitable. In 193o the common nies, size for size, has disclosed little difference, stock of one, the General Baking Company, ex- slightly lower administrative costs being offset panded by stock dividends, was earning theby higher expense for materials. The case is equivalent of $146.97 per original share valuedbetter for large scale plant production, for al- in 1916 at $2. Consolidation of baking and otherthough there are marked exceptions, large plants general food companies is also taking place. Inusually have lower costs than small. 1931 after a bitter proxy fight control of the Bread prices follow in a general way those of Ward Baking Corporation passed to interestsflour but with considerable lag and with less fre- connected with the Gold Dust Corporation andquent and extreme changes. Where differences the Standard Milling Company. in costs are slight, the greater stability of bread Classified by method of distribution bread bak- prices in some cities than in others indicates a eries fall into two principal groups: the whole-lessening of competition. To what extent the sale bakery system and the retail. The Wardmerger is a contributing factor in this has not companies are the leading examples of the for-been demonstrated. The three companies for- mer, the chain stores of the latter. According to merly dominated by Ward are, however, said to the preliminary census of 1929 approximately 8zcontrol 90 percent of the wholesale market in percent of the 16,204 bakeries reporting did anNew York and other large eastern cities. Trade exclusive or partial counter business; this group,associations, national, district and local, are often however, apparently produced less than 5o per-instrumental in reducing competition. Local cent of the volume. The study of purchasingprice agreements have been found to be opera- habits in the fifteen Pennsylvania towns referredtive in some instances. The fact that the bread to above indicated that grocery and delicatessentrade is usually intrastate makes action by the stores selling their own or wholesalers' brandsfederal government impracticable even where supplied 58.9 percent of the bread consumed, monopoly conditions prevail. Bread prices in the retail bakeshops 16.4 percent and bakers' wagons United States are not only higher than Canadian 28.1 percent. prices and twice as high as British prices, al- Average bread costs of wholesale bakeries forthough British bread is made from imported the period from 1923 to 1925 as shown by thewheat, but they show less tendency to decline Federal Trade Commission were $.o67 perduring depression. The American retail price in pound, of which $.o23 was for flour, $.o91 forDecember, 1930, averaged $.o85 as compared other ingredients,$.o17 for manufacturing,with $.o9 for the yearly average in 1929, while $.016 for selling and delivery and $.002 forthe corresponding figures for Canada were $.o66 general and administrative expense. Labor costsand $.078 and for Great Britain $.o38 and $.o44. for three large companies were only $.006 in Cooperative bakers have had comparatively 1930. Average profits were $.007. An averagesmall success in the United States. Out of 656 retail grocer's margin of $.o1z gave a consumer'sdistributive societies studied in 1930, including Food Industries 307 over a third of the consumers' cooperatives in Partly as a result of aggressive organization the United States, only eight were bakeries. Inactivities the nominal yearly wages of bakers addition twelve general societies operated baker-have more than doubled since 1909 and hours ies, as did one wholesale society. The eighthave been reduced 20 percent. The forty -eight bakeries reported a net gain of 1.8 percent onhour week with one day off is becoming com- sales totaling almost $1,000,000. mon. Night work is gradually being eliminated The manufacture of biscuits and crackers con- by agreement and in the case of women by state stitutes a distinct although minor branch of thelegislation. The percentage of child wage earners baking industry and is characterized by a rela- is much smaller than formerly; on the other tively small number of plants of large but practi-hand, women are increasing in number, corn- cally stationary output. The value of the productprising over one fourth of all the wage earners of the 176 plants in the United States in 1919in the industry in 1919. Union agreements pro- averaged $1,159,000, of the 220 plants in 1927vide for equal wages for equal work as between $1,132,000 and of the 261 plants in 1929 $1,-men and women and otherwise safeguard the 019,000. Large scale production is made possibleworking conditions of women. The yearly in- by the low perishability of the product and bycome of all wage earners, excluding those in the the simple processes of manufacture, which favor biscuit and cracker industry, averaged $1450 in the use of automatic machinery and high divi- 1929. Hourly earning, however, as of January, sion of labor. Because of the large capital out- 1931, in nine large cities showed great variation, lay required plants are usually owned by corpo- ranging from $.93 in New York and $.82 in Chi- rations. The leading cracker manufacturer, the cago to $.73 in Boston and $.56 in New Orleans. National Biscuit Company, operated in 1921A study of wages in Cincinnati in 1925, where twenty -eight cracker plants having 29.9 percent75 percent of the workers are organized and 40 of the output of this branch of the industry. In percent are on night shift, indicated that women's 1928, besides increasing its cracker bakeries tomodal earnings averaged from $12 to $15 a week forty -one, producing about half of the total inwhile the men averaged about $30. In the cracker the United States, this company was operatingindustry, where less skill is required than in the eighteen bread and cake bakeries and a millingbread and cake industry, the number of women company which milled flour exclusively for theworkers is relatively large and wages are conse- company bakeries. Not only has it acquired many quently low. In 1929 annual income averaged of its bakeries through merger but it has re-.only $rolo for all wage earners. cently added the Shredded Wheat Company and With a view to safeguarding the cleanliness Wheatsworth, Inc., to its holdings. Its policiesand wholesomeness of the product two thirds of have been so successful that since 1922 it hasthe states have enacted legislation regulating the been able to split its stock seventeen and oneconditions of employment in bakeries and other half for one. food producing and distributing establishments. The nineteenth century bakery was generallyThis legislation sometimes combines ideas of small. Much of the labor was performed by theemployee welfare with protection of the public owner and employed labor was never stronglyhealth. Since 1917 the establishment of a ten - organized. Hours were long, frequently runninghour limit for men in certain trades, which was to 120 per week, and night work was the rule.held unconstitutional in 1905 in the case of Wages for the skilled baker rarely exceededLockner v. New York (198 U. S. 45), has been $2.50 per day. The growth of the bakery unitrecognized as legitimate. New Jersey has such a which created an increasing proportion of wagelaw today. Many states have enacted laws re- workers was followed by more effective unioni-quiring bread to be wrapped, regulating weights zation. The Bakery and Confectionery Workers' of loaves and prohibiting the return of stale International Union with 20,000 members, in- bread to the bakery. Both federal and state gov- cluding workers in ice cream and cracker estab- ernments have, under the authority of pure food lishments, has locals in many cities where thereacts, adopted standards of quality and purity of are considerable numbers of bakery employees.bakery products. The larger bakery plants have, however, proved G. A. STEPHENS harder to organize than medium sized plants. The great majority of the 200,000 workers in BEVERAGE INDUSTRY. Mankind has made use bread and biscuit establishments are still unor-of a great variety of beverages in the course of ganized. the centuries. Water, the simplest, is still the 308 Encyclopaedia of the Social Sciences most widespread and in bottled form it is the The largest division of the beverage industry, basis of a minor industry for regions where theaccounting in 1929 for about 8o percent of the local water supply is impure. Alcoholic bever- value of the total product, manufactures carbon- ages are among the oldest of all drinks (see ated beverages. These are made of water, sweet- LIQUOR INDUSTRY; WINE); of more recent use, ening, fruit juices, fruit acids or root flavors and especially in Europe, are tea and coffee (seecoloring ingredients, into which carbon dioxide PLANTATION WARES). gas is forced under pressure. Of the 7500 bot- Most recently developed are the carbonated tling plants in this field only about half are large beverages, the manufacture of which has grown enough to be included in the census figures. to striking proportions in the United States inOutput in the United States increased from 6; recent years. Mechanically carbonated or aerated 000,000,000 half pint bottles in 1916 to 12,500, - waters were first manufactured in Geneva by000,000 in 193o, indicating an average per capita Nicolas Paul in 1790. In the United States theyconsumption in 193o of no half pint bottles were first produced by a Philadelphia chemist,without allowing for exports. Producers and who in 1807 used the process of artificiallybottlers of these carbonated drinks claim to em- charging water with carbon dioxide, which hadploy more than 120,000 persons, including sales- been discovered by Joseph Priestley in 1772. Themen, delivery men and salaried employees, or soft drink became the popular substitute for thean average of about sixteen to a plant. Workers spring waters which had long been used for theirengaged in manufacturing operations number medical properties by wealthy Europeans. not more than 25 percent of those employed by Since the passing of the Volstead Act the termthe average firm, because of the unusually large beverage industry as used by the United Statessales and distribution force. census includes only the manufacture of what The introduction of modern automatic ma- are popularly known as soft drinks, carbonatedchinery has revolutionized beverage production. beverages (soda, pop, ginger ales and the like),Until 1914 hand processes were still nearly uni- cereal beverages, fruit juices and mineral waters.versal. But by 1919 specialized automatic ma- This article will be confined to a discussion ofchinery had been installed which mechanized such beverages. In 1929 approximately 1o,000almost all operations from the mixing of ingre- concerns in the United States were engaged indients to the filling and corking of bottles. Auto- manufacturing and bottling these beverages; inmatic conveyors are used extensively, especially 5047 of these establishments the census in 1929in the larger plants. Where the best foot power reported some 28,000 wage earners engaged inmachines previously produced forty to fifty cases the manufacturing processes. a day, the present day machines will produce The prohibition law in the United States has600 to z000 cases; and new machines with faster contributed considerably to the demand for non-speeds are being developed each year to wash, alcoholic drinks. Sales of one national brand ofsterilize, syrup, fill, crown and label bottles. root beer increased fourfold during the first tenAutomatic labeling machines, for example, work years of prohibition, and the market for gingerat the rate of 1zo bottles a minute; large bottle ales and other mixers has widened enormously.washing machines both cleanse and sterilize as The near beer industry has disappointed themany as 6000 a minute. A typical crowning ma- hopes raised by its first six months of popularity.chine has a capacity of about 13o a minute. Real beer, whether imported or diverted, has Large scale production and the growth of competed all too successfully with the legal ar-companies doing business on a national scale ticle. The total output of z percent beer in 1927have been greatly facilitated by scientific dis- amounted to only 7 percent of the beer produc-coveries, such as new methods of refrigeration, tion of 1914. In 1926 the Enforcement Bureauand crystallization and electrical pasteurization established the Brewers' Unit, with which theof fruit juices. Refrigeration has made it possible legitimate brewers cooperate in detecting offend-to concentrate and freeze certain fruit juices for ers; but, although this has improved the situa-storage and shipping without impairing their tion to a certain extent, the conversion of theflavor or quality. The growth of motor truck old breweries has been a difficult and often dis-transportation has stimulated the development astrous process. In 193o only about 200 brew-of companies serving a much wider territory eries in the United States were engaged in thethan formerly. Some 28,000 motor trucks are manufacture of substitute beverages as againstused in the United States by the beverage bot- 667 in 1921. tling industry. Food Industries 309 With the exception, however, of cereal bever-claims about í5,00o members, some 13,00o of ages, some fruit juices and ginger ales made bywhom are employed by cereal and carbonated large national distributors most beveragesare beverage concerns. These workers still have still made from flavors, syrups or concentrateswage rates substantially higher than those of and bottled at plants serving a local territory inunorganized workers. But even where this union order to avoid the relatively great expense in-has collective bargaining agreements withem- volved in shipping the product. In the case ofployers, as in New Orleans, typical workers such nationally advertised specialty drinks it is cus-as crowners, fillers and machine men were work- tomary for the proprietors to manufacture theing in 1931 for a rate of only $21.50 for forty- syrup or flavor, which is then sold to individualeight hours. Others in bottling departments in bottlers who are given a franchise for a definiteother cities worked for $20 in 1929, while in distribution territory. The Coca -Cola Company,Philadelphia union soft drink bottlers were re- for example, has some 1250 bottlers and 2200ported to be working for a rate of $31 a week. jobbers and sells the ultimate product through Although labor has been poorly paid, the com- more than 120,000 soda fountain distributorspanies, especially those producing nationally and 800,000 bottle retailers. It distributes itsadvertised products, have been making huge syrup in some seventy -six countries, having its profits. One concern, the Canada Dry Ginger own bottling plants in some twenty -seven for-Ale Company, largest manufacturer of ginger eign countries. The company spends more thanale in the world, increased its output from 1,- $5,000,000 a year in advertising its product. The000,000 bottles in 1923 to 90,000,000 in 1929 smaller local manufacturer of the typical softand increased its profits more than tenfold dur- drink who has no franchise from such a biging the same period. The Coca -Cola Company, national advertiser makes and markets his ownwhose sales comprise over io percent of the total product, although he often buys his syrups and beverage sales of the United States, has increased other ingredients from companies specializingits business about to percent each year since in these lines. He is assisted in his sales efforts 1920, and it now makes about 38 cents profit on by the advertising and publicity prepared by theevery dollar of sales. A group of beverage com- American Bottlers of Carbonated Beverages, thepanies investigated by the National City Bank national trade association of the industry. Thisin 1929 reported a higher percentage return on advertising has increased sales not only in thetheir stock than any other group of corporations summer but also in the colder months of thein the food and food products field. year. ROBERT W. DUNN New developments in bottling machinery have not only made beverage manufacturing much CONFECTIONERY INDUSTRY. Sweetmeats have more profitable to the bottlers but have at thetickled the palate of mankind since the dawn of same time reduced wage costs through the in-time. Trade in honey and sugar developed early, troduction of what the employers called un-but the appearance of a confectionery industry skilled and cheaper labor. With the exceptionis a recent occurrence, Even the use of choco- of a few technical men, brewers and chemists,late, now almost a synonym for confectionery, is the labor now used is unskilled. This is reflectedof modern origin. Cacao beans were first brought in the wages of unorganized workers in 1929,to Europe by the Spaniards, who had found averaging from $2o to $25 a week depending onbitter chocolate to be a drink highly esteemed local conditions. Labor cost is the smallest itemby the Aztecs. In spite of Spanish secrecy the in factory cost; in a group of plants of variousnew chocolate drink rapidly became popular sizes examined by a national trade associationthroughout Europe and the culture of the cacao labor costs averaged about 17 percent of totalplant was introduced into the rival colonies of factory costs. Low wages are made still morethe East and West Indies. Fifty years ago it inadequate by seasonal unemployment; many ofbecame established on the African Gold Coast, the smaller plants operate with only skeletonwhich now produces annually over 20o ,000 tons forces during the fall and winter, while othersof cacao beans, nearly half the world's annual shut down entirely when sales drop off. The lowsupply. wage scale of the industry is in part due also to Milk chocolate, invented by King George II's the fact that practically none of the employeessurgeon in 1727, soon became a popular pre- are organized. The brewers' union, which beforescription. Its manufacture on a large scale was prohibition had a membership of ioo,000, nowbegun in 1876 by Daniel Peter, the founder of the 310 Encyclopaedia of the Social Sciences high quality Swiss confectionery industry. Choc- and information about sweets to health workers, olate candies had, however, been sold by Frydoctors and dieticians. Mother's Day raised and Cadbury before the middle of the century.candy sales for May, 1929, 22 percent above the The old English confectionery house of Terry,average for non -holiday months. founded in 1767, added chocolates to its line in In the pre -war period candy was distributed 1886. It is, however, in the United States thatalmost entirely through grocery stores and a few the consumption of confectionery has reachedcandy stores. In 1929 confectionery was distrib- the most astonishing total and become mostuted through 62,00o candy stores and approxi- widespread. mately 6o,000 drug stores as well as through soda fountains, restaurants, cigar, chain, department WORLD CONSUMPTION OF CACAO BEANS (Tons of boo kilos) and general stores and thousands of stands and COUNTRY 1912 1927 vending machines along the motor highways. In United States 67 188 1930 more than half the sales of manufacturers Germany 55 7o were through jobbers, 16 percent through chain Great Britain 28 57 stores and 20 percent through other retailers, Netherlands 25 40 while about 7 percent were sold directly through France 27 28 Switzerland Io 8 stores belonging to the manufacturers. Chain All other countries 40 78 stores have been gaining most in sales in the last Source: Knapp, A. W., The Cocoa and Chocolate Industry (2nd few years: in 1929 nearly half the manufacturers rev. ed. London 1930) p. 173. were selling at least a part of their products Nearly 1,500,000,000 pounds of confectionery,through them. worth $750,000,000 at retail (almost $400,000,- Over two thirds of the confectionery made in 000 wholesale), were consumed annually in thethe United States comes from factories in the United States in the five -year period ending ineastern and central parts of the country; New 1929. These figures do not include factory salesYork, Pennsylvania, Indiana,Illinois, Ohio, of chewing gum, totaling $6o,000,000 in 1929,Massachusetts and Michigan are the leading or of other chocolate and cocoa products, total-states and New York, Philadelphia, Chicago, ing $110,000,000. Boston, Milwaukee and St. Louis the leading The marked increase in the consumption ofcities. The factories have concentrated near the confections in the United States in recent yearscenters of population to lessen costs of distribu- has been attributed to the prohibition law, al-tion and to benefit from the unskilled female though authorities disagree as to whether it islabor available. Control of the industry has be- due to the release of more dollars to be spent oncome increasingly centralized because of the food products in general or to the fact that per-growth of larger concerns and the introduction sons who have stopped the use of alcoholicof more capital. In 1929, 65 firms, 13.5 percent beverages have substituted candy for its stimu-of all those reporting to the government, had lating effects on the body. Other factors in theannual sales of over $1,000,000 and controlled increased consumption of candy are the more63 percent of the national sales volume. The convenient five and ten -cent packages and barnumber of larger firms increases, and mergers forms now distributed and the much wider vari-have absorbed hundreds of smaller ones. Large ety of retail outlets available. Increase in outputconcerns making other types of food and to- has been due in part also to strenuous advertisingbacco products have bought into the industry campaigns. In 1927 alone some 495 leading firmsand grocery and restaurant chains operate their spent over $9,000,000 in advertising, the largeown confectionery plants. This centralization firms with the highest sales totals spending ahas been accompanied by the manufacture of larger percentage of their total sales than thestandardized products by medium sized con- smaller companies. In efforts to combat thecerns and by the mechanization and specializa- competitive appeal of certain cigarette compa- tion of plants. Automatic machinery is now used, nies the National Confectioners' Association, theespecially in making hard candies, marshmallows trade association of the industry, has conductedand certain kinds of chocolates. Even in choco- expensive publicity campaigns which includedlate and cream candy plants where hand dipping the giving of free samples to school children,processes have prevailed there is a tendency to the celebration of National Candy Week andsupplant the old methods with machine dipping "Sweetest Day," radio hook ups, "Sweetestunits. Concentration is most marked in the chew- Girl" contests and the distribution of slogansing gum industry, where standardization and Food Industries 3" low perishability early led to large scale produc- in clean factories by clean workers free from tion and nation wide distribution. contagious diseases. As its chief weapon it has With the exception of the cooking processes,drawn up a list of standards affecting hours, be- which employ men almost exclusively, and theginners' wages, seats, cleanliness, sanitation and process of hand dipping, in which fairly skilledtemperature and has included in a white list women workers are employed, most operationsthose manufacturers in certain territories who in confectionery manufacture require no trainingmeet these minimum standards. Some manu- or special skill and consequently absorb chiefly facturers improved their working conditions in unskilled and inexperienced girl workers. Asorder to have their names appear on the white many as three fifths of the 63,000 wage earnerslist. employed in the United States in 1929 were Although in many European countries the women and girls. Half the candy workers cov-manufacture of confectionery has long been con- ered in an investigation made in New York Citycentrated in a few large houses, neither the mul- in 1928 were earning less than $13.75 for fulltiplication of products nor the introduction of time work during a fairly busy season, while 45 machinery has proceeded so fast as in the United percent of those who worked undertime wereStates. Problems of sanitation and protection of earning less than $11.75 a week. The Industrialthe workers are, however, similar wherever the Bulletin of New York state gives the averageindustry exists. Cadbury's and Rowntree's in weekly earnings for women in representativeEngland claim to have model factories, but Board candy factories in that state in June, 1931, asof Trade figures for the whole English confec- $12.37. tionery industry show that in 1924, 29 percent Although state laws limit the hours of work, of the workers were less than eighteen years old. violations are frequent; sixty -five and seventyAverage weekly wages for females were twenty - hours a week are not uncommon among womenfive shillings and ninepence in 1924, ten shillings workers, especially in the busy seasons precedingand fivepence in 1906. the Christmas and Easter holidays. Employment The high quality Swiss milk chocolate export is extremely seasonal. In typical plants from 33industry, which expanded early in the twentieth to 45 percent of the workers are laid off in thecentury, has since the war been limited by the slack seasons early in January and during the exploitation of Swiss patents in the United States summer. During rush seasons work is speededand other countries. France remains the out- up. In packing, machine dipping and other proc- standing exponent of the small scale production esses conveyors are used, while systems of wageof confectionery delicacies by master craftsmen. payment calculated to achieve the greatest out- ROBERT W. DUNN put are in force in many plants. This speed, eye strain, the absence of seats and the low tempera- FOOD DISTRIBUTION. Grocery Trade. Origi- ture in some of the rooms create health hazards.nally grocer meant one who bought and sold in Studies in New York and other cities showed a the gross; that is, in large quantities. A grocer was large number of factories with low sanitary con- therefore a wholesaler. In England from medi- ditions involving risk for the consumer as wellaeval days dealers engaged in wholesale trade or as for the worker. Although health examinationsforeign trade were known as merchants. In Scot- for new workers or a food handler's card areland, however, as well as later in America the required by law in some states, investigationsterm merchant was applied to retailers as well show that they are disregarded by many con-as wholesalers. In time the term grocer came to cerns, small as well as large. Finger licking isbe applied to the kinds of goods handled rather also permitted in some plants. Of fifty -one plants than to the quantities bought and sold. Today investigated by the government in Chicago andgroceries may have either of two meanings. The St. Louis in 1921 thirty- seven, or almost three first and older use implies a limited list of spe- fourths, fell below the standard of providing hotcific food products; the second includes all foods. water, soap, individual towels and other indis-The older and more restricted use applies to such pensable features of sanitary toilet facilities. commodities as tea, coffee, chocolate, spices, Efforts have been made by the National Con- flour, salt, sugar, vinegar, molasses, dried fruits, sumers' League, cooperating with local consum-packaged and canned goods. These were the ers' leagues, to secure better wages and shortergoods carried in the traditional retail grocery hours for the workers in candy factories, espe- store as distinguished from stores and shops sell- cially the women, and to see that candy is madeing other food products, such as butcher shops, 312 Encyclopaedia of the Social Sciences bakeries, dairy and poultry products shops, fruitspecial interests. While the word grocer does not and vegetable stands, fish markets and so on.appear to have been used in the English lan- During the nineteenth century the traditionalguage before the fourteenth century, the guild grocery store of this type bought all or most ofknown as the Company of Pepperers of Soper's its supplies from the wholesale grocer, who inLane, of London, the forerunner of the grocers' turn bought his supplies from the manufacturersguild, was in existence before 1180. Similar or producers. The lines of demarcation betweenguilds developed in France and other European food trades were clearly drawn not only as to thecountries during the twelfth century and even types of products handled but also as to channelsearlier. The pepperers' guild absorbed the spic- of distribution. During recent years, however,ers, apothecaries and canvasmen in 1345, form- there has been a decided tendency toward theing a body officially known as the mestier averii breaking down of these demarcations and classi-ponderis. At the same time they organized an fications. Great numbers of grocery stores haveinner body, the Fraternity of St. Anthony, in added meats, fish, fruits and vegetables, dairyhonor of the trading saint of Egypt, who later products and baked goods as well as ice cream,became the patron saint of the entire trade. The confectionery, tobacco products, cleaning sup-pepperers' and spicers' guild already known as plies and many other lines of household wares. the Grocers' Company was first incorporated in Relatively few of the traditional types of either1428. During the fifteenth and sixteenth centu- retail or wholesale grocer are still in existence.ries it exercised great influence in public affairs, A survey of the grocery trade in modern timesnot only in London but in all England. It elected must therefore touch upon the marketing andseveral lord mayors of the city of London and distribution of all food products. its livery and pageants were said to have ex- In earlier times staples such as wheat, oil,ceeded all others in grandeur and magnificence. dried fish and spices were the chief foodstuffs Like the other great liveried companies the Gro- distributed over any large area. Ancient nationscers' Company regulated its own trade. Every- carried on an extensive trade in these products.one carrying on the trade was required to join Greece and Rome had highly developed systemsthe company. Strict rules were set to prevent of wholesale and retail trade in food (see FOODmonopoly or unreasonable prices. The company SUPPLY). The grocery trade proper may be saidassumed the responsibility for honest weights to have begun in classical times with the bring-and measures as well as for the purity and other ing of spices from the East. Throughout thestandards of the goods handled. For many years Middle Ages, even when commercial activitythe pepperers and grocers had the monopoly of was supposed to have reached its lowest point,all goods measured by weight. Through the col- there continued to exist an extensive trade be-lection of dues and fees as well as by wise invest- tween Mediterranean cities and the Orient inments, the Grocers' Company became wealthy which western products were traded for spices,and used its means for charity and education dried fruits, oils, sweets and essences. These inand for the support of the government at critical turn were widely distributed from Mediterra-times. Today the company exists as a social nean cities throughout northern and westernorganization and fraternity. Europe. With the opening up of many new lines of The Italian cities early took the lead in thiscommerce during the nineteenth century, with trade between the Orient and the rest of Europe.the development of new products and new meth- Pepper and spice merchants, chiefly of Italianods of processing and with changing standards origin, from Genoa, Florence, Lucca, Veniceof living the grocery trade developed several new and Pisa established themselves in England,forms of organization and new channels of dis- France, Holland, Germany and the Baltic sea-tribution of food products. Increasing standardi- ports. There was a regular trade in pepper andzation and grading of products made possible other spices as early as the twelfth century. Thewidespread purchase by sample. Commodity ex- great demand for spices swelled the fortunes ofchanges (q.v.) now act as central markets and the traders on the one hand and on the other price regulating agencies for grains, coffee, sugar stimulated interest in a cheaper route to Indiaand cocoa as well as many of the more perishable and the Spice Islands. food products. The various tradesmen of the later mediaeval In the marketing of grocery specialties such period grouped themselves together in guildsas package goods, sugar, coffee, tea, canned for mutual protection and promotion of theirgoods, flour and so on the broker has been and Food Industries 313 is still an important factor. He brings manufac- formerly served. The jobber in the food trades, turer and buyer together, receiving for this serv-once a separate and distinct type of distributor ice a commission or brokerage based on thefunctioning between the large wholesalers and amount of sales and generally paid by the seller.the retailers, has now largely merged in the Between the producer and consumer theclassification of specialty wholesalers. Several wholesaler has, at least until very recent years,variations in wholesale service have been de- been the typical middleman. The wholesaler ofvised, such as cash and carry wholesalers, wagon the nineteenth century bought in large quanti-or store door delivery wholesalers, desk and tele- ties, often taking entire outputs of canneries andphone wholesalers and institutional wholesalers. factories; he provided storage space and some-There are still many general grocery wholesalers, times financed the producers' operations. He but their most successful fields of operation seem supplied the retailers with stocks of goods andto be in the parts of the country where popula- granted them credit, often to the extent of set-tion is sparse and the distances between towns ting them up in business. Thus the old time fairly great. wholesaler assumed the burden of risk both in Retail grocery trade outlets now consist not carrying goods bought from manufacturers andonly of regular grocery stores but also of meat in granting credit to hundreds of small retailmarkets, delicatessens, dairy and poultry shops, establishments. In spite of recent criticism of thefruit and vegetable stores, food department wholesaler and the rapid development of more stores, public markets, food departments in de- direct methods of distribution by far the largestpartment stores, food departments in drug stores, bulk of food products still finds its way to con-roadside markets, company stores, restaurants sumers through some kind of wholesaler. Theand consumers' cooperatives. The total number wholesaler and his sales representatives were andof food outlets in the United States according are still the mentors and advisers of the massesto the 193o census of distribution was nearly of small independent retailers in all matters of500,000, or approximately one third of the total merchandising, store arrangement, display, ad-number of retail outlets of all kinds. vertising and the like. The chain store system of distribution has Many wasteful practices had crept into thereached a high stage of development in the gro- food distribution system of the nineteenth cen-cery and food trades. Beginning in a very small tury. Unnecessary services had developed. Ex-way with the establishment in 1858 of the Great penses of operation both in wholesale andretailAtlantic and Pacific Tea Company and others concerns had run unnecessarily high. New types in the i88o's and 1890's, the chain systems now of distributors came into existence, such as chainhave a volume amounting to about 3o percent of store systems, mail order houses and large de-the entire retail food trade of the country. The partment stores. These large concerns foundGreat Atlantic and Pacific Tea Company, the ways of buying direct from producers or through oldest of the grocery chains in the United States, brokers and of eliminating part of the wholesaleis also the largest, with more than 15,000 retail expense. This in turn led to marked changes inshops and annual sales in excess of $r,000,000,- the organization and methods of operation of000. Other large grocery chains include the Kro- traditional types of wholesalers and retailers.ger Grocery and Baking Company with more Several new varieties of specialty wholesalersthan 5000 stores, Safeway stores on the Pacific have largely taken the place of the older generalCoast with about 3000 stores, American stores type. Some have branched out into the produc- and First National stores, each with more than tion and sale of goods under their own brands2500 shops, and several other smaller concerns and have therefore become manufacturers asranging downward to local organizations con- well as wholesalers. A great many general whole- sisting of two units or more. salers have given up their former general lines One of the recent developments of major im- of goods and are now devoting all or most ofportance affecting both the wholesale and retail their attention to the distribution of a limitedgrocery trade is the organization of retail coop- line of products. Most wholesalers who formerlyeratives, or so- called voluntary chains. To meet tried to cover the entire country or even largechain store competition on the one hand and to sections of the country have found that they canoffset the danger of retailer customers forming operate more economically and satisfactorily bycooperative buying groups of their own, several limiting their territories to a small radius ratherhundreds of grocery wholesalers throughout the than attempting to cover the extensive territoriescountry have organized and tied up their retailer 314 Encyclopaedia of the Social Sciences customers by understanding or contract in agree-duction. Existing difficulties have led many indi- ments to carry on programs of merchandisingvidual concerns and groups of concerns to at- much like those of the chains. Most of these tempt to raise their products above the level of wholesalers are in turn members of organiza-some of the most vicious forms of competition. tions that are national in scope, serving theirBranding and advertising, particularly of pack- wholesale associates by education in properage goods, was one of the earliest and is still one methods of merchandising, by central buying ofof the most outstanding movements in this di- both goods and supplies, by advertising andrection. Resale price maintenance was another more particularly by promoting the organizationdevice generally followed by many specialty among new members. The leading organizationsmanufacturers before this method of trade con- in this field include the Independent Grocers'trol was outlawed by the Supreme Court in Alliance, the Red and White stores, Clover 1911. Some of the most ardent support for spe- Farms stores and many others. By the end ofcific legislation permitting price maintenance has 193o there were probably fully as many inde-come from both manufacturers and distributors pendent food stores tied up in voluntary chainin the grocery trades. arrangements with wholesalers as there were The merger movement found in other large units in actual chain store systems. industries has had its counterpart in the food Under the stress of competition with chainindustries and trades. A large part of the pro- stores and other large retail organizations manyduction of refined sugar, soap, corn products and of the small, independently owned retail foodmeats is concentrated in the hands of relatively stores have shown marked progress in operatingfew concerns. During the past five years the methods. They have learned how to keep theiramalgamation of companies producing branded accounts properly, how to gauge consumer de-and nationally advertised grocery specialties has mand and its changes and particularly how toparalleled the rapid growth of chain store sys- modernize their stores to bring them up to datetems and the voluntary chain movement. The in appearance and in the services rendered tomost outstanding examples are General Foods, the public. In addition many independent re-Inc., Standard Brands, Inc., the Gold Dust Cor- tailers have learned how to sell goods as cheaplyporation ,the California Packing Corporation as the chains. Although for many years the trend and the National Biscuit Company. There are of expenses of operation due to rising wages andmany other smaller concerns attempting to forge increased services and higher costs for adver- ahead. General Foods alone manufactures and tising has been upward , during the past four orsells more than a hundred products, many of five years the rise has apparently been checked.which are nationally advertised. For a number Wholesalers and retailers have in many casesof years there has been a growing undercurrent been able to reorder their business so as to make favoring some change in the antitrust laws of the their total expenses of operation comparable withnation to permit some degree of cooperation those found in chain store organizations carryingamong competing producers and distributors in the same sorts of merchandise and renderingstabilizing the condition of competition. similar services to their customers. A certain measure of cooperation among the But in spite of the partial success of the inde-competing concerns of each of the many indus- pendent grocery chains there has been increasing tries in the food field has been achieved through pressure for antichain store legislation on thetrade associations. There are both national and part of independent retail store interests, retail local associations in most of the individual food trade associations and local business men. It maymanufacturing industries. There are also general be presumed that special taxation of chain storestrade associations, such as the American Grocery will be attempted in numerous states. Specialty Manufacturers' Association, the Amer- Competition in the food trades must continueican Institute of Food Distribution, Inc., and to be keen while, as is the case at present, scarcely others, which combine the interests of several a line exists in which there is not overcapacityindustries concerning problems of mutual in- in relation to consumption requirements. Thereterest. The American Wholesale Grocers' Asso- is a crying need for control of production of raw ciation and the National Wholesale Grocers' materials to the point of proper adjustment toAssociation serve the national interests of the consumption requirements so that prices may bewholesale trade, while the National Association stabilized at points permitting the rank and fileof Retail Grocers and the National Chain Store of producers to cover at least their costs of pro-Association represent those of retailers. Food Industries 315 One of the most interesting developments ofbe sold at 25 cents or the chain store variants of recent years is the attempt to regulate some of23 cents or 21 cents than at 20 cents, even if the the worst features of competition by means ofamounts and qualities of goods are the same. trade practise conferences, rules and codes of The organization of the grocery trade in other ethics. The conferences have been held undercountries is very similar to that in the United the supervision and with the help of the FederalStates, except for some differences in commod- Trade Commission and are intended to findities carried and differences in services desired ways of lawful cooperation amongcompetitors.by consumers. In addition to the traditional lines Through the trade associations considerableof distribution through wholesalers and retailers, progress has been made in educating great num- found everywhere, there is in most of the Euro- bers of individuals and concerns in methods ofpean countries a high development of consumers' accounting and in the computation of expensescooperative societies, which not only operate of operation. Through association exchanges oflocal retail stores but also wholesaling and man- information on prices, costs, methods of opera-ufacturing establishments. Consumers' coopera- tion, credit and market conditions the food tradestion is particularly strong in the food trades in have become much better informed than everEngland, the Scandinavian countries, Holland, before. Several trade associations carry on aSwitzerland, Czechoslovakia, Austria, Germany number of cooperative activities, such as tradeand Russia. It is relatively weak in Spain and advertising and sales promotion, market researchFrance and very weak in Italy. In Russia it con- for new opportunities of trade extension and, institutes the chief channel of distribution for food general, sales efforts to increase the consumptionproducts. Its only competitors, in fact, are the of particular products. Some of them have co-state owned retail outlets and a few retail stores operated with the business schools and the De-serving certain manufacturing industries. Pri- partment of Commerce in making trade surveys.vate enterprise in the distribution of food has Out of these surveys and out of the attemptsall but disappeared under Soviet rule. of the trade to meet changing consumer demand Small food shops abound in all countries of have arisen a number of interesting theories andEurope except Russia. These shops are in many experiments. Indeed, the retail food trade con-cases conducted by old people, women and ex- stitutes an experimental ground of great extentsoldiers. Chain store systems exist to some extent in which wide varieties of new ideas concerning in the field of food products in European coun- distribution are being tried out. An increasingtries but not nearly so extensively as in the proportion of the public seems to desire an in-United States. There are important grocery creasing proportion of ready to serve foods.chain systems in England, France and Germany, Formerly such foods were distributed largelybut in the other countries the chains are still through delicatessens, but they now constitutelargely in the stage of infancy. an important part of the salesvolume of all types The European food trades, despite the fact of food stores. Another interesting experimentthat retail shops are in the great majority of involves the introduction of what is known as instances very small, are well organized. Trade the quick- freeze process of refrigeration, byassociations abound, and various forms of coop- which all types of perishable foods are preservederative activity, such as cooperative buying, by freezing in such a way as to prevent for in-mutual insurance and agreements as to trade definite periods of time deterioration in flavorpractises, are common. or quality. Still other experimentsinvolve the PAUL H. NYSTROM application of ultraviolet rays, the addition of vitamins and the destruction of all bacterial ac- Perishable Products, United States. The last tion and decomposition by a process known asdecade of the nineteenth century marked the irradiation. beginning of a new era in the distribution of Another line of experimentation lies in findingperishablefoodstuffs and radically changed the price lines at which various food productsthe nature of the problem of urban food supply. sell most readily. For example, surveys made inThe successful introduction of the refrigerator several cities have led to the conclusion thatcar, refrigerated ship and more recentlythe re- goods priced at 25 cents each, two for 25 centsfrigerated motor truck into the transportation or three for 25 cents sell morereadily than atsystem has transformed the face of the produc- any other price. A price of 3o cents each seemstion map. Large urban communities no longer to result in a total lack of sales. More goods candepend upon nearby truck gardens, orchards 316 Encyclopaedia of the Social Sciences and dairies for their food. Remote areas havereceivers, handling car lot units either for their been opened up for the production of crops onown account or as shippers' agents, have arisen a vast scale in the most favorable climate. Areasin the cities. These city receivers break up the like the Imperial valley on the border betweencarloads into fifteen or twenty lots for sale to southern California and Mexico have been de-jobbers or large retailers. The jobbers in turn veloped under irrigation to produce cantaloupes,sell to retailers, who trade with the consumer. watermelons, lettuce, asparagus and tomatoes Long haul transportation has, however, by no for markets 3000 miles away, reached by refrig- means eliminated the local growers who truck erated freight in less than ten days. The averagetheir produce to nearby markets for direct sale length of railroad haul for fruits and vegetablesto jobbers, retailers and consumers. Many im- in the United States is estimated at approxi-portant cities in the United States, located close mately 1500 miles. to fruit orchards and truck gardens, receive an Since refrigerated transportation has virtuallyimportant part of their food supply by truck, annihilated the limitation of distance upon sup-and a goodly portion of this is sold to jobbers, ply, fresh produce is available to urban consum-retailers and consumers through municipal or ers at all seasons of the year. Lettuce, tomatoes,privately operated farmers' plaza markets. Al- beans and cucumbers move to market in a con-bany, New York, with a population of 127,000, tinuous flow, one shipping area following anotherin 1929 received 39 percent of its fruits and in rotation as the seasons change. In the coursevegetables by truck, 3o percent through the of a year New York City draws fruits and vege-farmers' market. Rochester and Syracuse re- tables from forty -two states of the union and ceived approximately the same percentages from nineteen foreign countries. In one day the Cov-nearby sources. Newark, New Jersey, with a ent Garden market in London handles South population of 443,000, in 193o received 35 per- African peaches, plums and apricots, Nova Sco-cent by truck, z6 percent being sold through the tia and Washington apples, English and Belgian farmers' market. New York City, however, re- grapes, California pears, Canary Island bananas,ceives only 10 percent by truck, of which only Florida grapefruit, Jaffa, California and Spanish 5 percent is sold through the farmers' market. oranges, English and French asparagus, French Only a small part of the produce sold by lettuce, cauliflower, cabbage and turnips, Alge-farmers in public markets passes directly to con- rian and Azorian potatoes. sumers. The produce trucked in by farmers to These new possibilities in the distribution ofthe Detroit public markets in 1923 amounted fresh foodstuffs have greatly expanded the rangeto about 95,000 loads, or one quarter of the of diet of the average urban dweller and givencity's total supply. Of this, 75 percent was pur- to such perishable foods an increasing impor-chased by retailers and hucksters, 10 percent by tance in the total food trade. At the same timewholesalers and only 15 percent by consumers; they have been an important factor in changinghence at least one or two middlemen took part methods of commercial distribution. When localin the distribution of 85 percent of the produce production and wagon and boat transportationbrought to the city by farmers. dominated the marketing system, middlemen But the major part of the produce distributed were few. The producer often came to marketin the United States moves to urban centers by with his own wagon to do business with therail rather than by truck. Over 1,000,000 cars of housewife, the retail storekeeper or the market fresh fruits and vegetables and 200,000 cars of stand man. Even in the staple grocery trade,butter, cheese, eggs and poultry are shipped wholesalers were few in number and the typesannually by railroad. Approximately 8o percent of middlemen limited. But with the develop-move under refrigeration and nearly all in solid ment of long hauls in car lot units, intermediatecarloads. A refrigerator car in the United States assemblers and distributors have rapidly as- holds a quantity far too large to be assembled sumed an importance in the marketing struc-by a single grower or handled by a small city ture. To take advantage of the lower rates andjobber. The average carload of Maine potatoes quicker service offered by the railroads for solid contains 40,000 pounds; of California citrus carloads of a single commodity, car lot assem-fruit, 30,000 pounds. Someone must gather to- blers have sprung up at shipping points, buyinggether the daily product of the field or orchard from the producer for cash and shipping to thefrom each grower and ship it to the city, uni- city distributors in markets hundreds or thou-formly graded and packaged in standard con- sands of miles distant. Likewise, specializedtainers. Food Industries 317 The car lot assemblers who have establishedtional cooperative associations maintain district themselves at shipping points to perform thesemanagers in important urban markets but do services differ to some degree in function andnot generally sell directly to the jobbing trade. character. Some are strictly local dealers whoOne exception is the Pacific Egg Producers, a maintain warehouses adjacent to railroad sidingsjoint sales organization in New York City for at strategic points, to which the growers deliver three of the Pacific coast egg cooperatives, which by wagon or truck. In the case of semiperish- has an auction of its own through which it sells ables, such as potatoes and cabbage, the produceto jobbers, chain store organizations and other may be stored for weeks or months in the ware-large buyers. houses after grading and then shipped in car The fourth type of car lot shipper, known as lots to distant city markets. Gross earnings ofthe operator, is usually a large shipper, com- these shipping point dealers are derived frommission merchant or wholesaler, who in order the difference between what they pay farmersto guarantee himself a sufficient volume of and what they receive from city dealers. Theirproduce for sale has entered into contracts with profit or loss is dependent upon the skill withgrowers under which each grower is obligated which they judge the market prices during theto deliver all of the product of a certain acreage season. Some of them are associated with cityto him for sale. In return the operator usually dealers, sharing the risks of the enterprise. Anadvances a certain minimum price per unit to analogous type of car lot assembler operatesthe grower to finance the purchase of seed, box from strategic points in shipping carloads ofmaterial, labels and the like. In the United States butter and eggs to the city markets. the operator is most active in those sections in In the case of the more perishable and sea-the south or west which have been recently sonal produce the shipping point assemblers are developed as producing territories. Probably characteristically traveling buyers who remain inmore than 8o percent of the lettuce and canta- one section for several weeks during the peakloupe acreage in the Imperial valley is under of the shipments and then move to the nextcontract. A large part of the Florida tomatoes center of production. Such a traveling buyerand northwest apples are handled in the same may be an independent dealer or the agent ofway. a city operator. Many shipments of cantaloupes, After produce is dispatched from a shipping lettuce, watermelons and peaches are handledpoint it may pass through brokers or auctions in this manner in the United States. operating on a national scale and handling car- A third type of assembler is the mutual orloads only. Such brokers are intermediaries be- cooperative shipping organization. Cooperativetween the shipper and the city receiver. Their growers' associations play a very important partactivities are primarily conducted by telephone in produce marketing and their functions andand telegraph. A shipper wires a broker that a characteristics are so varied that no comprehen- car of apples is rolling; the broker finds a buyer sive treatment is possible here. Viewed purelywilling to make an offer and wires the offer to from a marketing standpoint they perform athe shipper for confirmation or rejection. A service for the grower which is distinct fromunique experiment in the expansion of this type that of other country shippers, primarily in theirof service in the United States has been afforded control not only over the distribution itself butby the so- called f.o.b. auction. Through a chain in the picking, packing and grading of the prod- of offices in leading markets and shipping points uct. They are non -profit organizations, managed linked by private telegraph wires carloads of by paid employees and controlled by represen- produce are offered simultaneously to bidders tatives of the producers themselves. Some areassembled in a far flung chain of salesrooms. entirely local, confining their operations to sales Offerings described by federal or state inspec- from shipping point auctions or consigning their tion certificates are sold on a shipping point produce to city commission merchants; others basis; the buyer pays freight charges and orders are federated into regional or national marketing the car diverted to the desired market. organizations, maintaining sales, advertising and In the city are a number of dealers receiving traffic departments for the purposes of regulatingcarloads as they come to the terminal markets the flow of produce into markets, of conducting for resale in smaller lots. Partly through custom, sales campaigns and of dealing collectively with partly through the exigencies of transportation transportation companies in the matter of freight facilities, these markets have become highly spe- rates and claim adjustments. A few of the na- cialized. In a city like New York there are local- 318 Encyclopaedia of the Social Sciences ized fruit and vegetable, poultry, fish and meatof Manhattan Island a large percent of the con- and dairy products markets where dealers buysumption of foodstuffs is in public eating places and sell. Historically the commission man is therather than homes. The following tabulation oldest and most influential factor among citybased on preliminary reports of the 1930 census dealers. He acts as the shipper's agent in super-of retail distribution indicates the comparative vising the unloading of the car and the sellingimportance of retail outlets for food products of the contents in job lots and retains a percent-in New York City. age, usually about 10 percent, of the gross sale NUMBER OF price. The car lot wholesaler differs from the NUMBER OF FULL TIME commission man in that he assumes ownership STORES EMPLOYEES of the produce by buying from the shipper either Candy and confectionery stores 7,753 8,043 at the shipping point or on delivery in the city, Dairy products, eggs and whereas the commission man is merely an agent poultry stores (including of the shipper. The keen competition among milk dealers) 1,929 11,005 city wholesalers and commission men for a con- Delicatessen stores 2,383 2,227 stant volume of business to support a large Fruit stores and vegetable markets 5,534 2,953 overhead sales organization has forced many to Grocery stores 13,685 12,707 become operators by acquiring a financial in- Combination stores (grocer- terest in the growing and shipping function, ies and meats) 1,62o 4,336 through crop contracts, joint sharing of profit Meat markets (including sea or loss or guaranties of price and promises of foods) 8,492 9,229 Bakery goods stores 1,203 3,o89 premiums over market quotations. Other food stores 348 198 In the city in recent years the terminal auction has assumed an important place in the distri- Food group, total 42,947 53,787 bution of produce. Cars are listed for daily sale Total, all stores 103,623 316,201 by brokers, commission merchants, wholesalers and district managers of cooperatives, and the The chain store, which started as a purely offers are split up into convenient lots identifiedretail organization during the last quarter of the by size, quality and brand and listed in printednineteenth century, has now become a dominant catalogues. Large quantities of well graded andfactor in the field of food distribution. In New well packed fruit, melons and eggs are handledYork City, according to the 193o census of retail through these auctions. Buyers, who have pre-distribution, 60.34 percent of the total sales of viously examined samples of the offerings, as- food products were made by 36,209 independent semble at specified hours to bid for each lot. single stores; 24.24 percent of total sales by the The jobber in the produce trade buys from 5011 branches of local chains; and 15.2o percent the car lot receivers either directly or throughby the 1701 branch stores of sectional and na- the terminal auction and resells in units of onetional chains. The largest chain store company box or one crate to retailers at neighborhoodin the United States operates more than5 ,000 markets. retail units and has carried vertical integration The function of the retailer is well known. Itto the point where it not only controls ware- is on him that the public depends for its dailyhouses and processing plants but even country food supply. A large portion of the fresh produceshipping stations as well. Thousands of carloads is sold to the consumer through specialized fruitof produce are purchased each year by chain and vegetable markets as well as through thestores at shipping points, in many instances regular grocery stores. In some cities, notablyfrom cooperative organizations, and are dis- New York, the huckster and pushcart venderstributed all over the North American continent are important outlets. There are over 8000 li-to regional warehouses and then to the retail censed pushcarts operating in fifty -three openunits. air street markets in New York City, furnishing The effect of this integration of merchandising an outlet for more than to percent of the city'scontrol is profound. Many of the wholesalers, fruits and vegetables. The hotel and restaurantjobbers and commission merchants are being trade is an increasingly important outlet in largeeliminated as the chain store assumes their func- urban centers. For the United States as a wholetions. The demand for uniform quality and size the so- called mass consumption market is esti-by the chain stores has greatly stimulated a mated at 26 percent of the total, and in the casestandardization of pack on the part of the pro- Food Industries 319 ducer and has promoted cooperation amongto the pasteurizing plant and thence to the retail producers for standardization and bargainingand distributing branch amounts to 7 percent purposes. Open market transactions are beingof the retail price. Milk route delivery to the considerably reduced by the contracts entered consumer absorbs z8 percent. Spoilage in the into between growers' cooperatives and chaincase of the more perishable fruits and vegetables store distributors. As a result new problems inamounts to as much as 13.5 percent. The wage price establishment and quotation are arising.cost of making sales in the retail store amounts The purchase of produce in carloads by chainto 10 or 12 percent of the consumer's dollar. stores with direct routing to their regional ware- Marked progress in reducing trucking costs houses has become an important factor in modi-and spoilage has been made by the chain store fying the physical layout and design of citydistributors in their handling of perishable prod- markets and terminals Chain store distributionuce by purchase at shipping point and direct tends to a decentralization of the physical ter-routing to regional warehouses, and the plan- minal operations as well as of commercial trad-ning of the package unit to conform more nearly ing and makes the distribution of produce more with urban demand. The cost of retail delivery nearly resemble the handling of meats through of milk appears also to be decreasing on account packers' branch houses and of milk throughof the heavier loading of route wagons made distributors' pasteurizing plants. possible by the greater concentration of urban The cost of distributing produce has been apopulation and the sharp reduction in the num- subject of numerous investigations and a greatber of competing distributors. deal of popular discussion. Analysis of the con- The cost of making sales through retail stores, sumer's dollar into its component parts, whileon the other hand, appears to beincreasing by subject to marked variation in periods of risingreason of the steady reduction in the size ofthe and falling prices and in different channels ofunit quantity purchased by the urban housewife, distribution, indicates that approximately 50a result of the lack of storage spacein city percent of the cost of distribution takes placeapartments and the increased irregularity of after the produce has arrived at the city terminal.housekeeping arrangements. The service of fill- Because of the item of spoilage, which has beening many small orders and of minute packaging, reliably estimated to approximate more than toplus the tendency to multiply stores, throws a percent of the total retail value, the retail margingreater burden of wage cost upon the retailer for perishable produce is considerably higherper unit sold. Just what will be theeffect on than that for package groceries. The retail mar-food costs of the tendency toward increased gin for fruits and vegetables in New York Citymass consumption through restaurantsis diffi- has been estimated to run from 33 to 37 percent,cult to forecast. Margins of dealers catering to depending upon the channel of distribution.the more expensive restaurants and hotels are Profits do not appear to be large. Exhaustivemarkedly higher than those of the dealer cater- studies in 1924 indicated that the annual returning to the regular retail store trade. The erratic per wholesale proprietor in NewYork City wasfluctuations in patronage in even the medium approximately $6400 and per jobber approxi-priced restaurants, due to holiday migrations, mately $4500. Independent retailers' profits areweather changes and other factors, introduce notoriously small and uncertain. The mortalityelements of risk and wastage which tend to keep of independent grocers in Buffalo, New York, the margin high. and Louisville, Kentucky, has been calculated Public control over food distribution has rap- to be as high as 3o percent per annum. A studyidly extended in some fields and has contracted of meat shop profits by the Department of Agri-in others. In the United States there has been culture in 1923 indicated that half of the propri-a steady extension of governmentsupervision etors made less than $3500 per annum. over food dealers to protect the consumerby Apparently the large items in city distributionthe maintenance of health standards and to costs are those associated with cartage, costofregularize the trade through establishment of making sales and spoilage. Terminal cartage ofcommercial standards and the restraint of fraud- produce in New York City, covering only theulent practises. There has been relatively little movement between railroad terminals and retailgovernmental price control except during war stores, appears to absorb approximately 6 per-emergencies. However, government control over cent of the consumer's dollar. In the case ofmaximum rates charged by rail and water trans- milk distribution the trucking from the terminalportation companies and terminal agencies, such Sao Encyclopaedia of the Social Sciences as stockyards, has become an accepted policy.But Germany may be said to show the most The antitrust laws have been applied to preventthorough group organization, England the great- the distribution of diverse food lines by the bigest variety of middlemen and France the greatest meat packers. centralization of wholesale trade and at the same Actual public participation in food distribu-time the greatest dependence on the primitive tion has been confined, with a few exceptionsstreet market for its retail trade. Sweden is during war time, to the operation of municipalworthy of notice as a country in which consum- markets for the accommodation of farmers anders' cooperative societies have an almost com- retail dealers and an attempted use of the policeplete monopoly of food distribution. power to prevent the racketeering invited by the Almost universally the central fact in the present disorganized state of the industry. Therecity distribution of perishable foodsisthe are several notable examples of successful farmer municipal market (see MARKETS, MUNICIPAL), market operation by municipalities, althoughwhere the whole supply of one or more types of the Bronx terminal market for the receipt offood is offered for sale to wholesalers, to retailers railroad hauled produce, constructed by the cityand sometimes even to consumers. The Halles of New York, plays a very unimportant partCentrales of Paris, the oldest and most inclusive in the distribution of foodstuffs. The interde-of these modern markets, sets the price for pendence of terminal markets and railroad oper- perishable goods all over France. It is regulated ation has made control of terminal facilities byby municipal and departmental authority and municipalities much more difficult than in the goods are sold by official mandataires on a com- days when farmers and housewives met to trans- mission basis. In Great Britain there is little act business in a plaza market. public regulation of sales, although the Smith- W. P. HEDDEN field meat market and the Billingsgate fish market are owned by the city of London. The Food Distribution in Western Europe. Mostprivately owned Covent Garden is notoriously European countries have a long tradition of gov-inefficient as a distributing center for fresh ernment supervision and direct intervention infruit, vegetables and flowers. In Germany, on the processes of food distribution. Concern overthe other hand, the system of public markets is adequacy of supply early caused the establish-well developed. Berlin has excellent markets ment of public granaries and led to stringentequipped with good railroad connections and regulation of trade, quality and price. But theserved by municipal salesmen and auctioneers. laissez faire impetus of the French and the in- Organization of individual branches of the dustrial revolution gradually cleared the groundfood trades varies from city to city and from for the private exploitation of the food indus-country to country. Certain operations are pure- tries. At the present time the mechanisms of foodly local, others international in scope. There is distribution are as varied and as highly special-not space here to deal with trade in such ized in western Europe as in the United States.staples as sugar (q.v.), grains (q.v.) or tea and The international wholesale trade in exotic coffee (see PLANTATION WARES), except to note wares and plantation products, the first of thethat in so far as they are imported into Europe important food trades, has in recent years beenLondon is the wholesale center not so much vigorously developed and augmented by trade in for their actual distribution as for their sale grains, refrigerated meats and dairy productson her produce exchanges and for the discount- and fruits. In the period before the World Waring of bills originating in such trade. Hamburg the local middlemen who gathered produce from is an important redistributing center for im- the farms for redistribution to the rapidly grow-ported foodsdestinedforcentral Europe. ing cities increased in importance. In recent dec-Billingsgate and Hamburg are the chief salt ades the functions of the city retailer have beenwater fish markets for the rest of Europe, while growing more varied and more complex, whileParis and Berlin are the leading centers for the costs of his services have been growing pro-fresh water fish. portionately heavier because of the greater de- The meat distributive trades reflect in all mands made on him by the consumer no longercountries and in varying degree the competition willing or able to do the greater part of his shop- between domestic meats and imported cold ping at the street market or fair. storage products. For Great Britain as a whole In general, lines of distribution follow similar5o percent of the meat is home killed; but for channels in the leading industrial countries.London the proportion, including that sent from Food Industries 321 Scotland and Ireland, is only 3o percent. Homenorthern and eastern Europe. Except for the co- killed cattle are usually sold at local auctionsoperatives, which are virtually the only impor- directly to the small local retailer, who himselftant independent producers of dairy products on slaughters at private abattoirs. It is only in thethe continent, the trade is organized by cartels larger cities that municipally owned abattoirsand strong combinations. Cheese exported from and wholesale markets have been established.Switzerland is controlled by the Käseunion car- Smithfield, the center for the imported coldtel. Margarine, used extensively in Europe as a storagetrade,representstheoppositeex- butter substitute, is almost completely controlled treme of centralization. There the American andby the international Unilever trust; in countries Argentine meat packers sell to jobbers and re-protected by margarine tariffs the trust has tailers supplying the London trade and much ofbuilt its own factories and absorbed its com- the interior. One of these, the Union Cold Stor-petitors. The importance of this to the con- age Company, Ltd., itself controls 3000retailsumer is increased by the fact thatresale price units throughout the country, a developmentmaintenance of trademarked goods is legally viewed with alarm by the 45,000 independentprotected in Europe. meat retailers. Cooperative slaughterhousesand Trade in fresh fruit and vegetables is cen- butcher shops are of considerable importancetralized for England and France in the Covent and are operating on a large scale with markedGarden market and the Halles Centrales re- efficiency. Their net profit on turnover in 1924,spectively. The larger German cities are well as reported by the RoyalCommittee on Foodequipped with wholesale markets, but there is Prices, averaged iopercent as compared withno one distributing centerfor the country as a whole. Aufkäufer, buying from the farmers, are 5.5 percentfor the independent retailers.It is interesting to note that 8o percent of thestrongest in the south and west. Britishtrade meat sold by the cooperatives ishome killed,in fresh fruit and vegetables is outstanding for whereas the small scale private retailer canthe variety of intermediaries involved. From assure himself of varietyand standard qualitysixteen to twenty handlings were reported as only by buying imported meat. Berlin importscommon in 1924 by the Committee onDistribu- only 20 percent of its meat supply. There astion and Prices of Agricultural Produce, known well as in Vienna slaughtering at municipalas the Linlithgow Committee.This was partly abattoirs is compulsory. Interesting develop-the result of the practise of reconsigning goods ments in Vienna include theorganization of the by way of Covent Garden to the provincial Wiener Vieh and Fleischmarketkasse andof awholesale markets. company to run retail storesselling meat at cost It is difficult to secure for Europeancountries the plus 5 percent. figures comparable with those compiled by The wholesale distribution of dairy productsUnited States Census of Distributionwhich organiza- and eggs in most European countries likewise re- would give an accurate picture of the flects the influence of imports from large scaletion of retail distributive agencies. ForGreat producing organizations, many of which are co-Britain the nearest approach is probablythe operatives. England and Germany are the prin- record of the registration of consumersfor At that cipal importing countries. British wholesalersration purposes during the World War. import eggs from the cooperatives of Denmarktime 23 percent registered with 550o coopera- branches of and Holland; from Belgium; and from Egyptand tive stores, 232 percent with 7000 China, where British agents sometimes superin-chains, 532 percent with 137,000 independent tend the collection; from the packers in theretailers. At that time three chainscontrolled United States and Canada; from the Overseasover 200o retail outletsand the number owned rapidly. It is Farmers Cooperative Federations in Australiaby this small group is increasing and New Zealand; and from local shippersinestimated that the 1400 consumers'cooperative consumed South Africa. Domestic eggs are seldomhandledsocieties handle one third of the food have their by English wholesalers; local retailers procurein Great Britain. The cooperatives them direct from the producer. The same ap- own slaughterhouses,bakeries, margarine and plies generally to butter. Cheese also is largely ansoap factories. They importplantation wares and farms -all imported product, the main supplies comingwheat and operate fruit and dairy competition is be- from New Zealand and Canada. Germany, on most advantageously. But Service the other hand, draws her dairy supplieslargely coming keener. Apparently the Civil from the cooperative producers' societies ofCooperative Society, Ltd., prompted theearly 322 Encyclopaedia of the Social Sciences chains. Lipton, who started as a provision mer-apparently been increasing in number in Ger- chant in 1876, added tea to his line in 1889 andmany since the war and competition is conse- the company expanded rapidly thereafter. Therequently keener. The new small proprietors are are now important meat chains, Mac Fisheries, drawn from those now unable to make a career Ltd., with its own fishing fleet, Lyons and Co.,in the army, from ex- soldiers or from dismissed Ltd., the Aerated Bread Company, Ltd., andofficials. Such independent retail dealers have general grocery chains. In London the largeformed various associations to strengthen their department stores are important distributors ofpurchasing position. The most important is the food. In the smaller towns, however, streetEdeka (Einkaufsgenossenschaft Deutscher Ko- markets and fairs are still significant and there islonialwarenhändler), which has some 250 local considerable direct distribution of dairy prod-.branches and total yearly sales of almost RM ucts. In its final report on the problem of food200,000,000. The Edeka has its own trade- distribution and production in Great Britainmarked brands, but its principal function is to the Linlithgow Committee advocated, as neededbuy for its members from manufacturers in improvements, standardization by trade asso-quantities large enough to entitle them to the ciations and producers' associations of productsmaximum discount. Its administrative expenses, and of weights and measures, the revision ofhowever, in certain cases are so high as to nullify railway rates, promotion of car lot shipments,a large part of its advantages except to the small better roads and lower parcel post rates. Thedealer. About 3o percent of its sales consist of report of this committee indicated its belief thatcartel controlled goods, 15 percent of trade- in England the future for the wholesale trade ismarked goods and most of the remainder of so- undoubtedly with the big unit; it condemnedcalled competition articles -flour, sugar, eggs the wastefulness of small retail units but con-and the like. sidered that the consumer was largely to blame Cooperation plays almost as important a part because he persisted in dealing with manyin supplying the public with food in Germany as traders and in demanding too much in the wayit does in Great Britain. Societies belonging to of style and service, including the delivery ofthe Zentral Verband operate to,000 stores, 7o to infinitesimal quantities of goods. The report90 percent of whose sales are food products. recognized, however, that the habits of consum-The larger societies themselves produce most of ers with respect to style and service were too in- their goods and the smaller buy from the central grained to make practicable in England munic- wholesale bodies. The development of their own ipal retail markets of the continental type. trademarked brands has made them almost in- Whereas the English wholesaler still plays andependent of the cartels. They use little credit, important role in the distribution of groceriesbuying directly from the manufacturers and and general food products, in Germany the com-from producers' cooperatives. Certain societies petition of chains and of cooperatives and thehave established joint buying days in order to special position of trademarked goods are limit- reduce freight charges and the like. ing the wholesale field and will soon eliminate Chains are playing an increasingly important the small wholesaler entirely, according to therole in German economy as in England and opinion of the Enquête- Ausschuss on GermanFrance; in general they lessen the importance of economic life. A considerable proportion of thethe wholesaler in the food trades more than that goods carried by grocery wholesalers in Gre-of the retailer. Of four general grocery chains many is imported, in the case of large dealersexamined by the Enquête -Ausschuss, two, with directly from abroad. The importance of theyearly sales ranging from RM 8,¢00,000 to RM Hamburg market is indicated by the fact that 12,800,000, had established a joint purchasing certain English goods which before the waroffice and an agency abroad. But they bought were sold directly to retailers can now be securedtheir vegetables from wholesalers because the only through the Hamburg importer. Goods inwholesaler by sorting them guaranteed better transit to be processed and reexported formquality; butter they bought from wholesalers or from 5 to 37 percent of the trade of importingfrom the dairy. These two companies gave no houses. On the average, standard brands ac-rebates to their customers and were unaware of count for from 10 to 20 percent of the whole-any price agreements in their territory. The sale grocer's trade;for smaller houses theyother two chains, however, had been forced by may be even more important. cooperative competition to give rebates to cus- Independent retail distributors of food havetomers and had made agreements with the co- Food Industries 323 operatives against price cutting, particularly on Food Distribution in Russia. In pre -war Russia sugar. To represent their politicalintereststhe problem of food distribution was compara- the chains have organized the Reichsverbandtively limited in scope. Except in periods of Deutscher Zweiggeschäftsbetriebe im Lebens-famine, when public relief was necessary, the mittelhandel,to which the great majority belong.overwhelming mass of the rural population sub- Fifty -five of the smaller firms controlling fromsisted in the main on locally grown breadstuffs 2500 to 3000 retail units and with yearly salessupplemented by potatoes to a varying degree totalling RM 250,000,000 to RM 300,000,000 depending upon locality and the relative pros- have organized the Einkaufsgesellschaft Deutsch - perity of the household. Because of sales in the er Zweiggeschäftsbetriebe im Lebensmittel-autumn forced by the need for ready cash, pur- handel to get the highest rebates on trademarkedchases of grain during the winter and spring by goods. While German chains selling fooda great part of the peasantry had become an es- products are not accused of price cutting, thesential element in the village economy even in department stores are. It is claimed that theythe regions with a grain surplus, but these did use their food departments merely as a bait tonot involve any processes extending beyond the get customers into the store. home village or nearest country town. The Another type of distributive agency which islimited demand for meat, vegetables and dairy of particular importance in the industrial regionsproducts was supplied locally to an even greater is the company store. One of the largest of theextent; salt, tea and sugar were practically the sixty -five corporations conducting stores (pre- only articles for which the peasant was depend- sumably Krupps), with 118 branches, reportedent upon a broader market. sales in 1926 of RM 40,000,000 -equal to one With the increase in the number and size of third of the wages bill. Groceries constituted 69cities a domestic grain trade developed out of percent of the sales; textiles and shoes, 29 per-the earlier export trade. The primary problem cent. Over one quarter of the food is of its ownhere was that of reaching out into the country processing, especially meat, bread and flour.for whatever portion of the crops could be se- Other goods are bought direct from the producer.cured from large numbers of greatly scattered They are sold at cost or at cost plus 5 percent;producers, including millions of peasants and on account of cooperative competition arebatevillage traders. A vast army of small dealers, of 5 percent is paid to consumers at Christmas.operating independently or to a small although Most of the company stores, however, buy theirincreasing extent as agents of large firms or trademarked goods through the cooperativecommercial banks, collected and shipped small Vereinigte Werkskonsumanstalten, G.m.b.H.,lots of grain, perhaps a carload or two at a which was organized in 1922, during the com-time; having no working capital, they operated pulsory period, to get sugar and the like on theentirely on credit and were interested primarily same terms as the consumers' cooperatives. in a rapid turnover. Since the latter part of the nineteenth cen- Geographically the most important movement tury a growing realization of the importancewas that from the grain producing sectionsin of guaranteeing the food supply of the urbanthe south and east of European Russia to the consumer, with regard to both quality (protec-consuming areas in the north and northwest and tion from disease and from adulteration) andalso to the industrial centers within the produc- price, has occasioned the revival of governmenting areas. The rush on the part of producers and supervision of the food trades. The movementdealers for immediate disposal of the grain, the reached its climax during the World War, whenlack of country elevators and the miserable government control and even government opera- condition of the country roads, which were the tion of many branches of the food industries be-weakest point in the grain movement, caused a came almost universal. Although such controlstrain on the railways and resulted in annual was relaxed when more normal conditions werecongestion and the accumulation of stocks of reestablished it has not been abandoned. Publiclygrain on railway platforms. The uneven distri- authorized bodies in France and Germany can bution of railway facilities, with about two thirds establish fair prices for various necessities, and of the mileage concentrated in the west in about Great Britain has passed a bill giving the Boardone fourth of the area of European Russia, was of Trade greatly increased powers of investiga-becoming an ever more serious handicap to the tion and control. grain movement as the importance of the agri- INEZ POLLAK cultural output of the eastern sections on both 324 Encyclopaedia of the Social Sciences sides of the middle Volga increased. Waterbetween city and country were equally disturbed transportation played a secondary part; the mostas the incentive for selling their produce di- important movement was up the Volga, to andminished with the increasing money revenues from the large flour milling centers along theof the peasants and later vanished completely river, which supplied about one fifth of the com-because of the scarcity of manufactured goods. mercial output; but low waters in the summerBy 192o all regular markets had disappeared and and the early advent of winter interfered with itsthe economic ties between the several regions development. had completely disintegrated. The local markets, fairly important even for Beginning with the autumn of 1915, the short- the grain trade, played an even larger part inage of food in the cities had led to public inter- the distribution of other agricultural produce.vention in the marketing process. Local muni- Only the two capitals and a small number ofcipal and militaryauthorities enforced the other leading cities derived the bulk of theirrationing of scarce food articles, the regulation meat supply from large scale receipts of cattleof the prices of essentials and local export fattened for the market in the south and east;embargoes on specified products. Even such they also received shipments of fruit, vegetablesmeasures as direct sales of certain articles by and dairy products from distant regions. Else-public bodies, the provision of food to employees where local markets were the primary source ofin munition plants by the army administration supply. In 1913 less than 25 percent (including and to workers in other establishments by the meat in terms of live animals) of the totalemployers were not uncommon before the revo- number of cattle slaughtered were transportedlution. Local effort, however, was poorly coor- by rail; for sheep the proportion was less thandinated and there was a bewildering variety of one eighth. Since there were virtually no cold rationing and price standards and of methods of storage facilities or refrigerator cars, long dis-enforcement. Measures designedtosecure tance movement of perishable goods was verygreater uniformity were enacted by the Provi- limited. Butter shipped by rail for domestic con-sional Government, but it was unable to make sumption amounted in 1913 to about 150,000,000 them effective because of the steady deterioration pounds. Nearly one half of the milk supply ofof the transportation system and chaotic political the two capitals and a large proportion of otherconditions. In the following period of war com- dairy products were provided by a few largemunism organized distribution became the most firms and procured from suburban farms, whileessential function of the state. A rigid and uni- the rest came from peasant deliveries, whichform system of distribution based upon consist- constituted almost the sole means of distributionent class discrimination was administered in ac- in other cities. By far the greater part of thecordance with a central plan by the local agencies vegetable supply came from suburban sources.of the Commissariat of Food Supply working The old forms of distribution were destroyedthrough the medium of consumers' cooperatives, in the course of war and revolution. The succes-which had been transformed into distributive sive army drafts and the growth of the urbanorgans of the state with membership made population produced within a very short time acompulsory. tremendous marketing problem. The railways, The gradual extension during the war of gov- inadequate from the earliest stages of the war toernment purchases of produce,particularly meet the food requirements of the industrialgrain, marked the beginning of those concen- areas, taxed beyond capacity by the movementtrated acquisitions from the producers which of troops and army supplies in the same western have continued in one form or another ever and northwestern direction, steadily deterioratedsince. The basic unit of the government pur- after the confusion of the retreat and evacuations chasing machinery was the country "delivery of 1915; their complete collapse after the revolu-point," where the grain is received from the pro- tion accelerated the disruption of interregional ducers of the surrounding countryside, thence to intercourse. In the years 1918 and 1919 thebe taken to railway stations or river ports for occupation of the Ukraine, first by Germanshipment in large lots; all the later systems of troops and later by the White armies, and thepublic grain purchases have more or less followed civil war in the southeast, the Volga region andthis arrangement. Private grain trade, which was later in Siberia cut off the greater part of theprogressively curtailed from the beginning of the productive agricultural area from the Sovietwar, was abolished by the "grain monopoly" act Republic. The intraregional exchange relations of March, 1917, under which all agricultural sur- Food Industries 325 pluses in excess of the fixed requirements of the dispensable part in the food supply of the cities. producers were, to be delivered exclusively to The restoration of the market as the medium public food supply agencies at fixed prices. Yetof distribution was one of the principal objects the grain monopoly was not fully carried outof the New Economic Policy inaugurated by the until 1918, when the systematic aid of armedact of March 21, 1921, which abolished the grain force was called into play and committees of themonopoly and substituted for the requisitioning "village poor" had been set up to assist the agen-of producers' surpluses a food tax payable in cies of the Commissariat of Food Supply inkind. The restoration was at first but a partial requisitions from the richer peasants. Manufac- one, as the food tax was designed to serve as the tured goods, whenever available, were offered inchief source of city supply. Although assigned a exchange for agricultural produce to communi-subsidiary role in the food supply, the private ties rather than to individuals, the manufacturedfood market began to expand as soon as the di- articles being distributed among the villagerect sales by the peasantry were resumed; and poor in payment for products requisitionedsuccessive enactments allowed greater latitude to from the kulaks. These exchanges were almostprivate trade. With the remarkably rapid rehabil- entirely in the form of barter; it was not permis- itation of the railways the movement of goods sible to pay in cash for more than 15 percent ofon a nation wide scale was soon reestablished. manufactures delivered to a community. In addi- With the stabilization of the currency, completed tion labor organizations were authorized to sendin 1924, the substitution of an agricultural tax armed detachments of workers into the countrypayable in money for the food tax, the abolition to requisition foodstuffs, the supplies thus ob-of the Commissariat of Food Supply and the tained being divided equally between the com-restoration of national economy as a whole to a missariat and the respective organizations whichmonetary basis food distribution came to consist received the food as part of the quota allotted toof a series of commercial transactions. them. At no time, however, has distribution under While the methods of war communism werethe Soviet regime reverted completely to pre -war substantially effective in extracting food fromforms. Since the functions of public bodies as the producers, the condition of the railways andagencies of distribution had never been aban- the appalling chronic shortage of food interfereddoned, state and cooperative organizations had a with interregional distribution according to thesubstantial share in the commerce of foodstuffs general plan. Nor did the state agencies succeedeven in that initial three -year period of the New in supplying fully the demands of the city pop-Economic Policy when they operated practically ulation, even at the miserable standards of thoseon a basis of free competition with private trade. times. Thus in 1918 -19 they provided onlyBeginning about 1924 public agencies began to about 46 percent of the total bread supply of thereassert their leadership and an aggressive policy urban centers in the grain producing areas andof restriction of private trade was adopted, de- approximately 38 percent in the consumingsigned to bring about an extension of state areas; even in 192o they supplied less than6o planning and regulation of the food supply and a percent of the urban consumption for the coun-gradual socialization of distribution, chiefly try as a "whole. The rest was secured by a varietythrough the agency of the cooperatives, which of scattered individual transactions known ashad become voluntary organizations operating "bagman's" trade. The bagmen -petty trad-by commercial methods. With the aid of such ers, peasants trying to barter theirproduceweapons as its general administrative and taxa- against needed articles in the city or at the sourcetion powers and control of large scale industry, of production or city consumers going out intocredit and transportation the state succeeded in the country to barter valuables, old clothes, tex- subsequent years in greatly reducing the share tiles and similar articles for food -first emergedof private traders in the turnover of foodstuffs. before the October revolution; but they becameIn 1928 by far the greater part of the commercial much more numerous as the rigors of war com-grain crop was handled by public agencies under munism increased. Bagmen's trade, althougha system of concentrated purchases at fixed alternately suppressed with extreme severityprices. Some of these agencies were state con- and allowed a fair degree of freedom, whiletrolled, but a growing proportion of them were overtaxing the meager transportation facilities,cooperative organizations. There had been a interfering with planned distribution and addingsimilar, although belated and limited, extension to the general chaos, nevertheless played an in- of the share of planned public purchases of meat, 326 Encyclopaedia of the Social Sciences dairy and poultry products. Also at the distri-accompanied by a mushroom growth of vast set- bution end there was a steady expansion of the tlements at the new projects under construction operations of public agencies, especially those ofand by the rise of new industrial regions. The consumers' cooperatives. program of agricultural transformation involves Socialized trade was supplemented, however,a high degree of specialization, carried to the ex- by private trading, which became increasinglytreme in the state operated grain farms (soy- precarious, and by purely local transactions,khozy) and to a smaller extent in the collective which were neither regulated nor planned. Ex-.farms (kolkhozy). Regional specializationin cept for export, army and state reserve grainagriculture is also projected and carried out on a more than 35 percent of the commercial grainscale which means a complete recasting of the crop of 1927 still passed through private chan-agricultural map of the country. It was esti- nels. About two fifths of this amount was repre-mated that as a result of this specialization sented by peasant sales in town bazaars and thepeasant purchases of grain through the market remainder by purchases in the country by pri-would increase twofold in the course of the five - vate traders. The importance of deliveries fromyear period. The building up of large scale suburban points and of direct peasant sales offarming also implies a change in the methods of milk, eggs, vegetables and especially meat hadprocuring agricultural produce. become even greater than before the war; and in The actual situation in the past few years has the regular wholesale markets private tradersbeen greatly complicated by the overthrow of still transacted in 1928 over one half of the totalold social relationships incident upon the ap- meat sales of the entire country, about 5o per-plication of intensive revolutionary effort to cent of the butter trade and about one third ofthe reconstruction of industry and agriculture the egg trade. Practically all of the fruit andand by the acute shortage of food. Food ration- vegetable trade was in private hands. In retailing was reintroduced in 1928 and applies now in distribution private trade had continued to growone form or another to all essential foodstuffs. It in absolute size, and even its relative importanceis based not only on the general principle of had remained large not only in the turnover ofclass discrimination but also on an elaborate such articles as were produced or processed inschedule of preferences for the benefit of indi- private establishments, comprising about onevidual industries, localities and plants of mo- third of the total capital invested in food indus-mentary crucial importance and of groups of tries, but also in the distribution of such prod-workers to whose labor performance special ucts of state and cooperative industries as sugar,value is attached, such as "shock brigades." Be- salt and tea, which the public agencies werecause of the food shortage and of the feverish not equipped to handle fully. There had thuspromotion of agricultural exports an immediate developed a dual market, with a dual range ofincrease in the volume of commercial crops be- prices: a cumbersome and slow moving coopera- came necessary; and the collectivization of agri- tive machinery and, partly competing with it andculture was thus stimulated at a much faster pace partly supplementing it, a profiteering privatethan was anticipated. The struggle for the exter- trade; in addition there was of necessity much mination of the kulaks and its counterpart in the dependence upon scattered local movements andcities, the renewed drive against private trade, transactions. It was an essentially unstable andhave resulted in the destruction of many of the unreliable system causing violent fluctuations informer channels of food supply and distribution. the food supply and in the workers' consump-Marketing processes which had been established tion budget, but until the grain crisis of 1928 itunder the NEP have been suddenly displaced by involved no general shortages so acute astoa system of organized distribution, whose tech- necessitate rationing. nical apparatus has been lagging behind require- Since the launching of the Five -Year Plan inments. Emergency situations have been con- 1928 distribution policies have been blendedstantly arising, calling for departures from gen- with the program of socialization and enhanced eral plans and policies. industrialization. The very problem of distribu- The central agency of food supply and distri- tion has assumed new aspects in regard to scope, bution is now the Commissariat of Supply, cre- geographical trends, technical equipment andated in 193o. It has charge through its specialized methods. The Five -Year Plan anticipates an in-constituent bodies of the construction and oper- crease of 23 percent in the urban population.ation of state controlled food processing indus- The expansion of old industrial centers has been tries, including the large scale projects now Food Industries 327 under way in meat packing, canning and pre-Youth, by shock brigades delegated from the cit- serving, which are expected eventually to be-ies, by the village Commissions of Aid to Grain come the basis of modernized distribution. It al-Procurements elected by the local "poor and so plans and directs the acquisitions of grain,middle peasants" and finally by the machine and cattle and to some extent of other agriculturaltractor stations. The latter are in direct touch produce; this planning has now become specificwith the producers in the field and secure for the and direct, so that individual villages are assignedstate agencies the part of the crop turned over to their quota of deliveries. At the other end thethem in payment for their services; they have commissariat controls the allotment of the foodalso been following the practise of stipulating in supply of the cities, industrial settlements andthe contracts that producers are not to deliver construction camps, that of the non -agricultural any portion of their crops to privatetraders. portion of the rural population and a substantial With the rapid increase in the size of the part of the supply of specialized agriculturalcommercial grain crop its movement from pro- producers, such as workers on state farms andducing areas to consumption centers, which has cultivatorsof industrialcrops.Cooperativebeen expedited to an even greater extent than organizations, while preserving their autonomybefore the war, encounters considerable diffi- as agencies of organized producers and consum- culties in regard to transportation and storage. ers, have become at the same time organsofThe provisions of the Five -Year Plan for the planned distribution and as such operate underimprovement of transportation facilities were the supervision and direction of the Commissa- inadequate even for the original requirements riat of Supply and in conformity with the plans of the plan. Since then the railway system, par- laid out by it. While consumers' cooperativesticularly its rolling stock, has been overtaxed have been assigned the leading part in distribu-by the enormous increase in freight caused by tion, the procurements from producers have nowindustrial and agricultural expansion. While the become for the greater part a function of agen-construction of the Turkestan -Siberian railroad cies of agricultural cooperation, of which thestands as a positive achievement, little has been most important is the Khlebozhivotnovodtsentr. either planned or accomplished in regard to It has charge of procuring grain and cattle from the old problem of improving facilities for the the villages and collective farms, which it turnsmovement of grain from the producing areas over to the agencies of the state. Its role hasin the east, which has in the meantime been grown with the great extension of the practiseofaggravated by the importance assigned in do- "crop contracting," which now applies virtuallymestic supply to grain from the Urals, Siberia to all collective farms and to a growing numberand Kazakstan. Water transportation isstill of peasant groups; it was expected that 85 per- far below the pre -war level. Although there has cent of the commercial grain crop would be se-been some construction of roads to connect cured by this method in i931. Instead of provid-the large state farms with railway stations, local ing for consumption goods in exchange for atransportation on the country roads isstill share of the prospective crops the contracts nowthe weaker link of the grain delivery system. call for the supply of production goods. The problem of grain storing has been a seri- There has been a complete change in theous one since the large scale government pur- methods of acquiringagriculturalproduce.chases during the war, when only port and ter- While the "extraordinary measures" of coercionminal elevators were available. Since 5925, when resorted to early in 1928 were repealed later inthe construction of country elevators was first the same year, free peasant trade has never sincebegun, facilities have been greatly increased. been restored and a measure of pressure has Country elevator construction, which under the been attendant upon the process of procuringplan was to secure a total capacity sufficient agricultural products. To make sure that theto accommodate so percent of the commercial kulaks supply their assigned quotas, that the col-crop by 1933, has been sinceexpanded and in lective farms and peasant groups live up to theiraddition hundreds of warehouses have been obligations under the contracts, and to inducehastily constructed at the country "delivery them to deliver exclusively to the state the great- points" by the grain producing organizations. est possible portion of their crops in excess ofThe total warehousing capacity is still insuffi- those contract deliveries "civil effort" is en-cient, however; only some 15 percent of it is in listed. This has been supplied by local villagemechanically equipped elevators, and the other Communists and members of Communistwarehouses are often defective or inconveniently 328 Encyclopaedia of the Social Sciences located. Many of them become obsolete and are In the distributive trade the task of con- being discarded; so also do many "deliverysumers' cooperatives as originally contemplated points" of the old type, as concentrated deliver-under the Five -Year Plan consisted essentially ies by collective farms or by "red caravans" of in extending, improving and modernizing facil- peasant groups are becoming more important. Aities of retail trade, lowering costs and prices recent tendency has been to promote directand securing an elasticity of methods in con- deliveries to railway stations, necessitating aformity with the great variety of local needs. hasty endeavor to extend the warehousing capac-The chain department store was set as the basic ity available there. Construction of elevators atunit, and this has tended to become the predom- state farms has barely started; these were notinant type of organization. In the rural sections called for by the plan but have proved necessaryit is a district store supplied from a regional in view of the transportation difficulties en-warehouse, with branch stores in individual vil- countered in 193o. lages. In the cities in addition to the general The distribution of other foodstuffs was ham-department stores district department chain pered by the technical deficiencies of the ap-stores have received most attention; these in- paratus as well as by other factors. Of these theclude both general and special stores- particu- most disturbing has been the wholesale destruc- larly, specialized food stores -as well as a net tion of livestock by peasants (no less than one of stands, tents, kiosks and traveling stores, third of all animals and fully 5o percent of hogs) especiallyinoutlyingfactorysections,at during the excesses of forced collectivizationrailway stations and docks. The cooperatives in 1929 and 193o. Pending the execution ofwere expected to bring about a radical improve- the far reaching program of reconstruction ofment in the internal organization of the stores, animal husbandry on the basis of large scaleto develop the practise of home delivery to farming, with a rational distribution of animalconsumers and to secure a gradually increasing raising for meat in accordance with the needscontrol over the trade in the town bazaars, espe- of the projected meat packing industry, thecially in provincial cities, with a view to trans- meat supply of the industrial centers has beenforming them eventually into modern markets. unbalanced. To relieve the shortage long haulIt was anticipated that in the course of the shipments have become necessary on a scalefive -year period they would attain a dominant never anticipated; this is particularly evidentposition in retail distribution; their share in for shipments of cattle and sheep to the Mos-the total retail trade was to advance from 57 to cow region from the Caucasus, Siberia and76 percent, while that of private trade was to Kazakstan in substitution for hogs from centraldecline from 25 to 9 percent. Retail trade of Russia and the Ukraine. state controlled organizations, with an increase An analogous situation has developed in re-of 38 percent in absolute volume, was to play a gard to dairy products and vegetables. The largesubsidiary and gradually diminishing part. A suburban dairy and truck farms of pre -war timesparticular effort was to be exerted in expanding had never been restored, and the peasant farmscooperative activities in food retailing; agri- which flourished during the NEP, fair sizedcultural products were to increase from 3o to establishments employing hired labor, went4o percent in the total turnover of urban co- under in great numbers in the drive against theoperatives. The program also provided for an kulaks. While the long term program of develop- expansion of the productive activities of con- ment of large scale vegetable farms in the indus-sumers' cooperatives. Cooperative baking, which trial regions is under way and while an effort has had supplied from 6o to 90 percent of the con- been made of late to concentrate upon suburbansumption in the larger cities, was to be extended development, the cities are still dependent uponso as to cover fully the supply of all cities with a distant regions for their vegetable supply to apopulation of over íoo,000 and up to 75 per- greater extent than ever before. Although acent of that of cities of 50,000 to ioo,000. great effort is being made to build up a systemThis was to be accomplished largely through of cold storage warehouses and refrigerator cars,the construction of more "bread factories," such construction is still in the initial stage. Inwith the gradual elimination of the more obso- addition the facilities for sorting, handling andlete old type bakeries. There was also to be a distributing perishable products are very scanty,great expansion in the field of public feeding; so that their movement is in a very precariousthe cooperatives were to establish restaurants, condition. cafés and public kitchens dispensing prepared Food Industries 329 meals for home consumption, school luncheonscommunal life, has become a problem of first and and the like. most urgent necessity in the new settlements. A program of this magnitude, requiring soIt has also assumed an unexpected importance high a degree of initiative and flexibility, was im-in the cities and old industrial centers, since the posed upon the consumers' cooperatives, whichlaboring population has grown out of all propor- were handicapped by a scarcity of trained per-tion to the meager housing facilities and since sonnel and a poorly developed apparatus. Theymany women have been enlisted in industrial were not prepared to carry out even the originalwork. The failure of the cooperatives in the program; still less were they able to cope withfield of public feeding led in August, 1931, to the problems of the past few years, which havea transfer of these functions to the organs of altered and complicated their task and changedthe Commissariat of Supply in the most impor- their position in the economic system. tant centers. As a result of the forceful suppression of Of all Soviet organizations consumers' co- private trade instead of its gradual eliminationoperatives have been the slowest to adapt them- as had been planned the demand upon the co-selves to a situation full of emergencies and call- operatives has increased more rapidly than wasing for a greatcapacity formanoeuvring. anticipated. Practically all private stores in theDenunciations of their lack of militant initiative cities, including food stores, have now beenhave become common. Their failure has been closed. There has been a sporadic revival ofofficially stated more than once, and it has caused bagman's trade, alternately tolerated and sup-in the past few years several programs of general pressed, expanding and contracting. Peasantreorganization to be enacted, which, however, sales in the bazaars, while not prohibited di-have been slow to materialize; the deficiencies of rectly, have been checked to some extent by thetechnical equipment have been the chief ob- danger they imply for the peasant of affectingstacle. The latest reform, that of May, 1931, his official status in regard to class allegiance.calls for the reorganization of the Centrosoyus, The cooperative organizations, suddenly placedthe central union of consumers' cooperatives, in- in a quasi -monopolistic position, have thus farto a body of specialized agencies composed of proved inadequate to substitute effectively forwholesale trade concerns operating on a strictly the various private agencies, especially in thebusiness basis; these include, as far as the com- supply of perishable articles. merce of foodstuffs is concerned, three whole- The requirements of stricter control arisingsale concerns dealing respectively with groceries, from the food shortage and the system of ration-fruit and vegetables, and dairy products. In the ing have brought about changes in the methodsseveral constituent republics and regions central and structure of consumers' cooperatives. Inretail concerns are to be established, likewise 1928 sales to non -members were restricted and with specialized functions; they are to handle consumers were assigned to specific stores; ingroceries, fruit and vegetables, dairy products, 193o there were established "closed workers'meat and poultry, pastry and confectionery cooperatives," exclusively attending to the sup-goods and the food supply of children;all ply of workers at individual plants; factoryexisting specialized food stores have been trans- stores have been actively promoted, designed notferred to these concerns, and they are required only for the stricter enforcement of the "classto build up a system of shipping and warehous- principle" in distribution but also to provideing of their own. for a partial elimination of money in the pay- The same order confirms and extends the ment of wages. A parallel development has beenfunctions of consumers' cooperatives in procur- the provision of dining halls at individual plants.ing and processing agricultural produce for the The problems of food supply arising from thesupply of their members, either through acquisi- growth of construction camps and new indus-tions from producers or through the develop- trial settlements have assumed proportions neverment of suburban farms of their own. These ac- anticipated before. The situation under condi-tivities, not contemplated originally, have been tions of general food shortage has had to be metgradually growing in importance. Over 300,000 by emergency measures, with a great deal of im-hectares of suburban lands were planted to veg- provisation both in regard to retail distributionetables in the spring of 1931 by various city in general and to the development of publicand regional unions of consumers' cooperatives. feeding in particular. The latter, originally re-The object of this effort, however, was largely garded as a phase in the gradual socialization ofdefeated by the general unpreparedness of the 33o Encyclopaedia of the Social Sciences organizations to handle the crop, by the lack ofneria applicata,vol.lxv (Turin 1921) p. 68 -176; warehousing and shipping facilities and by theGoettsch, Ernest, "State Control of Italian Bread absence of provisions to finance their con- Production" in Bakers' Weekly, vol. lxii (1929) 92-93; Street, A. L. H., "Baking in Nine European Coun- struction. tries" in Bakers' Weekly, vol. lxiii (1929) 68 -69. There is every indication, however, that a FOR BAKING INDUSTRY, UNITED STATES AND CAN- growing reliance will have to be placed uponADA: Pennsylvania, Department of Agriculture, " Con- the consumers' cooperatives for a large portion sumer Demand for Bakery Products" by H. A. Hane- of the city supply. The shortcomings of central-mann, Bulletin, vol.xi, no.5 (Harrisburg 1928); Brayley, A. W., Bakers and Baking in Massachusetts ized supply have caused since the spring of 1931 (Boston 1909); Price, G. M., "Report on Bakeries and a distinct shift of emphasis from long term prob-Bakers in New York City " in New York State, Factory lems to immediate emergencies and from central- Investigating Committee, Preliminary Report, 3 vols. ized planning to local initiative. Authority to (Albany 1912) vol. i, p. 201 -68; Darst, L., Baking In- dustry in Cincinnati (Cincinnati 1925); Kyrk, Hazel, purchase directly from producers all over theand Davis, J. S., The American Baking Industry 1849- country and to build up suburban farms of their 1923 as Shown in the Census Reports (Palo Alto, Cal. own, conferred at first upon the several regional 1925); Alsberg, C. L., Combination in the American and city cooperative unions, was later extended Bread- Baking Industry (Palo Alto, Cal. 1926); United States, Federal Trade Commission, Competition and to the workers' cooperatives at individual plants Profits in Bread and Flour (1928); United States, and in August, 1931, to the several public feed- Senate, Committee on Agriculture and Forestry, Prices ing units in industrial centers. State controlled of Food Products, 71st Cong., 3rd sess., Report, no. vegetable farms have been directed to contract 1838 (1931); Bakery and Confectionery Workers' In- directly with workers' cooperatives for theternational Union, Losing His Strangle Grip on the Nation's Bread (Chicago n.d.); Canada, Department sale of their products, and the state grain of Labour, Combines Investigation Act; Investigation farms have been advised lately to depart from into an Alleged Combine in the Bread -Baking Industry the practise of exclusive specialization and to (Ottawa 1931). build up on their grounds such other forms of FOR BEVERAGE AND CONFECTIONERY INDUSTRIES: farming as may be required for the supply ofNon -Intoxicants, ed. by C. A. Nowak (St. Louis 1922); Millis Advertising Company, Indianapolis, What is their own workers. A number of conflicting Wrong with the Bottled Carbonated Beverage Industry cross currents have come to the surface since (Indianapolis 1928); Feldman, Herman, Prohibition; these departures, as keen competition has de- Its Economic and Industrial Aspects (New York 1927) veloped between the agencies of the centralp. 6o-86, 306 -29; Jacobsen, Eduard, Handbuch für Getränke- Industrie, Getrdnke-Fabriken und Getränke- authorities and those of local organizations. Grossbetrieb (Berlin 1925); Lecoq, Raoul, L'histoire ALEXANDER GOURVITCH du chocolat (Paris 1924); Knapp, A. W., The Cocoa See: AGRICULTURE; FOOD SUPPLY; GRAINS; MEAT and Chocolate Industry (2nd ed. London 1930); Wil- PACKING AND SLAUGHTERING; FRUIT AND VEGETABLE liams, I. A., The Firm of Cadbury 1831 -1931 (London INDUSTRY; MILK SUPPLY; DAIRY INDUSTRY; SUGAR; 1931); United States, Bureau of Foreign and Domestic PLANTATION WARES; CANNING INDUSTRY; FISHERIES; Commerce, "Confectionery Distribution in the United HOTELS; RESTAURANTS; LIQUOR TRAFFIC; NUTRITION; States 1927- 1929" by R. L. Purdon, Domestic Com- STANDARDS OF LIVING; COST OF LIVING; FOOD AND merce Series, no. 41 (1930), and "Distribution Cost DRUG REGULATION; WEIGHTS AND MEASURES; INSPEC- Problems of Manufacturing Confectioners" in Distri- TION; HOURS OF LABOR; MARKET; MARKETING; RETAIL bution Cost Studies, no. Io (1931); United States, Worn - TRADE; AGRICULTURAL MARKETING; AUCTIONS; COM- en's Bureau, "Wages of Candy Makers in Philadel- MODITY EXCHANGES; FAIRS; MIDDLEMAN; MARKETS, phia in 1919," Bulletin, no. 4 (1919), and "Women in MUNICIPAL; COOPERATION. the Candy Industry in Chicago and St. Louis," Bulle- tin, no. 25 (1922); New York State, Department of Consult: FOR BAKING INDUSTRY, EUROPE: Ashley, Labor, "Hours and Earnings of Women in Five In- W. J., The Bread of our Forefathers (Oxford 1928);dustries," Special Bulletin, no. 121 (Albany1923); White, John, A Treatise on the Art of Baking (Edin- Consumers' League of New York, Behind the Scenes burgh 1828); Rowe, J. F., The Bread Acts (2nd ed.in Candy Factories (New York 1928). London 1912); Stewart, John, Bread and Bread Bak- FOR GROCERY TRADE: Rees, J. A., The Grocery ing (London 1924); Great Britain, Committee of In-Trade, Its History and Romance, 2 vols. (London quiry into Night Work in the Bread Baking and Flour 1910); Kingdon, J. A., Richard Grafton, Citizen and Confectionery Trade, Report (London 1919); O'Brien, Grocer of London (London 1901); United States, Cruise, Cooperative Mills and Bakeries (Dublin 1925); Bureau of Foreign and Domestic Commerce, "The Rivet, Henri, Les boulangeries coopératives en FranceWholesale Grocer's Problems" by J. W. Millard, and (Paris 5904); Hivonnait, Pierre, Histoire de la corpora- "The Retail Grocer's Problems" by W. F. William- tion des anciens talemeliers á Paris (Paris 1910); Morel, son, Distribution Cost Studies, no. 4 (1928) and no. 5 Ambroise, Histoire illustrée de la boulangerie en France (1929); Davidson, Craig, Voluntary Chain Stores and (Paris1924);Schubert, C. M., Der Aufbau der How to Run Them (New York 1930); Whitaker, J. R., modernen Brotproduktion Deutschlands (Leipsic 1929); Organization of Chain Grocery Companies (Philadel- Battarra, Alberto, "I panifici" in Biblioteca di ragio- phia 1929); Abbott, W. L., Competition and Combina- Food Industries 331 fion in the Wholesale Grocery Trade in Philadelphia drick, Technical Bulletin, no. 107 (East Lansing 1930); (Philadelphia 1920); Harvard University, Bureau of Nystrom, P. H., Economic Principles of Consumption Business Research, "Marketing Expenses of Grocery (New York 1929) ch. xiii; Monroe, Day, and Stratton, Manufacturers for 1927 and 1928" by C. N. Schmalz, L. M., Food Buying and Our Markets (Boston 1925); and "Expenses and Profits in the Chain Grocery Busi- Chandler and Company, A Graphic Analysis of the ness in 5929" by M. P. McNair, Bulletin, no. 79 Nation's Food Industry (New York 5926). (Cambridge, Mass. 193o) and no. 84 (Cambridge, FOR FOOD DISTRIBUTION IN WESTERN EUROPE: Mass. 1931); University of Iowa, College of Com- United States, Federal Trade Commission, Food In- merce, Bureau of Business Research, "Operating vestigation. Report ... on the Wholesale Marketing of Costs of Service Grocery Stores in Iowa for the YearFood (192o) ch. iv; Addison, C., The Nation and Its 5927" by W. F. Bristol, Iowa Studies in Business, no. 6 Food (London 5929); Great Britain, Committee on (Iowa City 1930); University of Nebraska, College of Distribution and Prices of Agricultural Produce, In- Business Administration, Committee on Business Re- terim and Final Reports (London 1924); Great Britain, search, "Some Aspects of Grocery -store Failures," Royal Commission on Food Prices, First Report with Nebraska Studies in Business, no. 14 (Lincoln 1926). Minutes of Evidence and Appendices, 3 vols. (London FOR PERISHABLE FOOD DISTRIBUTION, UNITED 1925); Great Britain, Ministry of Agriculture and Fish- STATES: Hedden, W. P., How Great Cities are Fed eries, Economic Series published in London since 1925; (Boston 5929); Artman, C. E., Food Costs and City United States, Bureau of Foreign and Domestic Com- Consumers (New York 1926); Sherman, W. A., Mer- merce, "Chain Store Developments in Great Britain" chandising Fruits and Vegetables (Chicago 1928); Erd- by R. S. Charles, Trade Information Bulletin, no. 697 man, H. E., American Produce Markets (New York (193o); Grotkopp, W., "The Power of the Unilever 1928); New York State, Cornell Agricultural Experi- Trust" in Review of International Cooperation, vol. ment Station, "Some Facts Concerning the Distribu- xxiv (193 I) 289 -94; Great Britain, Ministry of Labour, tion of Fruits and Vegetables by Wholesalers and Job - Report on'an Inquiry into the Rates of Wages, Hours and hers in Large Terminal Markets" by M. P. Rasmus- Degree of Industrial Organisation in the Wholesale and sen, Bulletin, no. 494 (Ithaca 1929); United States, Retail Grocery and Provisions Trade in England and Congress, Joint Commission of Agricultural Inquiry, Wales (London 1926), and Report on an Investigation Report, House of Representatives, 67th Cong., Istinto the Rates of Wages, the Hours of Employment and sess., Report, no. 408 (1922) pt. iv; United States, the Degree of Industrial Organisation in the Wholesale Department of Agriculture, "Expense Factors in Cityand Retail Meat Distributive Trade (London 5926); Distribution of Perishables" by C. E. Artman, Bulle- Ellison, T., and Ramsden, G. W., The Management of tin, no. 1411 (1926); Port of New York Authority, Re- Foodstuffs and Allied Departments (Manchester 1925); port on the Food Supply of the Port of New York Dis- Prewett, F. J., The Marketing of Farm Produce (Ox- trict (Albany 1922); Regional Plan of New York and ford 1926); Prudhomme, Claude, La question des halles Environs, "Food Manufacturing Industries in New et le problème actuel du ravitaillement de Paris (Paris York and Its Environs" by F. M. Williams, and "The 5927); Rous, Paul, L'épicerie de gros et son évolution Wholesale Markets in New York and Its Environs" by(Toulouse 5927); Normand, G., Les enterprises mo- G. Filipetti, Economic and Industrial Survey, Eco- dernes; Le grand commerce de détail (Paris s920); Cham- nomic series, no. 3 (New York 1924) and no. I I (New pion, W., Studie zur Funktion der kleinhändlerischen York 1925); Warren, G. F., and Pearson, F. A., "Who Einkaufsgesellschaften der Schweiz (Weinfelden 5926); is Responsible for the High Cost of Distribution ?" Austria,BundesministeriumfürVolksernährung, and "Cost of Distributing Food," and Rasmussen, M. Wirtschaftsstellen und der derzeitige Stand der öffent- P., "Costs and Margins in the Wholesale Marketing oflichen Bewirtschaftung von Lebens- und Futtermitteln Fruits and Vegetables in New York City, 5924," in (Vienna 1921); Germany, Ausschuss zur Untersu- New York State, College of Agriculture, Ithaca, De- chung der Erzeugungs- und Absatzbedingungen der partment of Agricultural Economics and Farm Man- deutschen Wirtschaft, Unterausschuss für Gewerbe, agement, Farm Economics, no. xlv (1927) 691 -92, no. Arbeitsgruppe 9 (Handel), Die Grundl ag en der Handels- 1 (1928) 83o-36 and no. xlv (1927) 706 -11; Neifeld, Enquete (Berlin 1929), Grosshandel mit Lebensmitteln, M. R., "The Great Atlantic and Pacific Tea Company Kolonialwaren und Drogen (Berlin 1929), Grosshandel -An Analysis of the Company's Fruit and Vegetable mit Lebensmitteln und Kolonialwaren (Berlin 193o), Business within the Metropolitan Area" in New YorkMassenfilialunternehmen im Einzelhandel mit Lebens- Food Marketing Research Council, Food Marketing mitteln und Kolonialwaren (Berlin 1929), Ladenhandel Studies (New York 1926) sect. vi; United States, Bu- und ambulanter Handel mit Obst und Gemüse (Berlin reau of Agricultural Economics, Push Cart Markets in 1929), Konsumvereine (Berlin 1931), Handel mit Milch New York City (1925); Port of New York Authority, und Molkereiprodukten (Berlin 5929); Germany, Aus- Preliminary Report of Deputy Manager on Unionschuss zur Untersuchung der Erzeugungs- und Ab- Terminal for Live Poultry (New York 1927); United satzbedingungen der deutschen Wirtschaft, Unter- States, Bureau of Foreign and Domestic Commerce, ausschuss für Landwirtschaft, Die Auswirkung der "Louisville Grocery Survey, Part 1. Census of Food Gefrierfleischkontingentierung auf die Preisbildung des Distribution," Distribution Cost Studies, no. 6 (5930). Gefrierfleisches (Berlin 1928), and Unterausschuss für FOR FOOD CONSUMPTION IN THE UNITED STATES: allgemeineWirtschaftsstruktur,Arbeitsgruppe 5 Pearl, Raymond, The Nation's Food (Philadelphia (Aussenhandel), Die deutsche Margarineindustrie (Ber- 1920); Montgomery, E. G., Apparent Per Capita Con- lin 193o); Germany, Reichministerium für Ernährung sumption of Principal Foodstuffs in the United States und Landwirtschaft, Berichte über Landwirtschaft (Washington 1930); Michigan College of Agriculture(Berlin 1929 -31); Lange, Edgar, Die Versorgung der and Applied Science, Economic Section, "The Lan-grossstädtischen Bevölkerung mit frischen Nahrungs- sing Food Survey" by C. A. Scholl and W. O. Hen- mitteln,Staats-und sozialwissenschaftlicheFor- 332 Encyclopaedia of the Social Sciences schungen, vol. clvii (Leipsic 191 i); Dannenbaum, Ri- public concern. The part played by food in the chard, Hundert Jahre hamburgischen Südfruchthandelsmyths and folklore of primitive and early his- (Leipsic 1911); Lefebvre, P. A. L. J., Le commerce horticole belge avec l'étranger (Brussels 1918); Inter- torical peoples is well known; the anxiety felt national Labour Office, The Part Played by Cooperative over the adequacy of the food supply is written Organisations in the International Trade in Wheat,into the legal codes of almost every society Dairy Produce, ... (Geneva 1926). well into the nineteenth century. In prehistoric FOR FOOD DISTRIBUTION IN RUSSIA: Lyashchenko, times the inadequacy of the food supply acted P.I., Khlebnaya torgovlya na vnutrennikh rinkakh Evropeyskoy Rossii (Grain trade in the domestic mar- as a control on population growth; during kets of European Russia) (St. Petersburg 1912), and antiquity the course of civilizations was largely "Russkaya mukomolnaya promishlennost i torgovlya shaped by the same problem; in the Middle mukoy" (Russian milling industry and the trade inAges a desire for certainty as regards food flour) in Russia, Department Zemledeliya, Ezhegodnik for 191 I; Yurovsky, L., Der russische Getreide- Export, helped form the institutional life of Europe. seine Entwicklung und Organisation (Stuttgart 1910); Only in modern times has this feeling of uneasi- United States, Department of Agriculture, Bureau ofness been relaxed; today one of the chief dis- Statistics, "Russia's Wheat Trade" by I. M. Rubinow,tinguishing marks of civilization is the existence Bulletin, no. 65 (1908); Russia, Osoboe Soveshchanie of a technological basis for an adequacy, if not po Prodovolstviu, Proizvodstvo, perevozki i potre- blenie khlebov v Rossii (1909- 1913) (Production, trans- a surplus, of food. portation and consumption of food grains in Russia, The leading reasons for this change are worth 1909 -1913) (St. Petersburg 1916 -17); Kryukov, N. summarizing. In the last two hundred years the A., Myaso i myasnie produkti (Meat and meat prod- science of agriculture has made great strides ucts) (Petrograd 1922); Struve, P. B., Food Supply in Russia during the World War, Carnegie Endowment as a result of crop rotation (with the presence for International Peace, Division of Economics and of a legume in the rotation), intensive cultiva- History, Economic and Social History of the World tion and the growing use of chemical fertilizers. War, Russian series (New Haven 1930); Kondratyev, The application of machinery to farming and to N. D., Rinok khlebov i ego regulirovanie vo vremyaalliedprocesseshas hastenedtechnological voyni i revolutsii (The grain market and its regulation during the war and revolution) (Moscow 1922); Larin, changes. The development of rapid transporta- Yu., and Kritzman, L. N., Ocherk khozyastvennoy tion on both land and sea, the appearance of a zhizni i organizatsiya narodnogo khozyaystva sovetskoy world wide machinery for credit and exchange, Rossii, ... (Moscow 1920), tr. by M. Nachimson as the creation of land banks and other devices to Wirtschaftsleben und wirtschaftlicher Aufbau in Sowjet- Russland, 1917 -1920 (Berlin 1921); Union of Socialist make farm financing easier, have changed the Soviet Republics, Narodny Komissariat Vneshney iproduction situation. Refrigeration, the opening Vnutrenney Torgovli, Vnutrennyaya torgovlya Soyuza of new grasslands to cultivation, first in the S. S. R. za desiat let (Domestic trade of the Union ofUnited States and then in Canada, Argentina, S. S. R. in the last decade) (Moscow 1928); Ko-Australia and eastern Asia, and the development operatsiya v S. S. S. R. za desiat let (Cooperation in U. S. S. R. in the last decade) (Moscow 5928); Larin, by irrigation and dry farming of areas possessing Yu, Chastny kapital v S. S. S. R. (Private capital in seasonal or inadequate rainfall have created new U. S. S. R.) (Moscow 1927); Chastnaya torgovlyasources of supply. Since the beginning of the S. S. S. R. (Private trade), ed. by L. B. Zalkindindustrial revolution the world's population has (Moscow 1927); Union of Socialist Soviet Republics, Gosudarstvennaya Planovaya Komissiya, Pyatiletny grown at an extraordinary rate; yet, thanks to plan narodnokhozyaystvennago stroitelstva S. S. S. R. agriculture, transportation, credit and exchange, (The five -year plan of economic development ofit has been fed comfortably and in some regions U. S. S. R.), 3 vols. (3rd ed. Moscow 1930) vols. ii -iii; with a plenty which has been experienced be- Union of Socialist Soviet Republics, Gosudarstven-fore only on rare occasions and by the privileged naya Obshcheplanovaya Komissiya, The Soviet Union Looks Ahead (New York 1929) p. 8i -io5, 158 -67,classes. 196 -205; "Materiali k kontrolnim tsifram pyatilet- Nevertheless, there continue to exist certain nyago plana vnutrenney i vneshney torgovli (1928/29- factors which, if they do not imperil the food 1932/33)" (Materials on the control figures of thesupply of the world, make its status, particularly five -year plan of domestic and foreign trade of the in separate regions, less certain than is com- U. S. S. R., 1928/29-1932/33) in Voprosi Torgovli for monly supposed. Undoubtedly the law of dimin- May 1929; Mikoyan, A. I., Prodovolstvennoye snab- zhenie i nashi zadachi (The food supply and ourishing returns places barriers in the way of an problems) (Moscow 1931). ever growing application of capital and labor to the production of foodstuffs unless governments FOOD SUPPLY. In every age, with perhaps theeither resort to subsidy in order to assure the exception of the present, the problems of foodcontinuance of a farming class or else make and food supply have been serious matters offood supply a state monopoly. Under the present Food Industries - Food Supply 333 capitalist system difficulties of a financial nature,In terms of energy the average adult male Amer- arising largely from theinability of manyican consumed 4290 calories daily as compared agricultural peoples to maintain their purchas-with the 3000 calories stipulated as adequate in ing power, may affect the food supply. Naturalthe typical food chart and the 3358 calories con- threatstothe food supplystillfunction:sumed per man in the United Kingdom during droughts,floods,excessive moisture,insectthe war year 1918. pests, plant diseases. War as a destroyer of agri- The extent to which the modern world is de- cultural lands and as a disrupter of the mechan- pendent for its food supply upon the interna- isms of transportation and exchange has its in-tional mechanisms of transportation and ex- fluence on belligerents and neutrals alike. Hid-change is revealed by an examination of the far den hungers (scurvy, beriberi, rickets, pellagraflung distribution of the principal food bearers and the like), due to dietary deficiencies, stillentering into commerce. It is true that the larger carry off their victims. So great afuture growthpart of the world's food is produced in those of the world's population as to tax seriously thelands where it is consumed; nevertheless, com- land's power to produce the needed food re-plete self -sufficiency on national lines may be sources is probably no longer tobe regardedsaid to exist nowhere and interdependence on a as a serious possibility. world basis is increasingly becoming the rule. Although the food supply of the modern worldEven Java, the Philippines and the Straits Set- is plentiful,it can scarcely be said that alltlements must import rice. Brazil, whose chief peoples enjoy diversification. At least 6o per-industry is agriculture, must import wheat and cent of mankind's diet is made up of grains -meats; the same is true of Cuba. A large part rice, wheat, rye, barley, oats, corn and so on.of the temperate zone is dependent upon the The remaining 40 percent must be dividedUnited States, Canada, Australia, India, Argen- among the legumes, sugars, vegetablesandtina, Russia and the Danubian countries for its fruits, nuts and other oil producers and finallywheat; Argentina exports corn; pre -war Russia meats. The Orient subsists almost entirely onexported rye and barley; Siam, Indo -China and rice; the customary fare of many European agri-Burma export rice; Cuba, Java, Hawaii export cultural laborers has been and is still largely ryesugar; Central America exports fruits; Argen- bread. Fully half of the world's population eatstina, Uruguay, the United States, Australia and very little meat; in fact, it has beenestimatedNew Zealand export meats; the Scandinavian that the world's production of meat is by weightcountries and New Zealand export dairy prod- but one fifth of the world's production of wheatucts. Because the processes of distribution func- alone. In new countries where land is cheap ortion in general so competently, direct social and in sections of the world like western Europepublic interest in the food supply has been rele- where the standard of living is sufficiently highgated to a minor place among the activities of to permit of the importation of animal fodder,government; but a review of the status of the the raising of animals for food is economicallyfood supply in earlier times quickly indicates possible. These factors help explain the largethat this attitude is entirely a characteristic of consumption of meat in countries like the Unitedthe modern period. States, Canada, Argentina, Australia, the United Ancient man sustained himself in a compara- Kingdom, Germany and Denmark. tively simple fashion: he ate what he could find Raymond Pearl (The Nation's Food, ch. ix)and nature was his only provider. He hunted, has found that the average annual use of food in fished, tracked down small animals and insects; the United States during the period from 1911 tohe collected fruits, mosses, roots and wild honey. 1918, in terms of caloric value, was divided intoNot until late in his development did he learn the following proportions: grains, 34.68 per-to domesticate animals and till the soil. Never- cent; meats, 21.63 percent; dairy products, 15.26 theless, whether merely gatherer of foods, hunt- percent; sugars, 13.24 percent; vegetables, 5.32er, shepherd and herdsman or agriculturalist,he percent; oils and fats, 4.82 percent; fruits, 2.20quickly appreciated the necessity for storing and percent; poultry and eggs, 2.02 percent;oleo- preserving food to provide for periods of inade- margarine, 0.42 percent;fish,0.41percent.quacy. Nor was the machinery of exchange un- Among the grains wheat led easily; among theknown, as is evidenced by the presence of barter meats, pork. The annual yield of food in theamong primitive tribes today. Thathe did not United States was 26,068,700 metric tons, making want for food the survival of the race testifies; an annual per capita yield of 2.3 metric tons.nor are there any indications that hungerand 334 Encyclopaedia of the Social Sciences famine were ever present conditions of living.portation of foodstuffs were closely regulated; This equilibrium was undoubtedly maintainedagencies were created to supervise in every de- largely by checks on population growth, mosttail the warehouses of the emporium, to regulate common of which were restrictions on sexual in-grading and weights and to check the hiding of tercourse among married persons, abortion andstocks, engrossing and price inflation. In the infanticide. In early historical societies in orderHellenistic period the state was compelled to to check population growth and to feed settledproceed from encouragement and regulation to communities there was to be found a survival ofdirect participation in the grain trade. In the primitive customs existing side by side with con- third century it was not uncommon for state scious planning on the part of governmentalofficials to engage actively in the purchase and bodies. Abortion and infanticide were generallydistribution of foodstuffs; at Samos, for example, practised throughout antiquity and indeed con-the state assured a steady flow of food at low tinued to exist in China and India until quite re- prices out of a fund especially set up for that cently. In addition, governments assumed as one purpose; at Tauromenion in Sicily there existed of their major functions the task of providinga complex bureaucracy made up of buyers, re- agencies to safeguard and distribute the foodceivers and wardens handling sales of grain. supply. In Egypt, China, Greece and Rome one The record of Rome was not dissimilar. In her or another of the following measures was alwaysearly history, thanks to the existence of a fertile found necessary: the erection of royal granariessoil and the development of peasant proprietor- for purposes of storage against lean harvest years,ship, Rome had enough grain for her own needs the encouragement of colonization for the pur-and for the exportation of surpluses into Greece. pose of opening new agricultural areas, militaryBut just as a metropolitan economy was in conquest to assure the steady flow of agricul-process of developing, the soil of Latium began tural imports, the equipment of navies to convoyto decline in fertility and by the third century the grain ships or even monopolization by theRome was embarking on the same imperialistic state of the handling and distribution of grain.career that had made the Athenians at home in Despite the lavishness of nature, as in the casethe whole Mediterranean basin. The wars with of the Nile; despite the widening of the area ofCarthage were fought over Sicily, which had supply, as in Greece; despite the greater agri-become one of the great granaries of Rome; the cultural skill of man, as in Rome, where cropRoman sphere later was extended into Egypt, rotation came to be practised, the threat ofSpain and the Pontus, largely for the same rea- hunger was always real and the adequacy of theson. During the reign of Augustus Egypt had food supply had always to be considered. Thebecome so important to the empire that the land decline of many early historical societies wasof the Nile was declared forbidden ground and as due in no small degree to their inability tosuch was to be kept closed to all Roman knights solve successfully the problem of food supply. and senators unless permission had been ex- In Egypt royal granaries were early estab-pressly granted by the emperor. Tacitus indi- lished, and the role of the collector and con-cated that the reason for such a policy was no troller over the surplus grain of the kingdomhidden one: "It was seen that whoever made has been made familiar by the Biblical story ofhimself master of Alexandria ... might with a Joseph. In China as early as the fourth centurysmall force make head against the power of B.C. not only did the government maintain gran-Rome and, by blocking up the plentiful corn aries for the storing of surpluses but it alsocountry, reduce all Italy to a famine." Just as inspected and graded the rice crop and fixedAthens had seen the necessity of keeping the prices. In Greece and more particularly in At-sea lanes open, so Rome realized that the land tica, where a primitive pastoral and agriculturalroutes were the key to her power and through a economy had evolved into a metropolitan one,ramified system of public roads was able to preoccupation with the food supply had becomemaintain that steady flow of foodstuffs required the leading concern of statecraft by the fifthby her great urban populations. As N. S. B. century B.c. Colonization in Asia Minor, SicilyGras notes: "In more remote parts (of the Em- and Italy was encouraged; an attempt was madepire) lands would be devoted to the production to establish a foothold in Egypt; friendly rela-of such commodities as could be transported tions were set up with the grain growing coun-long distances, livestock, fowl, wine, and olive tries of the Euxine; a large navy was provided to oil.... The trade in these commodities was keep the straits open; the importation and ex-not only of the local town type, but interurban Food Supply 335 and even international" (A History of Agricul- a metropolitan economy called again for social ture in Europe and America, p. 7o). Nevertheless,regulation of food supply in order to assure the empire declined and even the desperate ef- adequacy and to protect the consumer against fort of Diocletian in the fourth century of theextortion. At the same time an increase in sup- Christian era to save the towns by fixing pricesplies became possible as a result of new agri- for all foodstuffs was unavailing. Whether thecultural knowledge. The breaking down of the continued sapping of the soil destroyedtheenclosures, in England particularly, was accom- towns by steadily limiting the food supply,panied by a veritable agricultural revolution. whether the slowing up of trade due to the flightThe growing of field grasses and root crops and of hard money eastward destroyed the marketsthe fattening of barnyard stock, followed by for agricultural surpluses, whether growing in-the introduction of crop rotation, gave to the ternal disorder led to a contraction of the eco-expanding world of the sixteenth, seventeenth nomic round - whatever the chief cause for theand eighteenth centuries the assurance of more disintegration of the empire, a declining foodfood. But this was deemed not to be enough. supply played its part. In the Eastern Empire a Consequently, with the reappearance of the similar process of gradually increasing difficul-towns and trade there arose in varying degree ties in maintaining the food supply led by thean active interest on the part of governments in fifth and sixth centuries to the conscription ofthe food supply. men for membership in the guildsresponsible Very early in England corn laws were passed for the food of Constantinople. to check the exportation of grain except in For fully eight hundred years the Europe ofyears of great plenty, a system of licenses was the Middle Ages sustained itself because of con-employed and the grain producers were required trols exercised on population growth and byto sell their products in the nearest market means of a self -sufficing economy.With thetowns. Under the Tudors licensing was abolished spread of Christianity abortion and infanticideand for the protection of the native growers im- had been abandoned, but for them were substi-portation was regulated. The consumer, how- tuted celibacy and late marriage. Hunger, dis-ever, was not neglected, for laws against engross- ease and war exacted their victims morefre-ing and speculation found a place on the statute quently than ever before, so that Europe's popu-books. London was not content to rely entirely lation grew only slightly, if at all. The manorialon the action of the national government, and system furnished security, but it checked enter-for a hundred years in the sixteenth and seven- prise and prevented the raising of agriculturalteenth centuries its magistrates had the grain surpluses. The three -field system, which was totrade of the city under their control. The impor- be found everywhere in Europe and had not beentation of grain was encouraged by the fixing of a extinguished in some areas as late as the middleminimum price, non -citizens engaged in the of the nineteenth century, definitely hobbled foreign grain trade were given special considera- agriculture: it committed all tillers of the soil intions and a municipal granary was operated. a village to the growing of the samewinter orThe English corn laws, heavily taxing foreign spring grains; since animals were few, it had nograins when the domestic price was low, were adequate means of sustaining the soil's fertility. in effect abolished in 1846; and from 1849 on- Throughout the Middle Ages a commerce of award England was admitting grain dutyfree, sort continued to exist of course, for the mano- thus confessing the inability of native agricul- rial system could not entirely satisfy all its wants; ture to furnish the food supply required by the salt, iron and a few rude medicines, for example, country's growing urban population. still had to be obtained from abroad. In the In France under the ancien régime the story occasional towns therefore there were to be was much the same: every effort was made by found regular markets where exchanges andthe government to maintain a steady supply. In purchases might take place; there were alsothe words of J. H. Clapham: "Since the tradi- periodic fairs where wares from distant landstional rotation of crops ... had grain supplies were displayed and bills ofexchanges traded in;primarily in view ... government influence had but except for spices and a few other luxurygenerally been thrown into the scales in their fa- products the food supply was almost en-vor. Any variation in cropping which seemed to tirely local. threaten the local supplies of cereals had been The end of the manorial system meant the enddiscouraged. Government regulated not only the of this self -sufficiency; and the reappearance ofrotation of crops but also everything connected 336 Encyclopaedia of the Social Sciences with grain, from sowing to market. It was notactivity, namely, supervision of the quality of to be hoarded or wasted; its price was carefullyfood, governmental interest has been extended supervised"(The Economic Developmentofin modern times. By pure food and drug laws; by France and Germany, 1815 -1914, Cambridge,providing for the inspection of livestock and of Eng. 1921, p. Io). In France it was the politicaldressed meats; by supervising weights and revolution which ended this system of controlgrading; by penalizing misbranding; by furnish- and left the peasant free to follow any vagary he ing local inspection services of bakeries, restau- pleased. rants and the like, governmental agencies have Thus it may be said that during the nineteenthendeavored to protect the consumer from mis- century for the first time in history governmen- representation, extortion and unclean or diseased tal concern over the food supply, as far asfoods. Since the middle of the nineteenth cen- provision for its adequacy went, was relaxed.tury in every occidental country an increasingly Certainly governments did not proceed to leavewidespread series of such agencies has been set every operation in the complex round of foodup. supply, from growing to distribution, to chance In war time even modern governments have or individualinitiative.Itisto be noted,proceeded to assume extraordinary powers over however, that the emphasis ofitsinterestthe food supply. In Germany during the World shifted from concern over adequacy to concernWar the food supply became in every particular over national security and the protection of thea government monopoly; every step in the proc- growers of foodstuffs as enterprisers. Fromess of production and distribution was under these motives, the one political, the other eco-government control. In England by 8988 (except nomic, have sprung most of the controls overfor the rationing of bread) the same condition the production and distribution of food supplyhad been effected. In the United States by the in existence in the modern world. The agricul- Food Control Law of August, 1917, the president tural tariffs inaugurated in France and Germany was given dictatorial powers over the entire food in the 188o's, when world prices were generallysupply after it had left the farms. This right was declining, were due to the fact that the accept- never fully exercised; the federal government re- ance of war as an instrument of nationalsorted only to voluntary agreements with trade policy called for preparation against the timegroups, a licensing system of all food dealers (ex- when food imports might be cut off as a result ofcept the retailers), and the fixing of basic prices the control of the seas or the investing of the (i.e. prices of foods when entering trade instead frontiers by a hostile navy or army. Productionof when leaving) for wheat, sugar, meat and rice. bounties and export bounties were probably Modern war plays havoc with the food supply prompted by the same motive. On the otherof those peoples which are dependent to an hand, plans looking toward restrictions on theextent upon international trade. Up to the World production of agricultural staples, valorizationWar maritime law had held that food was condi- schemes and the formation of international car-tional contraband and liable to seizure only if it tels -all with the assistance or the blessing ofwas clearly demonstrable that it was destined for governments -have had as their end not thethe naval or military forces of the enemy; in furnishing of the consumer with an adequateFebruary, 1915, however, Great Britain made supply but the guaranty to the grower of afood unconditional contraband of war, justifying fair, if not a monopoly, price. her position on the ground that the German ra- It is to be observed that in one field oftioning scheme had wiped out the distinction be-

WEEKLYCONSUMPTION PER HEAD OF CERTAIN FOODS IN THE UNITED KINGDOM, GERMANY, AND THE NETHERLANDS, 1909 -13 AND 1918 (In pounds)

UNITED KINGDOM GERMANY NETHERLANDS

AVERAGE AVERAGE 1918 AVERAGE 1918 1918 1909 -13 1909-13 1909-13 Bread and flour 6.12 6.57 6.44. 4.06 7.25 3.o6 Meats 2.50 1.54 2.25 0.49 1.50 0.44 Sugar 0.50 0.33 0.52 Fats 0.51 0.45 0.56 0.15 0.70 0.37 Source: Beveridge, W. H., British Food Control, p. 316. Food Supply 337 tween the civil and militarypopulations. Bever -milk from the whole of New York state and the idge's figures (see table on p. 336)indicateborder counties of western Vermont, northern that the Central Powers and many ofthe neutralPennsylvania and New Jersey; its fresh fruits nations of Europe, whose local foodsuppliesand vegetables principally from New York state, were inadequate, werefeeling real hunger in theCalifornia and Florida; its dairy products largely fourth year of the World War. from the Great Lakes region; and its dressed But except in the case of warpreoccupationmeats from Chicago, East St. Louis, Indianapo- with the food supply is in modern timesalmostlis, Omaha, St. Paul and Kansas City. The aver- entirely a matter of business andindividualage haul is from 25o miles in the caseof milk activity. Society proceeds on theassumptionto 1500 miles for fruits and vegetables. that the competitive system willfurnish the The question of the future of the world's food foodstuffs needed, albeit wastefully. It is oc-supply cannot be answered with certainty, but casionally shocking to note that in aworldvarious trends are becoming increasingly evi- whose granaries are filled to burstingwith sur- dent. In the first place the rate of population plus grain large populations still dieof starva-growth is decidedly irregular. In the Balance of tion, and that active measures are takenfromBirths and Deaths (vol. 1 , New York 1928) time to time to restrict productionwhen soRobert R. Kuczynski demonstrates that the many peoples are compelled tolive on inade-countries of northern and western Europe are quate and poorly balanced diets.Except in therapidly approaching a stationary population. case of Russia foodsupply generally appears toAnother check on world expansion lies in the be unplanned: the consumer tries topurchasefact that comparatively sparsely settled areas what he thinks he needs to sustainlife andlike the United States, Canada, Australia and health, and the producer and distributor growSouth Africa have raised the bars against con- and market only what they think they canselltinued immigration. Vital statisticians agree that at a profit. And the profitmotive brings in itsa stationary population will soon bereached in train certain evils -waste of food to maintain athe United States, certainly before the twentieth high level of prices, attempts at monopoly con-century closes. At the same time students are trol, price wars to derange the market, thede-hopeful concerning agriculture's continued ad- basing and misrepresentation of foodstuffs. vance. O. E. Baker enumerates thefollowing six Yet under the competitive system theworld isresources as being available for the increaseof fed; occasionally, as in the case of the Unitedagricultural production: expansion of acreage, States, a whole population is fed well. The proc-changes in the yield per acre of both crops and ess from farm to consumer,the whole of whichfield grasses (aided by the use of fertilizers, the has been built up by private enterprise, is as rotation of crops and the reduction of losses due intricate as any in modern life. Foodstuffshaveto insect pests and plant diseases), shifts in the to be assembled, stored,carried, graded, fi-source of power (i.e. from horses andmules to nanced and sold. Despite the complexity of ourautomobiles and tractors), increase in the pro- modern life, developments in rapid transporta-duction of milk and meat per unit of feed con- tion and refrigeration have facilitated asteadysumed by livestock, shifts from less productive flow of foodstuffs toward consumption centers.to more productive classes of livestock(e.g. from One is led to ask how long a modern citycouldbeef cattle to dairy cattle and swine) and finally continue to feed itself in the event ofcompleteshifts from less to more productive crops per isolation. Obviously for only a briefinterval, ifacre. In brief the danger offulfilment of the at all, once the stocks ongrocers' shelves wereMalthusian prediction seems increasingly re- the exhausted. On April 16, 1923, for example, mote, and for the modern world theproblem of New York port possessed in its many ware-the food supply becomes more and more com- for one houses only enough butter and cheese pletely one of effective distribution. for seven- day's trade consumption, enough eggs Louis M. HACKER teen days, enough poultryfor forty -five days. carloads of pota- See: AGRICULTURE; DRY FARMING; IRRIGATION; POPU- On October 22, 1927, the 339 GRAINS; toes accumulated on the tracksin the New York LATION; NUTRITION; FAMINE; STORAGE; days' supply. FISHERIES; DAIRY INDUSTRY; LIVESTOCK INDUSTRY; City area represented only a seven MEAT PACKING AND SLAUGHTERING; FRUIT ANDVEGE- The modern city is increasinglycompelled to TABLE INDUSTRY; CANNING INDUSTRY;FOOD INDUS- tap a growing area beforeadequacy in food sup- TRIES; MILK SUPPLY; WATER SUPPLY;AGRICULTURAL ply can be assured. Thus New YorkCity gets its MARKETING; GRAIN ELEVATORS; COMMODITY Ex- 338 Encyclopaedia of the Social Sciences CHANGES; REFRIGERATION; MUNICIPAL MARKETS; to remedy from the "commodity side" of the WAREHOUSING; INSPECTION; FOOD AND DRUG REGULA- equation, primarily by a decrease in the popu- TION; ADULTERATION; AGRICULTURAL POLICY; TARIFF. lation and consequent decline in consumption. Consult: Smith, J. Russell, The World's Food Resources (New York 1919); Starling, E. H., The Oliver -Sharpey High prices of commodities and a high rate of Lectures on the Feeding of Nations (London 1919); interest diminish the foreign trade of a state and Pearl. R., The Nation's Food (Philadelphia 1920); are consequently undesirable. A rise in the in- Nasu, Shiroshi, "Population and the Food Supply" in terest rate he considered advantageous only to Gini, Corrado, and others, Population (Chicago 1930)the foreign creditor. Forbonnais discussed the ch. ii; Vinci, F., "Statement of the Position Concern- ing Cereals" in League of Nations, Provisional Eco-problem of foreign exchange rates and believed nomic and Financial Committee, Report on Certain that disturbances of state credit and abundance Aspects of the Raw Materials Problem, 2 vols. (Geneva or scarcity of foreign bills of exchange are the 1921 -22) vol. ii, p. 5 -26; Baker, O. E., "Population, main factors causing a deviation from parity. Food Supply and American Agriculture" in Geograph- ical Review, vol. xviii (1928) 353 -73, also in Far East- Forbonnais' theories of money and credit were ern Review, vol. xxiv (1928) 407 -19; Chew, A. P., influenced by Law, yet he accepted the mer- "Population, Food and Imperialism" in New Republic, cantilist emphasis on precious metals. By con- vol. lvii (1928 -29) 85 -89; Erman, Adolf, Aegypten und sistent advocacy of mercantilist ideas Forbon- aegyptisches Leben im Altertum, ed. by Hermann nais in common with Melon and Dutot, his like Ranke (new ed. Tübingen 1923), tr. by H. M. Tirard as Life in Ancient Egypt (London 1894) ch. xvii; Glotz, minded contemporaries, retarded considerably Gustave, Le travail dans la Grèce ancienne (Paris 1920), the spread of the physiocratic movement. tr. by M. R. Dobie as Ancient Greece at Work (London LOUISE SOMMER 5926); Abbott, F. F., The Common People of Ancient Works: Élémens du commerce, 2 vols. (Leyden 1754; Rome (New York 1911) ch. v; Gras, N. S. B., A His- 3rd ed. Paris 1767); Considérations sur les finances de tory of Agriculture in Europe and America (New York l'Espagne (Paris 1753; 2nd ed. with title Réflexions sur 1925), and Evolution of the English Corn Market from the Twelfth to the Eighteenth Century (Cambridge, la nécessité de comprendre l'étude du commerce et des Mass. 1915); Häpke, Rudolf, "Das Ernährungspro- finances dans celle de la politique, Paris 1755); Re- cherches et considérations sur les finances de France blem in der Geschichte" in Schmollers Jahrbuch, vol. depuis l'année 1595 jusqu'à l'année 1721, 2 vols. (Basel xlv (1920 pt. ii, 203 -27; Lacy, M. G., "Food Control 1758; 2nd ed., 6 vols., Liége 1758). Forbonnais also during Forty -six Centuries" in Scientific Monthly, translated (Dresden 1753) a series of English pam- vol. xvi (1923) 623 -37; Beveridge, W. H., Britishphlets in connection with the Treaty of Utrecht, The Food Control (London 1928); Litman, Simon, Prices and Price Control in Great Britain and the UnitedBritish Merchant, and published (Paris 1753) a free States during the World War (New York 192o); translation of Gerónimo de Uztariz' Teórica y prác- Hedrick, W. O., The Economics of a Food Supply (New tica del comercio. York 5924); Hedden, W. P., How Great Cities Are Fed Consult:Duverger, Véron, Études sur Forbonnais (Boston 1929); American Academy of Political and (Paris 1900); Fleury, G., François Véron de Fortbon- Social Science, Annals, vol. lxxiv (1917) and vol. nais, sa famille, sa vie, ses actes, ses oeuvres (Le Mans cxlii (1929) 1 -479. 1915); Harsin, Paul, Les doctrines monétaires et finan- cières en France du xvle au xvrzle siècle (Paris 1928) p. 249 -59; Torlonia, C., Le dottrine finanziarie di FORBONNAIS, FRANÇOIS VÉRON DU-F. V. Duverger de Forbonnais (Rome 1908); Isle de VERGER DE (1722 -1800), French economist. Sales, J. de l', Vie littéraire de Forbonnais (Paris 18o1). Forbonnais came of a merchant family and was himself an industrialist. In 1756 he was ap-FORCE, POLITICAL. The concept of political pointed general inspector of currency. Forbon- force requires differentiation from other forms nais was a leading representative of neomer-of compulsion, either physical or moral, in two cantilism in the eighteenth century. Of the tworespects: it must be limited to force which is fundamental ideas of mercantilism, bullionismdependent upon will and is employed in impos- and striving for independent nationhood, he par-ing an order of relationships in human society; ticularly emphasized the latter, deeming moneyand it must be limited to uses of force which are to be only a secondary means to national power.aimed at securing power or at deciding con- He advocated the theory of a favorable balancetested issues within a structure which claims the of trade, which in his opinion insures the welfarecharacter of a regime of law. Under this concep- of the people only when it increases not merelytion force need not be limited to physical coer- the supply of money but also the opportunitiescion. Any form of willed compulsion, whether it for employment. Forbonnais held to the quan-uses economic means or even moral pressure, tity theory of money; the increase of money ismay become political force if it is used to accom- harmless if it keeps exact pace with the increase plish political ends. But this rules out the ordi- in consumption. A rising cost of living he soughtnary relations of force between states, whether Food Supply-Force, Political 339 relations of war or of economic measures ofdeemed inadequate. Force may include forms of policy short of war, since they do not aim at thecompulsion other than the purely physical. It establishment of a definite legal order. On themay include pressures of all extralegal types -a other hand, such relations of force when under-fact which is today as well recognized by the taken by a concert of powers against a state or asuppressive methods of dictatorships toward group of states to enforce or to secure an inter-critical speech or hostile propaganda as it ever national regime of law might properly be in-was in antiquity. cluded within the definition. The existence of a Political theory in the Chinese and Hindu League of Nations and a network of securitycivilizations, together with what there was of treaties will possibly make such a use of politicalpolitical thought in the Near East and Egypt, force characteristic of the immediate future.accentuated in the early periods the theocratic Relations between states which involve directnature of the state as the basis of the legitimate imperialistic domination fall within the defini-use of compulsion. The development of political tion, since they aim at creating a legal system. ideas in the surviving civilizations of China and Some sociological thought has been unwilling India, as in the Hellenic and Roman periods of to limit the concept of the political to the legalwestern civilization, shows all the characteristic regime of the state. According to this view thelater shift of emphasis to "the things which are character of political action inheres in any rela-Caesar's." In the narrowly political context the tionship dependent upon will in which subordi-simplest form of the theory of the state as nation is implied, and is to be found in thefounded on force alone is given by Thrasy- activity of men in any association, such as themachus in Plato's Republic (bk. ii), when that trade union or the church. If so broad a defini- downright apologist of the right of might main- tion be accepted, it would not be necessary totains that justice is only what the strongest relate political action only to a system of govern-chooses to call by that name. Socrates has small ment which attempts to legitimize and to limitdifficulty in showing not only that this is not force, or to monopolize its more overt and physi-justice but that the conception of political supe- cal application as sanctions of law. It may beriority as dependent on the fear of force is not admitted that the character of political actionadequate even as a description of the facts of in the state is in form and even in psychologicalhabitual obedience. The ethical plane of Greek content very similar to the struggle for controlthought, aside from some of the sophists, never within other groups. But the difference lies inpermitted an identification of justice with Faust - the scope and finality of government action.recht. But Thrasymachus represents accurately Even where purely customary law lays downenough the large outlines of the oriental habit of the standards of behavior of communities, itmind, against which Greek thought reacted. claims a character of universality and inclusive- A more sophisticated use of force as an expla- ness that becomes constantly more explicit asnation of the source of political authority occurs the state's institutional development progresses.in Polybius: in the origins of political society or Political behavior achieves an increasingly defi-in the recurrent recoveries from barbarism and nite focus on government under legal formsnatural catastrophes men submit like other ani- which control the monopoly of physical com-mals to the natural rule of the strongest; but pulsion claimed by the state. It is with this focus,this despotism soon learns to cloak itself with given to it originally by Plato and Aristotle, thatlegality in order to meet the growth of reason. political thought has attempted to explain, toThere is in Polybius, however, an attitude to- justify or to criticize the claim of the state to award the importance of finding the right type of monopoly of force under a system of law. balanced government that is quite unlike the Force itself may be limited to acts of compul- indifference of the Epicureans to legitimacy, sion employed to overcome resistance. Constitu-which so curiously anticipates Hobbes in all his tional measures and constitutional methods offundamental points, including the social con- attempting to secure changes of government do tract as an escape from the original and arbitrary not normally rely upon force, but upon theforce of the state of nature. The stoics, for their acceptance of symbolic substitutes, such as vot- part, pushed the ethical concepts of the univer- ing, which command general consent. Force,sality of justice and law to a point that forgot although it is a latent sanction of all law, isthe essential truths of the determinate physical employed only where legal settlement is resistedand psychological forces which Polybius had or where constitutional measures of change are noted as conditioning political behavior. 340 Encyclopaedia of the Social Sciences The concept of Roman law which centeredof divine right and the monarchomachs. Asna- about the potestas in its relation to the imperiumtionalism drew on to its democratic phase, Locke and the majestas implied a truer understandingand Rousseau restated the case for consent. The of the character of political force in an estab-latter summed up finally a judgment of historical lished legal order: force or the power to com- fact as well as of ethical value in the statement: mand it as a sanction was an essential attribute"The strongest is never strong enough tore- of a government claiming the support of law. Itmain forever master unless he transforms force must be able to impose commands even whereinto law and obedience into duty." Rousseau's willing obedience was absent. A great part of theown transformation of the force of law into con- speculative mediaeval theory, which revolvedsent by the apparatus of the "general will" still about the relations between a universal churchunderlies most of the democratic philosophies and a state which attained even as little univer-of the state. sality as the Holy Roman Empire, dealt with the Nineteenth century liberalism produced the refinement of this Roman law conception andemphasis on moral consent which took its most with its limitation in terms of a higher moralfinished form in the writings of J. S. Mill and order than that of the state considered as theT. H. Green. But it produced from its utilitarian embodiment of force. Even as an order of pureorigins also the analytical theory of legal sover- fact (and not as a moral ideal for human societyeignty of Bentham and John Austin. Purely or for St. Augustine's De civitate Dei) the limits formal in character, this lawyer's theory rested of arbitrary force in practise show governmentits weight upon the command of a determinate to be a resolution of forces rather than a simplesuperior. But it was not dependent simply upon dominance, in any order of society. In terms offorce in spite of its emphasis on sanctions. It political and moral ideals, Dante's division ofspecifically rested upon "the habitual obedience the two orders of church and state into theirof the bulk of the community" without trou- respective moral spheres represents perhaps thebling furtherto analyze the sources of that obedi- summit of mediaeval thought. ence. This duty the historical school of jurists It has been called the characteristic contribu-undertook, putting force in its due relationship tion of Machiavelli that he restored politicalto the other factors in political obedience -cus- thought from its theocentric mediaevalism to atom, consent to divine right or to representative realistic and "scientific" basis in terms of force.legislation, and social beliefs. Under the influ- More recent research has shown, however, thatence of the Hegelian theory English idealism in his emphasis upon political power as deriva-reverted to a revised version of the "general will" tive from military force and cunning statecraftto explain and justify the sovereignty of the state he was not the revolutionary and original figureand its monopoly of force. Juristic thought elab- among his contemporaries that he has sometimesorated the Rechtsstaat both as an explanation and been held to be. But prior to Hobbes he is theas a defense of the state's limitations in the use outstanding exponent of the force theory of theof this force. state, even allowing for the larger view of the The idea that von Treitschke ever talked of Discorsi when compared with II principe, thethe Machtstaat as if it were a pure antithesis to work on which his fame largely rests. Hobbesthe Rechtsstaat originated in wartime distortion. also reduced the political order, by his versionGerman theory, particularly that of military his- of the social contract, to a consent basis thattorians like von Delbrück and Bernhardi, did, none the less rests on superior force as its solehowever, talk of law and the state primarily in claim to legitimacy. The intimate relationship ofterms of force. Karl Marx and the socialist and his logic to the need for a secure national ordercommunist theorists who followed him, with the has been sufficiently commented upon. It haspossible exception of the revisionists, tended often been remarked as well that his premisesalso to simplify in the direction of making politi- must be criticized in the light of the universalitycal force the mere handmaid of economic force. of the type of human nature and human societyThey drew heavily upon the conquest theory which both he and Machiavelli saw about them. of the origin of the state, deriving from Gum - The moral claim for the need of the legitimacyplowicz and finding its final expression in Op- of force was not to be stifled by the mere reitera-penheimer, who held that the state came into tion of these views of human nature in a con- existence and continued merely as an instrument tract theory. The persistent need for moral sanc-of class exploitation. tion ran through the works of both the defenders In the contemporary critique of all these the- Force, Political-Forced Labor 341 ones by political pluralism the emphasis of one If the present era of wars, revolutions and school falls on the moral individualism of ethicaldictatorships has seemed to argue a trend toward theory. This individualism has been transferreda greater emphasis on force as the final source of by Figgis and by Laski (at least in his earlierauthority, it must be remembered that, as Sorel works) to the group, under the influence ofhas suggested, each important movement usually Maitland's doctrine of corporate moral person- rests upon a social myth commanding wide ac- ality. By another school of pluralism, representedceptance. There is another order of phenomena by the positivistic realism of Duguit, stress isalso to be considered -the "soul force," or laid upon fear and force as the facts of govern- ahimsa, of Gandhi in his political, although non- ment, but the assurance of the total complex ofviolent, non -cooperative revolution against the public services is proclaimed as a norm of legiti- British raj in India. Despite elements of tradi- macy. Political pluralism does not necessarilytional force in such a program there is a purely deny force to the state; but it usually appeals to moral force also which is compulsive in its effects. the existence of conflicting forces to deny to theThe evolution of the self -governing dominions of state an exclusive or an effective monopoly overGreat Britain to statehood through consent and the use of force. the attempt to preserve a British Commonwealth Both Fascism and Bolshevism unhesitatinglyof Nations by methods of consultation and con- repudiate the democratic dogma which justifiesference essentially like those of the League of the state's monopoly of force on the grounds ofNations may in yet another way show a realm constitutional consent, secured by the expres-in which moral consensus, not force, is gaining sion of a popular will through some form of theground as the basis of the legal order. majority principle. Each alike rests finally upon W. Y. ELLIorr a monopoly of force, which requires a suppres- See: COERCION; AUTHORITY; POWER, POLITICAL; OBE- sion of all free association and criticism. Each DIENCE, POLITICAL; VIOLENCE; STATE; LIBERTY; ANAR- accomplishes openly a falsification of the repre- CHISM; ABSOLUTISM; DICTATORSHIP; FASCISM; BOL- sentative principle by means of oligarchical dic- SHEVISM; CLASS STRUGGLE; PASSIVE RESISTANCE. tatorship through control of the sole party havingConsult: The principal works of the authors cited above should be consulted. See also: Panunzio, Ser- legal status. But it is significant that each has gio, Diritto, forza e violenza (Bologna 1921); Wieser, had a stubborn struggle with the church and Friedrich von, Das Gesetz der Macht (Vienna 1926); that each justifies its unstinted use of force by Elliott, W. Y., The Pragmatic Revolt in Politics (New what Plato would have called "a royal lie." The York 1928); Catlin, G. E. G., The Science and Method social myth of Bolshevism holds up as its ideal of Politics (London 5927) pt.ii,ch.ii; MacLeod, W. C., The Origin and History of Politics (New York the realization of a communist and international 1931) chs. ii -v; Kraus, Oskar, Der Machtgedanke und utopia through the transitional dictatorship for die Friedensidee in der Philosophie der Englander (Leip- rather than of the proletariat, in accordance withsic 1926); Oncken, Hermann, Die Utopie des Thomas Marx and Lenin. Mussolini's Fascist apologists Morus und das Machtproblem in der Staatslehre (Hei- rely upon the older myth of Machiavelli -a re-delberg 1922); Emerson, Rupert, State and Sover- eignty in Modern Germany (New Haven 1928); Chang, vived Italian nationalism reminiscent of Roman Sherman H. M., The Marxian Theory of the State imperial grandeur -for the indoctrination of the (Philadelphia 1931); Sorel, Georges, Réflexions sur la coming generations. Each has a pattern of idealviolence (3rd ed. Paris 1912), tr. by T. E. Hulme justice which forces conformity with its dogma; (New York 1914); Lenin, N., The State and Revolu- tion,tr. from the Russian (London 1919); Case, and in the realization of this pattern each em- Clarence M., Non -violent Coercion (New York 1923); ploys a machinery which is imitative of Plato.Maclver, R. M., The Modern State (Oxford 1926) Georges Sorel's apology for revolutionary syn- bk. ii, ch. vii. dicalist violence against the bourgeois and dem- ocratic state perhaps introduced a refinement in FORCED LABOR. To maintain life a mini- terminology which need hardly be considered a mum of labor is necessary, and whether or not necessary one: violence, he thought, could bethis is considered "forced" or "compulsory" de- considered as that aspect of political activitypends very much on one's philosophy. Even which attempted the overthrow of the existingthough an individual is obliged to labor in order order by any means, including sabotage, generalto live, he has a considerable choice in deter- strike or vi et armis; political force, on the con-mining the nature and the extent of his efforts. trary, might be limited to the repressive activityBut under forced labor as the term is custom- on the part of those commanding for the timearily employed this element of choice is usually being the machinery of the state. absent. 342 Encyclopaedia of the Social Sciences Over and above the labor imposed by thetide ix) "recognizes labor as the duty of all burden of human existence almost every gov-citizens of the Republic," and section i i of the ernment has obliged its citizens at one time orSoviet Labor Code of 1922 provides that "in another to perform certain services. Subjects ofexceptional cases [fighting the elements or lack the Roman state were compelled to labor onof workers to carry out important state work] public works. Herodotus tells of the use of forced all citizens of the R. F. S. S. R. with certain ex- labor by Persian rulers for transport and dis-ceptions [children, aged, disabled, ill or women patch services (angarevo) and by Pharaoh forduring the eight weeks preceding and following the construction of the Great Pyramid. Forcedthe birth of a child] may be called up for work labor was from early times the chief means ofin the form of compulsory labor service." Com- maintaining the Egyptian irrigation canals. Most pulsory labor may also be imposed as a penalty of the population of mediaeval Europe was sub- for the commission of certain offenses. This ject to legally defined forced labor, for example,type of forced labor, given theoretical expression road work (corvée), transport service (angaria)in the principle of "no work, no bread," has and other feudal servile obligations. been justified on the grounds that it is a normal One of the earliest systems of forced labor for civic obligation which benefits the community private purposes was established in America inas a whole and that as such it meets the approval 1499. Under this repartimiento or encomiendaof public opinion. The unique elements involved system the Indians, theoretically vassals of Spain,here are that the compulsion is explicitly stated, were divided up among the Spanish settlers andgiven full legal sanction and made universal. compelled to work for them in order to encour- More extreme forms of "forced" or "com- age colonization. The Egyptian government pro-pulsory" labor are found in backward and colo- vided forced labor for the construction of thenial regions. In most tropical areas the white Suez Canal, until an outburst of humanitarianman is unable or unwilling to perform manual agitation, stimulated by British opposition tolabor, and in order to carry on its activities out- French interests in the Suez, led the sultan toside enterprise must rely either upon the local stop the practise in 1863. Forced labor has some-population or upon imported coolie labor. Since times been employed as a transitional measurethe material wants of primitive peoples are few between slavery and free labor. Thus the eman-and they are unfamiliar with a money economy cipated Roman slave was obliged to performand unaccustomed to arduous and continuous some services for his master, and the Jamaicatoil, they are usually unwilling to work for Euro- Emancipation Act of 1833 freed the Negro slavespean entrepreneurs. Out of the conflict between but allowed the white planters to hold formednative indifference and the desires of outside slaves for seven years as compulsory apprentices.governments and industrialists forced labor has Today the majority of governments utilizearisen in many areas. Many of the chief tropical forced labor in the form of military conscription,railways and roads have been constructed by and many public authorities, including some inforced labor. Indeed, it is doubtful whether the the United States, still require able bodied men tropics could have been held and developed to to work a certain number of days a year upontheir present extent by outside forces had not the roads, an obligation usually commutable bythis practise been employed. a money payment. Many governments compel In most tropical colonies today, including all convicts to labor either in prison shops, on pub-of central Africa, forced labor, paid or unpaid, lic works or for private enterprises which payis still imposed for the maintenance or construc- the state for the labor. tion of public works, for porterage (still one of Within recent years certain governments have the chief means of transport in the tropics) and imposed more sweeping obligations. A Bulga-the like. In the French colonies natives may be rian law of June, 1920, amended in 1921 afterrequired to work without pay (prestation) for protests from Entente powers that it violatedannual periods ranging from three days in Al- the military provisions of the Treaty of Neuilly,geria to sixteen days in Indo- China. Many Brit- requires young men to work for eight monthsish colonies authorize unpaid communal labor and young women for four, only 3o percent offor four weeks a year. The corvée is still found, any age class being liable at any given time. Into some extent in British India, and in many 193o more than 16,000 young men were enrollednative states the veth and begar systems of forced in the Bulgarian labor army. The constitutionlabor prevail. Under a labor tax, the Heeren- of the Union of Soviet Socialist Republics (ar-dienst, imposed by the central government and Forced. Labor 343 native states of the Dutch East Indies for the Today forced labor also indirectly arises out construction and maintenance of public works, of the so- called vagrancy and pass laws, under all able bodied men with certain exceptions maywhich it is possible for local officials to force be called upon to provide unpaid labor up to aunemployed persons or those without creden- maximum of forty days a year. In 1927 thetials to work at tasks and for wages set by state government exacted 31,427,00r workdays ofagencies. A form of labor complex in origin but forced labor. In the Belgian Congo unpaid laborplainly involving non -voluntary elements was is exacted for communal purposes. In Britishearly English factory labor; the laborers were East Africa the government may conscript na-recruited from a class of peasants made landless tives for not more than sixty days a year. Inby the enclosure movements and compelled to Kenya and Uganda the prior consent of theseek a livelihood in the new factories. Likewise secretary of state for colonies is necessary exceptmany colonial governments, while becoming for government porterage. Under the system ofsensitive to charges of forced labor, still insist military conscription followed in Madagascarupon the "moral obligation" of a native to work. and French West Africa natives were divided From the administrative standpoint it is diffi- before 1926 into two contingents, one obliged tocult to secure the abolition of forced labor by perform three years' military service, the othertreaty because instead of resting on the sanction exempt. French decrees of 1926 made those inof legislation forced labor is usually imposed by the second contingent liable to draft service inadministrative regulation, and the men are usu- a manual labor army. In Liberia both unpaidally obtained from native chiefs rather than government porterage and local road work aredirectly drafted. Although there may be no law performed by forced labor. From Liberia Kroorequiring the chief to fill the quota or compelling boys have been shipped to Fernando Po to domen to labor, the chief, realizing that his posi- forced labor for the Spanish planters, who paytion depends upon the administrator's good will, high Liberian officials for their services. usually fulfils the request. In fact, the practise Compulsory labor has also been imposed inof isibalo, or forced labor for the government, backward areas for the benefit of private em-begun in South Africa around 185o was based ployers such as mine operators or plantation on the Bantu system which recognized the indi- owners. Until 1926 the authorities of the Portu-vidual's obligation to labor for the chief. guese colonies might legally hand over to private Forced labor for public purposes has fre- employers any natives who declined to work,quently been defended on the ground that the and certain prazo holders in Portuguese Westresults will benefit the native population or that Africa may still collect labor taxes from natives.the only alternative to forced labor for public In parts of Dutch Java, where under the cultureworks, increased taxation, would force the na- system from 183o to 1871 forced labor was thetives into uncontrolled European employment rule, landowners retain a traditional right tothat would do more social damage than the exact fifty -two days of labor annually. With direct imposition of forced labor. Many busi- these exceptions there does not seem to be any ness men and some colonial officials also defend government today which legally exacts forced forced labor for private enterprises on the ground labor for private purposes. that primitive peoples will not progress until In some colonies, however, for example partsthey learn how to work and that the wealth of of British South and East Africa, the nativethe tropics cannot be exploited for the benefit having been deprived of land adequate enoughof the outside world unless forced labor is em- for independent economic existence is literallyployed. Nevertheless, the fact undoubtedly is compelled to labor for European mine or plan-that although forced labor is frequently declared tation owners. Natives may also be indirectlyto "do good" to native peoples, its chief service induced to accept European employment byis to the interests of outside governments and being subjected to heavy cash taxes which they industrialists. Experience has demonstrated that cannot pay except out of wages. Under the con-in many cases the social results of forced labor, cession system followed at one time in thewhich is applied in the tropics much more ruth- French Congo and the Congo Free State nativeslessly than in a European country because of were often obliged to pay heavy taxes in thethe absence of restraints from public opinion, form of raw produce at prices fixed by European are disastrous. Moreover, from the economic officials. These prices were often below those instandpoint compulsory labor as a rule is less the open market. efficient than voluntary labor, especially as some 344 Encyclopaedia of the Social Sciences employers of conscripts are likely to be wasteful pulsory labor of women and children or state of labor. Furthermore, the association of laborthat compulsory labor may be imposed only with oppression, like slavery, tends to discour-after recourse to voluntary labor has failed, nor age the development of habits of industry anddo they fix the terni for which forced labor may initiative. be imposed. In 1924 the League established a Frequently natives have been forced to travelTemporary Slavery Commission, and largely as long distances to a strange scene of employment,a result of its studies a Slavery Convention was where they have been subjected to a new climate opened for signature at the Seventh Assembly and exotic food. Although many governmentsin September, 1926. This convention recognizes now take every precaution concerning housing, (article v) "that recourse to compulsory or forced food and medical care, the mortality rate oflabor may have grave consequences" and makes conscript labor is still excessive. When the na-obligatory "all necessary measures to prevent tive is suddenly and forcibly thrown into contact compulsory or forced labor from developing into with industrial civilization his psychological re- conditions analogous to slavery." But while it sistance to diseases such as tuberculosis is low- requires "adequate remuneration" and forbids ered. Because of the compulsory methods usedthe removal of laborers from their usual place in the construction of the Congo -Ocean Railwayof residence, it permits compulsory or forced in French Equatorial Africa and the failure oflabor for both public and private purposes, pro- the administration to take adequate precautionsviding that "the High Contracting Parties shall 17,000 native laborers engaged on the enterpriseendeavor progressively and as soon as possible died between 1925 and 1929. When concen-to put an end to the practice" of forced labor trated in labor camps natives tend to lose theirfor private purposes. This convention was signed moral standards and their respect for their na-by thirty -six governments and adhered to with tive chiefs and native customs generally. More-a reservation by the United States. over, the absence of men at European labor Believing that the Slavery Convention was not centers has created havoc with family and tribalsufficiently comprehensive, the governing body organization. In order to avert a condition ofof the International Labour Office in 1926 estab- social anarchy, which was threatened as a result lished a Native Labour Section and appointed of excessive recruiting of labor, the government a Committee of Experts on Native Labour. of the Belgian Congo in 1925 issued instructions Upon the basis of this committee's exhaustive to the effect that no more than 10 percent of thereport on the law and practise relating to forced male population could be taken from a nativelabor the convention of June z8, 1930, was community to a labor center, although an addi- drafted by the fourteenth session of the Inter- tional 15 percent could be employed on planta-national Labour Conference, providing for the tions in the vicinity of their homes. suppression "within the shortest possible pe- For economic and humanitarian reasons in-riod" of all forms of work or service "exacted ternational protests against forced labor havefrom any person under the menace of any pen- been frequently made. Before the World Waralty and for which the said person has not atrocities were exposed in the Congo Free State,offered himself voluntarily." It exempts from the French Congo, the "cocoa islands" of Por- its definition of forced labor any work exacted tugal and the Putumayo district lying between in case of emergency, in virtue of military con- Colombia and Peru. Public knowledge of thescription or as a consequence of a conviction in horrible character of these atrocities and of thea court of law or which forms part "of the nor- general social consequences of forced labor ledmal civic obligations of the citizens of a fully the old antislavery societies to devote themselves self- governing country" and minor communal to agitation against forced labor and to a human-services, provided that the members of the com- itarian demand for its abolition or limitation.munity have the right to be consulted as to the The report on Liberian conditions made in 1930need for such services. The convention provides by an international commission of inquiry alsothat compulsory labor for private purposes must stimulated this sentiment. be completely suppressed and that compulsion The first international restrictions were im-for public purposes may be employed during a posed on forced labor in the African and Pacifictransitional period only. Before forced labor may mandates of the League of Nations, by whichbe exacted for public purposes the competent labor may be imposed only for essential publicauthority must satisfy itself that the work to be services. The mandates do not prohibit com-done is of present or imminent necessity and of Forced Labor 345 important direct interest to the community, that COLONIAL ECONOMIC POLICY; CONCESSIONS; BACK- it has been impossible to obtain voluntary labor WARD COUNTRIES. and that the work will not lay too heavy a burden Consult:Keller, Albert G.,Colonization (Boston upon the present population. Forced labor ex- 5908); Hobson, J. A., Imperialism: a Study (London acted as a tax shall be progressively abolished. I902); Buell, Raymond Leslie, International Relations (rev. ed. New York 1929); Bouillier, Louis, De l'obli- Only adult able bodied males between eighteen gation au travail pour les indigènes des colonies d'ex- and forty -five may be called upon for forced ploitation (Paris 1924); Vignon, Louis, Un programme labor. Whenever possible a medical officer shall de politique coloniale: les questions indigènes (Paris determine physical fitness. School teachers, pu- 1919); Goudal, Jean, "The Question of Forced La- pils and school officials shall be exempt. At nobour before the International Labour Conference" in International Labour Review, vol. xix (1929) 621- time shall the proportion of able bodied males 38; International Labour Conference, Twelfth Ses- taken exceed 25 percent. The maximum period sion, Forced Labour, Report and Draft Questionnaire for which any person may be taken shall not(Geneva 1929); International Labour Conference, exceed sixty days a year. Normal working hours Fourteenth Session, Draft Conventions and Recom- and wages shall be the same as for voluntary mendations (Geneva 1930); Warnshuis, A. L., and others, "The Slavery Convention of Geneva, Sept. 25, labor and a weekly day of rest shall be provided. 1926" in International Conciliation, no. 236 (1928); Except in cases of special necessity persons from Buell, Raymond Leslie, The Native Problem in Africa, whom forced or compulsory labor is exacted2 vols. (New York 1928), and "Forced Labor: Its shall not be transferred to districts where exotic International Regulation" in Foreign Policy Associa- food and climate will endanger their health. In tion, Information Service, vol. v (1929 -3o) 411 -28; Harris, John H., Slavery or "Sacred Trust"? (London no case shall workers be transported unless all 1926); Olivier, Sidney, White Capital and Coloured measures relating to hygiene and accommoda-Labour (London 5906); Furtwängler, F. J., "Koloni- tion necessary to adapt them to the new condi- ale Zwangsarbeit" in Arbeit, vol. vi (1929) 789 -96; tions can be strictly applied. Signatories under-Endt, P., Wanderarbeiterverhältnisse in den farbigen Kolonien (Amsterdam 1919); Brookes, Edgar H., The take to make an annual report on the measures History of Native Policy in South Africa from 1830 to taken to carry out the convention. At the end ofthe Present Day (2nd ed. Pretoria 5927) chs. xvii- five years the governing board of the Interna- xviii;Livingstone, David, Missionary Travels and tional Labour Office shall report to the General Research in South Africa (London 1857) ch. ii; Morel, E. D., The Black Man's Burden (Manchester 1920); Conference on the working of the convention Great Britain, Colonial Office, Kenya: Compulsory and the desirability of revision. By June, 1931, Labour for Government Purposes, Parliamentary Papers Great Britain, the Irish Free State and Liberia by Command, Cmd. 2464 (1925); Padmore, G., were the only governments to have ratified this"Forced Labour in Africa" in Labour Monthly, vol. convention. xiii(1931) 237 -47; Nevinson, H. W., A Modern Slavery (London 5906); Schnee, Heinrich, German The United States tariff act of 193o (section Colonization Past and Future (London 1926) ch. vi; 307) prohibited the entrance of "all goods, wares,Augagneur, Victor, Erreurs etbrutalitéscoloniales articles, and merchandise produced or manufac-(Paris 1927); Roubaud, Louis, "L'organisation du tured wholly or in part in any foreign countryservice civil obligatoire it Madagascar" in Europe nou- by convict labor or /and forced labor or /and in- velle, vol. xiv (1931) 850-54; International Commis- sion of Enquiry into the Existence of Slavery and dentured labor under penal sanctions" exceptForced Labour in Liberia, Report, League of Nations when such goods are needed to meet the con- publications, 1930. VI. B. 6 (Geneva 1930); Simpson, sumptive demands of the United States. Thus L. B., The Encomienda in New Spain (Berkeley 1929); this measure serves to protect American indus- Mathieson, W. L., British Slavery and Its Abolition 1823 -1838 (London 1926) ch. iv; Day, Clive, The try rather than to discourage forced labor asPolicy and Administration of the Dutch in Java (New such. This fact, considered along with the polit- York 1904); Milner, Alfred, England in Egypt (13th ical difficulties facing a government which at-ed. London 1920); Cromer, E. B., Modern Egypt, tempts to determine whether or not forced labor 2 vols. (London 1908); Fitzgerald, Percy, The Great Canal at Suez, 2 vols. (London 1876); Pillai, P. P., exists in foreign countries, would indicate that"Indian Labour Organisation and Forced Labour" the imposition of sanctions against forced labor in Indian Journal of Economics, vol. ix (1928 -29) 65,3- in a foreign country should be applied, if at all, 62; The Indian Year Book, vol. xviii (Bombay 1931) by the instrumentality of international organi- P. 532-34; Lazard, M., CompulsoryLabour Service in zation. Bulgaria, International Labour Office, Studies and Reports, ser. B, no. 12 (Geneva 1922); International RAYMOND LESLIE BUELL Labour Office, The Bulgarian Law on Compulsory See: LABOR; PUBLIC WORKS; CORVÉE; INDENTURE; Labour, Studies and Reports, ser. C, no. 3 (Geneva CONTRACT LABOR; PRISON LABOR; FINES; PEONAGE; igzo); Nicolaev, N. P., Le travail obligatoire en Bul- SERFDOM; SLAVERY; NATIVE POLICY; IMPERIALISM; garie (Paris 1923); Great Britain, Secretary of State 346 Encyclopaedia of the Social Sciences for Foreign Affairs, Russia No. 1 (1931). A Selection The self -governing citizens of mediaeval Ven- of Documents Relative to the Labour Legislation inice, Florence and Genoa regarded forced loans Force in the Union of Soviet Socialist Republics, Parlia- ment, Sessional Papers, Cmd. 3775 (1931); Rote Ar- as a very effective and generally not disputed beit, ed. by J. Kuczynski (Berlin 1931). fiscal policy. The origin of forced loans in the Italian cities is hard to determine. It is known FORCED LOANS are loans in name only. Theythat forced loans were made in Venice in 1171 are imposed upon the citizens by state authorityand 1172 and that in 1228 citizens were obliged and consequently lack the contractual basisto declare themselves by oath as ready to lend which is an essential feature in the ordinarymoney to the republic in case of need. There credit transaction. Forced loans differ, however,were several factors which favored the wide- from ordinary taxes in that they carry a promisespread use of forced loans. The modern democ- of repayment of principal as well as the paymentratized system of credit, the issue of bonds pay- of some rate of interest. Gaston Jèze distin-able to bearer in small amounts to be subscribed guishes between forced loans in countries with-by the middle class out of savings and suitable out accumulations of wealth in liquid form andfor sale in capital markets, was as yet unknown; with no organized capital market ready to lendvoluntary credit was given only for short periods large sums to public debtors, and forced loansand secured by a general bond in the name of in countries with fully developed capitalism. Inthe creditor. These creditors were a few capi- the former forced loans seem to have been thetalists of great political influence who not only only effective way of raising large sums quickly;demanded high rates of interest but generally in the latter they may be justified only as aninsisted upon the control of specific sources of extraordinary fiscal measure to meet exceptionalrevenue as a pledge for their loans. Thus cities needs. ran the risk of losing the control of their revenue Forced loans were widely resorted to in thesystem by resorting to voluntary credit. The Middle Ages and in modern times up to thedirect taxes, most of them in the form of a gen- eighteenth century. There was, however, a greateral property tax, were nowhere exactly assessed difference between sporadic loans extorted byand the yield was hardly sufficient to meet all monarchs from great vassals, wealthy citizens,fiscal needs of the time. The ruling classes, when high functionaries, rich tax farmers and Jewscalled upon to contribute larger sums to meet and forced loans regularly demanded by the self -fiscal needs in critical times, preferred to do it governing and highly developed Italian cities. Inin the form of a forced loan, which assured them the former countries forced loans reflected thethe return of the capital and a modest money primitive ideas on credit and were looked uponrent. Interest charges on forced loans were cov- as an assertion and often abuse of absolutistered by import and export duties, the salt mo- power. The people were exasperated not onlynopoly and other taxes which in the main were by the brutality with which the loans were oftenpaid by the lower classes. Finally, the institution extorted but still more by the suspicion that theof forced credit offered an escape from the oper- constitutional rights of the three estates mightations of anti -usury laws; ecclesiastical authori- be endangered by such loans. Such were theties regarded the receiving of interest as less forced loans in France until 1715 and those ofsinful when the creditor was forced to lend the the British kings until the middle of the seven-money. teenth century. While the York and Tudor kings The city republics regarded forced loans as a understood how to secure money by "benevo-special debt to be repaid as early as possible. lences" in an apparently semivoluntary way, theThe loans were paid on the basis of property as Stuarts did not always avoid brutality in raisingassessed for purposes of taxation. The assess- money. Their methods were so offensive to thements for the property tax were periodically re- people that Charles 1 was obliged as a concession newed. Declarations were made under oath and forced by the Petition of Right to agree "that noscrutinized by experts. Nevertheless, property man hereafter be compelled to make or yield anywas assessed at a value much lower than its real gift, loan, benevolence, tax, or such like charge,value. Small fortunes were exempt, and prop- without common consent by Act of Parliament."erty invested in forced loans was to be deducted Nevertheless, in 1640, after having seized £130;in the assessments of property. According to 000 which had been deposited in the Tower byLuzzatto interest on the forced loans - generally the merchants, Charles refused to give back the5 percent -was with small interruptions regu- money before he received a loan of £40,000. larly paid by Venice in the years between 1262 Forced Labor-Forced Loans 347 and 1381 and also for some decades after. Thewise Italy avoided realizing the plan of a forced repayment of capital was not regular, but peri-loan agreed on in 1919. Germany during the odically attempted with energy. People who hadmost critical political and financial situation of no liquid sums at their disposal often saw no1922 risked the experiment of a forced loan with other way of raising the money demanded forlittle success: the interest has not been paid nor loans than by selling their older claims at a dis-the principal refunded. Likewise Poland, Czech- count. Notwithstanding the difficulties involved oslovakia and Greece tried the expedient of in the transfer of claims booked in the name offorced loans, on the whole unsuccessfully. each creditor there was nearly always a lively Experience has proved that voluntary funded commerce and much speculation in forced loans. debts in the form of interest bearing bonds As long as the interest was paid regularly andwhich are placed with investors at home and without deductions many rich people from otherabroad are in normal times for well administered cities trusted the honesty of the republic andstates a much more effective method than were ready to acquire Venetian loans. In the longforced loans. run, however, the financial situation of Venice Gaston J èze 's argument that forced loans may became endangered by the burden of the in-be justified in highly civilized countries as an creasing debts. Occasionally, when the oftenemergency measure may be correct if citizens repeated forced loans seemed no longer a suffi- are to be obliged not only to die but also to pay cient source of revenue, desperate expedientsfor their country. But only when all obligations such as reduction of interest on the debt andof the debt service are without exception scru- of the salaries of functionaries, loans from thepulously fulfilled may forced credit be justified revolving fund of the autonomous grain admin-as the lesser evil in a complicated situation. Very istration and sales of public real property wereoften, however, forced loans are only a symp- attempted. tom of inefficient credit policy or of a careless In modern times the mediaeval practise ofbudget policy of governments. They may be easy forced loans was replaced by the system of vol-expedients at the time and may enable the most untary credit which, developed in the middle of incapable government to subsist for a short time, the seventeenth century in the Netherlands, wasbut no state can in the long run arrive at satisfy- widely adopted in England at the end of theing results by continued use of such means. It eighteenth century and in most other civilizedis only by one method of forced credit that great countries in the nineteenth. Only France aftersums may be quickly raised in modern times -by the revolution reverted for a brief period to theissuing inconvertible paper currency, a method forced loan policy, but with less success thancorrectly defined by Adolf Wagner as a forced the mediaeval Italian republics. From 1815 to loan on the metallic money circulation. But the 1914 all well governed countries relied almost fatal social, economic and financial consequences exclusively on voluntary loans in their creditof such a policy of inflation are well known. transactions. The period of the World War and W. LOTZ the years following it witnessed a temporary re- See: PUBLIC FINANCE; PUBLIC DEBT; WAR FINANCE; version to the practise of forced loans, although CAPITAL LEVY. in the somewhat disguised form of placing treas- Consult: Jèze, Gaston, Cours de science des finances et ury bills with the note issuing central banks and de législation financière française, 2 vols. (6th ed. Paris the consequent suspension of specie payment 5922) vol. ii, p. 467 -502; Luzzatto, Gino, "Introdù- for banknotes. Generally, however, the bellig- zione storica" in R. Accademia dei Lincei, Commis- sione per gli Atti delle Assemblee Costituzionali erent states preferred the use of voluntary credit, Italiane, I prestiti della Repubblica di Venezia (Sec. although the enormous pressure of patriotic xiii -xv) ( Padua 1929) p. iii -cclxxv; "Prestiti forzosi" propaganda and public opinion under which thein Italy, Commissione Reale per la Pubblicazione dei loans were obtained impaired their voluntary Documenti Finanziari della Repubblica di Venezia, nature. Forced funded loans were decided upon Bilanci generali della Repubblica di Venezia, vols. i -iii (Venice 1903 -12) vol. i, p. clxxxiii -cxcii; Sieveking, in Holland in 1914, in New Zealand in 1917, Heinrich, Genueser Finanzwesen mit besonderer Be- in the Australian commonwealth in 1918 -gen- rücksichtigung der Casa di S. Giorgio, Volkswirtschaft - erally with the effect that the mere decision was liche Abhandlungen der Badischen Hochschulen, vol. sufficient to bring forth a flow of voluntary sub- i, no. 3, vol. iii, no. 3 (Freiburg i.Br. 1898 -99); Bar - badoro, Bernardino, Le finanze della repubblica Fioren- scriptions. After the war Norway announced a tina,Biblioteca Storica Toscana, no. v (Florence forced loan in 1920 but was able to find sub- 1929); Wellhoff, Edmond, L'emprunt forcé (Rheims scribers at easy terms for a voluntary loan; like- 1923). 348 Encyclopaedia of the Social Sciences FORD, HENRY JONES (1851 -1925), Ameri-FORECASTING, BUSINESS. Prediction is can journalist, historian and political scientist.an integral part of any scientific generalization His journalistic career, which identified himas to the relationship between two or more fac- with newspapers in Baltimore, New York andtors: if properly established the generalization Pittsburgh, began soon after his graduationmust hold not only with regard to observations from college and lasted until 1906, when hemade in the past but also in all future obser- became a lecturer in politics at the Johns Hop-vations of the same phenomena. Prediction is kins University. In 1908 he was appointed pro-even more organically related to those generali- fessor of politics at Princeton University, wherezations which establish a definite time sequence he was thrown into close contact with Woodrowin the occurrence of certain factors. Indeed Wilson. During Wilson's governorship Fordgeneralizations of this type form the essential was appointed state commissionerof bankinglogical basis of all types of forecasting whether and insurance of New Jersey and early inthey concern the weather orthe stockmarket. On Wilson's first presidential administration wasa different level the same is true of so- called sent on a mission to the Philippines. As aevolutionary laws, or laws of development. For member of the Interstate Commerce Commis-this case, however, an important qualification sion during 1920 -2I he conducted several im-must be made: since such laws involve compli- portant investigations and prepared one note- cated combinations of simple relationships of co- worthy decision concerning the commission'sexistence and sequence, unforeseeable changes authority to fix intrastate railroad rates. in the combination may invalidate at least in In The Natural History of the State (Prince- part forecasts implied in generalizations regard- ton 1915) Ford presents a moderate defense ofing trends of development. In so far as economic the organic theory of the state without, how-theorists have attempted to formulate evolu- ever, upholding the metaphysical oridealistictionary laws, they have also indulged in long point of view. His theory of the state shows the range economic forecasts; witness, for example, influence of Darwinism more than it does ofthe law of diminishing returns in its earlier ver- Hegelianism. During the latter years of hissions, Ricardo's generalizations regarding long life his work in politics centered more and moretime trends in the distribution of income or the on the problems of representative government,Marxian formula as to concentration of wealth in which field he may be considered to haveand proletarization of the masses. Such predic- continued the work of John Stuart Mill. Intions, based upon a theoretical analysis of struc- Representative Government (New York 1924) hetural changes in the economic system, are quite rejects the Teutonic theory of the origin ofdifferent from business forecasting. The problem representative institutions, contending that theof the business forecaster is a more limited one: real model of the British Parliament was thewhether he is concerned with a single branch of representative system worked out in the Do- business activity or with general business con- minican order. In reference to modern govern-ditions he aims to anticipate only those changes ment his chief contention is that in order towhich may be expected to occur within a few secure effective representation the representa-months. Even "intermediate forecasting" for a tive must be made responsible and that anyperiod from one to five years is commonly re- devices such as direct legislation which enablegarded as too ambitious an undertaking for a the representative to avoid responsibility tend business forecaster. Because of their greater con- to defeat the true nature of representativecreteness and immediacy business forecasts are government. more dependent upon accurate and prompt FRANCIS G. WILSON measurement of the current situation than upon a theoretical interpretation of theforces at work. Other important works: The Rise and Growth of Ameri- can Politics (New York 1898); The Costof Our It is obvious from the nature of the business National Government (New York 191o); The Scotch -system that prediction has always been a func- Irish in America (Princeton 1915); Woodrow Wilson, tion of enterprise, but business forecasting as the Man and His Work (New York 1916); Washington a specialized activity is almost entirely ade- and His Colleagues, Chronicles of America series, velopment of the twentieth century. Specializa- vol. xiv (New Haven 1918); The Cleveland Era,tion in forecasting has grown out of the work Chronicles of America series, vol. xliv (New Haven 1919); Alexander Hamilton (New York 192o). of gathering and summarizing information about Consult: Corwin, E. S., "Henry Jones Ford" in Ameri- general business conditions and has received can Political Science Review, vol. xix (1925) 813 -16. great impetus from the recent rapid accumula- Ford-Forecasting, Business 349 tion of economic statistics, the development ofidly in all industrialized countries and is becom- statistical technique, the study of business cyclesing increasingly quantitative in character. and the urgent need of men of affairs to make It is not surprising that the United States, prompt and appropriate adjustments to the in-with its increasing variety of currently available creasingly frequent changes in business condi- economic statistics, its business subject to wider tions. fluctuations than those found in Europe and its Before the close of the sixteenth century therepeople largely absorbed in business pursuits, had developed in Venice and a few other tradingshould have been the first country to develop centers specialized information gathering serv-organizations specializing in the forecasting of ices which provided merchants and other sub-general business conditions. In 1904 R. W. Bab- scribers with political and trade news. Duringson established a commercial service to provide the same century the Fuggers of Augsburg de-clients with both business reports and business veloped and maintained an extensive interna- predictions. For several years he experimented tional information service for their own privatewith the construction of charts of economic time use. The phenomenal rise of the house of Roth-series and finally with the computation of a schild in the early years of the nineteenth cen-composite barometer. The Babsonchart, which tury was based in no small part upon the effi-was destined to become widely known in the ciency of its private news service, which enabledbusiness world, was first published in its familiar the firm to receive in advance of its competi-form in 1910. By novel means its author had tors information of vital import to its financialcombined into a single weighted index of gen- interests. eral business a largenumberof time series repre- As the activities of the peoples of westernsenting agricultural and industrial production, Europe and America became increasingly organ-interest rates and commodity prices. For most of ized on the basis of a business economy, thethese series he used a unique type of adjust- sources of information concerning business grad-ment for seasonal variation, and he represented ually became more numerous and more re-the long time trend of the composite by an ad- liable. Since the middle of the nineteenth cen-justed index of bank clearings. There also ap- tury in the United States and England a growing peared upon the chart separate indices for stock number of financial, commercial and trade pe-prices, commodity prices and bond yields. In so riodicals have been established which providefar as Babson's forecasts were based upon this monthly or weekly reports of business condi-chart they were said to be inferred primarily tions and developments. Yearbooks and otherfrom the relation of the composite index of publications of various government departments,business to the line representing normal. consular reports and bank letters on business Almost simultaneously with the beginning of conditions have also increased in number andregular publication of the Babsonchart, J. H. content. Reports on the condition of national Brookmire, who had for several years been pro- banks in the United States were made four timesviding a group of clients with business forecasts, a year or oftener beginning with 1863. Data at formally established another forecasting service. monthly or more frequent intervals were avail- Brookmire was a pioneer in forecasting on the able on such items as foreign trade, bank clear- basis of cyclical sequence. His chart portrayed ings and interest rates. In 1884 the Dow -Jonesthree indices representing respectively credit dailyletter was firstissued, containing ansupply, stock prices and volume of business. average of daily prices of certain stocks on theHe held that a persistent rise of an index of the New York Stock Exchange. In 1897 Bradstreet's,potential supply of bank credit was typically which had for some years published quarterlyfollowed in a few months by a similar rise in the price quotations for about too commodities,security prices and that the latter in turn was began the monthly publication of a compositefollowed by an expansion of general business index of these prices; in 1899 the London Econ- and a rise in commodity prices; the declines of omist began publishing a monthly price index.the three factors, which completed the cycle, About 1900 monthly data for such importantfollowed in the same order. items as building permits in large cities and pig Crude as were the statistical methods em- iron production for the entire country becameployed by these pioneer organizations in the available in the United States. Elsewhere cur-early years of their work they performed valuable rent business reporting on a systematic basis hasservice in forcing upon the attention of the busi- developed more recently, but it is growing rap-ness man the importance of analyzing funda- 35o Encyclopaedia of the Social Sciences mental series of economic statistics. Certainlargely affected by factors independent of the early services specializing in security market fore- cyclical movement of business activity were not casts have also done work of educational value. used. Then in order to measure as precisely as The oldest of these, that of Thomas Gibson, waspossible the average relationship with reference begun in 1907. to time between the movements of the various While practical men were grappling directlyseries the coefficient of correlation for each pair with the problem of prediction, the ground- of series was computed for different amounts of work was being laid for the making of funda-lag. The computations showed that the series mental contributions by scientific workers. Dur-fall naturally into three groups representing (a) ing the second half of the nineteenth centurystock speculation, (b) the condition of industry European investigators, unable longer to dismissand trade and (c) the supply of funds. While the recurring economic crises as manifestationsthe series in each group tend to fluctuate syn- of fortuitous maladjustments in the economicchronously, the sequence in the movements of system, attempted more careful explanations ofthe different groups isspeculation- business- the periodicity of business fluctuations. Nearlymoney. The series in each group were then all of them buttressed their analyses with somemerged into a kind of average and the forecast- reference to historical data and to such statisticsing system based on a study of the movements of as were available. The first to make considerablethe three composite curves. The original results use of statistics was Clement Juglar in hisobtained by the Harvard group confirmed the monumental work, Des crises commerciales et deearlier three -curve barometer of Brookmire, but leur retour périodique (1862). A notable advancethe methods by which the Harvard barometer inthis type of statisticalinvestigation washad been derived and the care with which the marked by the publication in 1913 of Wesley C.interrelations among the movements of the Mitchell's Business Cycles, which is a statisticalcurves were interpreted represented important study of annual economic data for the Unitedadvances over Brookmire's pioneer work. States, England and France from 1890 to 1911 Several years later the Harvard system of fore- combined with ahistorical and theoreticalcasting was considerably modified. It was held analysis. At the same time considerable progressthat beginning with 1923 the United States en- was also made in the methods of statistical analy- tered an era of the "regulated business cycle," sis. New techniques which were evolved first the principal manifestation of which is a fairly in the field of biometry were soon applied to even course of the general level of business ac- social and economic statistics. Outstanding ex-tivity accompanied by brief fluctuations of an amples of their application to economic time"intermediate character" in security and com- series were found in Henry L. Moore's Economicmodity speculation and in the production of Cycles (1914) and Forecasting the Yield and thebasic materials. To predict these intermediate Price of Cotton (1917). movements and the associated shifts in credit About 1915 attention was attracted to the at-the study of a number of series not included in tempts of Warren M. Persons to improve uponthe three composite curves was found necessary. the statistical technique of forecasting general Harvard was probably the most important business conditions. Largely on the basis of hissingle factor in American forecasting in the post- preliminary results he was appointed statisticianwar period. It has exercised a considerable and of the Harvard University Committee on Eco-almost immediate influence upon the statistical nomic Research upon its formation in 1917 andmethods of the other forecasting services and there carried forward the first work in businessstimulated the establishmentbya number of uni- forecasting to win general recognition from stat-versity bureaus of business research of forecast- isticians and economists. Persons subjected toing services for local regions. It has also influ- cyclical analysis every appropriate time seriesenced the forecasting work of the rapidly grow- available for the United States; the resultsing number of large private business concerns announced in 1919 covered the pre -war periodthat employ economic statisticians to assist them from 1903 to 1913; later the investigation wasin shaping their business policy in conformity extended to the years 1875 to 1902. Each serieswith the business outlook. was corrected for seasonal variation and for secu- Another major influence in this field has been lar trend and, since the result was held to repre- the work of Henry L. Moore. It has been impor- sent a combination of cyclical and random fluc-tant in the forecasting of price and production of tuations, those series which appeared to beindividual commodities, particularly agricultural Forecasting, Business 351 products, to which increasing attention has beenzation of available capacity in the manufacture of given both by government departments and pri-producers' and consumers' goods; (3) movements vate bodies. In this branch of forecasting a high-of stocks of commodities; (4) the turnover in for- ly refined statistical technique has been em-eign trade as an indication of the functioning of ployed: lines of regression obtained by multiple domestic markets; (5) future business prospects correlation are used as bases for. prediction. -extension of long term credits, flow of orders, The development of forecasting in the Unitedunused capacity; (6) the circulation of money States has proved internationally contagious.and credit; (7) the dynamics of capital, money Since 1921 at least one institute for businessand commodity markets in their interrelation; cycle research and forecasting has been estab-(8) price movements. It is intended that these lished in practically every country in Europe,indices in combination should present a balance most of them affiliated in some way with univer-sheet of the national economy and give warning sities and some of them having official connec-of future strains and stresses which may be tions with statistical departments of govern-caused by a growing disequilibrium between the ments and trade associations. The London andinterrelated parts of the economic system. Cambridge Economic Service, established in The development of forecasting has been par- 1923; the section on economic indices of the sta-alleled by a multiplication of currently main- tistical institute of the University of Paris, whichtained time series. There are now about thirty began functioning in 1923; and the committee on countries for which commodity price indices economic indices of the universities of Paduahave been established, most of them since the and Rome, created in 1926, cooperate with theWorld War. In a number of them current data Harvard group and among themselves in the in- concerning wages, employment and production terpretation of business conditions, special em-of basic commodities are now being collected and phasis being placed upon developments in theirreported. In the United States the current compi- respective countries. Nearly all of the Europeanlation of the great majority of time series now forecasting services and the Canadian Economicavailable was not begun until after 1918. Ex- Service affiliated with McMaster Universitycept for a few fields, of which employment is have adopted much of the technique of analysispossibly the most important, the United States employed by the Harvard service. They haveleads in the quantity of currently available data stressed the importance of the accumulation andwhich are needed for economic forecasting. interpretation of data rather than the develop- In spite of the recent rapid multiplication of ment of statistical technique. Many of them doeconomic statistics theorists need further data. not regard forecasting as a major line of activitySome of the leading theories of business cycles and have not gone beyond predicting fluctuationscannot be tested until there are made available of a seasonal character. The conditions in theseover a period of years reliable and comprehen- countries are in certain respects quite differentsive data concerning such items as incomes, sav- from those obtaining in the United States: inings, investments, margins of profit, stocks of some of them the importance of agriculture as agoods and prices at different stages in the pro- factor in the national economy is much greater,ductive and distributive process. At present virtually all of them are more affected by the "ir-improvement in forecasting practise depends regular" disturbances characteristic of the periodlargely upon the further development of theory of post -war readjustment, and in a number of and upon the elaboration of its application to sta- countries reliable and promptly available datatistical data. There is need for clarification of are scarce. the relations between cyclical oscillations, other An exceptional place among these institutionsperiodical fluctuations and structural changes, is occupied by the Institut für Konjunkturfor-and for the adaptation of the general pattern of schung established in Berlin in 1925, whichcyclical movements to the specific conditions through official connection with the central sta-obtaining in each country and region. tistical office of the Reich and other important All methods of business forecasting necessarily organizations both public and private is unusu-rest upon the assumption that there is order in ally fortunate in the matter of access to significantthe course of economic events. There are, how- data. It compiles and publishes a number of in-ever, significant differences of opinion as to the dices which measure: (1) conditions in the fieldnature of this order. Some forecasters rely pri- of production -orders, raw material imports,marily upon the view that certain important output, export of finished products; (2) the utili-phases of business activity have conformed and 352 Encyclopaedia of the Social Sciences will in large measure continue to conform toto represent significant relations have often be- discoverable patterns. At the other extreme aretrayed the forecaster at a critical moment because those who believe that the forces making for dis- of the sudden injection of new elements into the ruption of previous relationships are likely to besituation. This is true of projected secular trends more powerful than the forces making for their for individual industries, concerns and commod- recurrence and who prefer therefore to begin byities as well as of cyclical sequences. assuming that important factors in the current In contrast with those who forecast by pattern situation differ individually or in combinationare individuals who have been so strongly im- from those which have obtained in the past. pressed by the unique aspects of successive peri- Those who are strongly impressed with theods that they reject altogether the use of eco- regularities among past events forecast primarilynomic barometers and attempt to forecast by by what may be called the method of historical what may be termed the method of crosscut comparison. A simple subtype of this method ofanalysis. This method requires that each fore- prediction which was common before the statis-cast represent a sort of balanced judgment based tical age in economics and which still frequently on a careful evaluation of the forces making for occurs may be characterized as that of analogy. expansion and those making for recession. The The present is thought to be like a certain previ- process by which thoughtful men of affairs ar- ous period and the outcome of the current sit-rived at important forecasts in the prestatistical uation is therefore expected to be like that whichperiod must have been largely of this character. occurred in the earlier instance. Examples ofEven now the method has certain points in its such reasoning in the literature of business fore-favor. It is adapted to take account of factors casting are abundant but the analogies are typi-which may be important but are not susceptible cally confined so largely to surface resemblancesof quantitative treatment. Furthermore, it is the as to disqualify the inferences from serious con-very nature of this method to inquire into the sideration. processes by which impulses are transmitted A more significant form of forecasting by his-from one element in the business situation to torical comparison is that based upon carefullyanother, and it may thus lead its user to avoid delineated patterns derived by the application ofthe pitfall of forecasting from empirical regulari- the new statistical techniques. The Brookmire-ties unsupported by rational explanations. The Persons sequence in the major fluctuations offorecaster by pattern may be satisfied with a curves representing stock prices, business activ-superficial relationship, and the inferences he ity and credit supply is a good illustration of thisdraws concerning the future may easily prove method of forecasting. The principal inadequa-less satisfactory than those of an experienced cies of this particular pattern as a basis of predic-user of crosscut analysis. tion have been those inherent in some degree in The weaknesses of the latter method, however, every correlation yet discovered in the field ofare as obvious as its advantages. At every step general business. First, the regularity of the re-the process is essentially subjective, and there is lationships for the test period itself is insufficient no current objective check upon inferences so to make the pattern an altogether satisfactory derived except the carefully measured relations forecaster for current use. Second, it is not cer-that have obtained in the past. In fact, all fore- tain that even such regularity of relationship ascasters of standing use both historical compari- has obtained for the test period will recur inson and crosscut analysis; they differ only in the the near future. The fact that on the basis of aemphasis placed upon the one as against the given lag an extremely high correlation is foundother. The complexity of the flow of interrelated between important time series does not afford aevents compels statistical research for patterns, convincing basis for prediction unless the ob- while the construction and use of the latter call served relation is buttressed by a rational expla- for judgment at every step from the statement of nation, and substantial grounds exist for thethe problem to the interpretation of the final belief that this relationis not likely to beresult. seriously disturbed during the period covered by There are difficulties in the path of the busi- the forecast. It is quite possible for high correla-ness forecaster that are not likely to be overcome tion to occur between series where the relation- even by the most skilful combination of the two ship is only nominal or for such correlation to bemethods. The greater and more widespread the procured by unjustifiable manipulative treat-attention to forecasting, the greater the probable ment of the data. Even patterns which are knowneffect of the prediction upon the time and inten- Forecasting, Business 353 sity and possibly even the direction of businessdisequilibria depends upon the response of the changes. Allowance can be made in advance forbusiness community to forecasts. In a quasi - these probable effects, but it will be inherentlycompetitive regime of the present day there is difficult to estimate them accurately. The valueno assurance that the intensity of the response of a forecast to one who desires it for private gainwill correspond to the need for business adjust- depends upon the fact that it is not generallyments. Nevertheless, forecasting may prove to be acted upon or at least not promptly. If the reac-an effective stabilizing influence in the hands tions to a series of forecasts from a given sourceof public bodies which have the requisite power were general and in accord with one another,to undertake definite action designed to influ- that fact itself would result in a change in the netence business developments; an outstanding ex- response to predictions from that source.Sinceample is the central bank, which shapes its the value of a business forecast to the individualpolicy of credit control on the basis of its own consists in part in its enabling him to anticipateforecast. his competitors in a given line of action ,it is The serious use of business forecasting by difficult to imagine the attainment of a very high business executives as an aid in management is degree of accuracy in forecasting competitive not yet general even in the United States but it is business activity. growing, particularly among the larger corpora- Another limitation is the impossibility of elim-tions. Certain public utilities make careful pre- inating the effect of human emotion upon thedictions both of the secular trend of their own judgments rendered by forecasters. There is abusiness by regions and of the cyclical fluctua- strong tendency for the analyst to let his desirestions of general activity. Railroads use short influence what he expects. This may lead him to term forecasts for industries and for regions as anticipations more nearly in conformity with hisa basis for allocating cars. A number of largein- wishes than are warranted by the facts; a con-dustrial and commercial concerns employ eco- scious attempt on his part to resist this tendencynomic statisticians primarily for forecasting and may result in the opposite course.Those whoa great many subscribe to one or moreof the publish their predictions may become too muchgeneral business forecasting services. In 1931 concerned with their reputations for correctnessthere were in the United States about thirty such and thus saddle themselves with an emotionalservices not counting government bulletins, bank handicap. Facts most in conflict with the predic-and brokerage house letters and business jour- tion are likely to be minimized and those most innals which contain predictions. A few of these accord with it magnified; the situation can noservices attempt in their forecasts to cover every longer be appraised with the required degree ofimportant field of economic activity; their pub- objectivity, and the correctness of the forecastlications are as highly valued for the information may thus be vitally impaired.Those who standthey contain as for the forecasts they present. to gain from favorable developments aresub- GARFIELD V. COX jected to the temptation of being unduly opti- See: BUSINESS CYCLES; CONJUNCTURE; TIME SERIES; mistic in their predictions. Forecasting agencies CURVE FITTING; INDEX NUMBERS; DEMAND, section on eager to please their clients areunder pressure STATISTICAL DEMAND CURVES; CROP AND LIVESTOCK to emphasize the hopeful aspects of the situa- REPORTING; STATISTICS; STABILIZATION, BUSINESS. tion. The records of forecasting services com- Consult: Hardy, C. O., and Cox, G. V., Forecasting Business Conditions (Chicago 1927); Jordan, D. F., monly show an optimistic bias. Practical Business Forecasting (New York 1927); Per- The soundness of predictions has an impor- sons, Warren M., Forecasting Business Cycles(New tant bearing on the usefulness of forecastingforYork 1931); Haney, Lewis H., Business Forecasting stabilizing business activity. Economically un-(Boston 1931); The Problem of Business Forecasting, sound forecasts may serve to prolong and in-ed. by Warren M. Persons and others (Boston 1924); tensify maladjustments rather than to accom- Persons, Warren M., "Construction of a Business Barometer Based upon Annual Data" in American plish their prompt correction. Whether the net Economic Review, vol. vi (1916) 739 -69; Smith, Brad- effect of forecasting proves to be disruptive or ford B., "A Forecasting Index for Business" in Amer- stabilizing would seem to depend in the firstican Statistical Association, ,journal, vol. xxvi (1931) place upon the soundness of the theory, the ade-I15 -27; International Labour Office, EconomicBa- of therometers, Studies and Reports, ser. N, no. 5 (Geneva quacy of the data and the effectiveness 1924); Lacombe, E., La prévision en matière de crises analytical technique which the forecasters com- économiques (Paris 1926); Wagemann, Ernst, Konjunk- mand. In the second place, the effectiveness ofturlehre (Berlin 1928), tr. by D. H. Blelloch as Eco- forecasting in mitigating threatening economicnomic Rhythm (New York 193o) chs. xii -xiv; Bowley, 354 Encyclopaedia of the Social Sciences A. L., Breisky, W., Gini, C., March, L., Persons,tion theory that a corporation could have no W. M., Wagemann, E., and Lipiííski, Ed., in Institutexistence outside the state incorporating it. As International de Statistique, Bulletin, vol. xxiv, pt. ii (1930) 219-347, 458 -65; Wagenführ, Rolf, Die Kon- each state of the United States has plenary in- junkturtheorie in Russland (Jena 1929); Bresciani-corporating power, a corporation incorporated Turroni, C., "Considerazioni sui 'barometri' econo-in one state was early and still is held to be mici" in Giornale degli economisti, 4th ser., vol. lxviii foreign with respect to all others. (1928) 1 -26, 365-93, 579 -619; Kondratieff, N. D., "Das Problem der Prognose, in Sonderheit der sozial- Unlike the state legislatures Congress has no wirtschaftlichen" in Annalen der Betriebswirtschaft, general incorporating power. The constitution, vol.i(1927) 41 -64, 221 -52; Morgenstern, Oskar, however, does confer on Congress exclusive Wirtschaftsprognose, eine Untersuchung ihrer Voraus- power to legislate for the District of Columbia setzungen und Möglichkeiten (Vienna 1928); Cox, Gar- and for the territories. When Congress incor- field V., An Appraisal of American Business Forecasts (2nd ed. Chicago 193o); Working, Elmer J., "Evalua- porates in the exercise of such power, the cor- tion of Methods Used in Commodity Price Forecast- poration is held to be domestic with respect to ing" with discussion by E. Waterman and A. W.that legal unit of which Congress was at the time Marget, and Cowan, Donald R. G., "The Commer- acting as a legislature. In addition it was early cial Application of Forecasting Methods" in Journalheld that Congress could exercise the incorpo- of Farm Economics, vol. xii (193o) 119 -63. See also publications of forecasting services, particularly the rating power when acting as what may be called Review of Economic Statistics of the Harvard Eco- a national legislature, in instances where such nomic Society and the Vierteljahrshefte of the Institutaction was a necessary or proper means for car- für Konjunkturforschung. rying into execution any power conferred by the constitution upon the government of the United FOREIGN CORPORATIONS. The law ofStates. Except for the incorporation of national every modern state distinguishes certain corpo-banks exercise by Congress of this power has rations which are called domestic from othersbeen relatively infrequent and no general fed- which are called foreign and commonly treatseral incorporation statute exists. The domesticity corporations of each class differently, at least inof corporations incorporated pursuant to this certain respects. But the content of the termspower, commonly called federal constitutional is not the same in all states. In common lawcorporations, is not wholly clear, but they are states, undoubtedly in large part because of theundoubtedly foreign with respect to all states in influence of the theory that a corporation is awhich they neither carry on business nor have creation or fiction of the law from which itstheir administrative center. charter is derived, a corporation is held to be The right of a corporation to sue outside the domestic with respect to the incorporating state, state incorporating it was apparently never seri- and foreign with respect to other states. In civilously contested in the United States, but when law states, where the concession and fiction the- exterritorial corporate activity involved other ories are less generally accepted, various tests ofaction it was urged that since a corporation could domesticity are applied -where the corporationnot exist outside its charter state it could not was chartered or authorized, where the acts re-act outside such state. Such a contention could sulting in incorporation were performed, wherenot prevail in view of the demands of expanding the center of its business operations or of ad-.business, and in the leading case of Bank of ministration is or where its seat is fixed by itsAugusta v. Earle [38 U. S. 559 (1839)] Chief constituting document. Different tests of domes- Justice Taney squarely met this contention and ticity may be applied to different types of cor-established the orthodox American theory that porations. Civil law states commonly treat aalthough a corporation could not exist outside corporation which has received express authori- the incorporating state it could effectively act zation from a state as domestic with respect toelsewhere by agents with the permission of the such state; whereas if the authorization is notstate in which the act was done. To find per- express, the corporation is treated as domestic mission 'Taney resorted to the doctrine of com- with respect to the state in which its adminis-ity, holding that in the absence of legislation to trative center is located. the contrary states permit acts on behalf of for- The conception of a corporation as a fictitious eign corporations "not contrary to local policy." entity was welcomed in the early AmericanThis has since been construed to mean acts common law because it was perceived to be anwhich corporations as such are permitted to do excellent weapon to restrain these entities, thenin these states. unpopular. It was easy to deduce from the fic- While this decision established the possibility Forecasting, Business--Foreign Corporations 355 of exterritorial corporate activity it preservedance, are held not to constitute interstate com- for non -charter states a wide field of control,merce, some further limitation on the power to since it made clear that legislation could with-impose conditions was needed. The extent of hold or condition such permission. Legislationpossible constitutional protection was limited imposing conditions upon the exercise of all orbecause courts hostile to corporate activity had at least of certain kinds of corporate activity byearly decided that a corporation was not a "citi- foreign corporations soon became common inzen" of any state and, before doing business or the states. Today many states have statutoryowning property in a state, not a person within provisions requiring a foreign corporation, evenits jurisdiction, in the constitutional meaning of though incorporated in another state of thethose terms. Certain palliative doctrines have United States, before doing business to file abeen worked out, however. The doctrine of un- copy of its charter and a financial statement, toconstitutional conditions has been devised by appoint an agent upon whom process may bethe United States Supreme Court to the effect served in actions against it and to pay a tax. that state legislatures cannot impose conditions The effect of non -compliance with such legis-"violative of rights secured by the United States lation, assuming its constitutionality, is a matterConstitution." Under this doctrine the Supreme of interpretation. Sometimes itis held to beCourt has held unconstitutional attempts by the merely a bar to maintaining in the courts of thestates to prevent the removal of suits to the state suits arising from corporate action withinfederal courts and attempts to legislate in con- the state. Sometimes such legislation purportsnection with the intrastate business of corpora- to make or is construed as making such actiontions engaged in interstate commerce, in such a unlawful, with varying consequences. Ordina-way as to burden unduly the interstate business. rily, however, non -compliance does not preventThe doctrine of unconstitutional conditions has the recognition of the fact of incorporation. not as yet been fully developed but it is certain Early state legislation often dealt harshly with that in view thereof the Supreme Court can, if foreign corporations. It was argued that sinceit will, do much to vitiate arbitrary and unreason- permission of the state was required for activityable legislation. While the full extent of the therein any condition might be imposed on theprotection afforded by the contract clause of the granting of such permission. Business needs,constitution is not yet clear, it is certain that a however, required some limitation on this viewforeign corporation is entitled to protection and the courts soon found it in the United Statesagainst state legislation impairing the obligation constitution. of contracts. Furthermore, it is now established In the case of the relatively small number ofthat a foreign corporation can, under some dr- federal constitutional corporations, grounds forcumstances at least, be "a person within the constitutional protection are obvious. Describ-jurisdiction" of a state and as such be entitled ing these corporations as instrumentalities of theto protection under the Fourteenth Amend- federal government the courts have held uncon-ment. stitutional any attempt by states to limit or con- Arbitrary legislation by one state with respect dition their exterritorial activity. The problemto corporations of other states is today probably of protecting corporations incorporated by thethe exception rather than the rule. This has led individual states has been more serious. to another problem, that of charter mongering. Prior to 1868 it had generally been thoughtIt is established common law in the United that the commerce clause of the United StatesStates that the law of the incorporating state constitution applied only to navigation. This governs such questions as the purposes for which assumption was dispelled in that year by thea corporation may be formed, the classes of stock decision in Paul v. Virginia [75 U. S. 168 (1868)].which it may issue, the consideration for which In addition the court said that a state legislature stock may be issued, the rights and obligations could not refuse to permit the performanceof shareholders and the duties of directors. It is within the state by a foreign corporation of actsalso established that the charter state may im- in the course of interstate or foreign commerce.pose an excise tax for the privilege of incorpora- Since then it has been clearly established that ation and of continued existence, and, what is state legislature can neither withhold nor con-most important, it is at present held immaterial dition such permission. for all these purposes that the corporation carries Since many forms of business enterprise ofon no business and has no operating headquar- national scope and importance, such as insur-ters within the charter state. It is not uncommon 356 Encyclopaedia of the Social Sciences for states to yield to the temptation to attract byion law may not be excluded from the provinces lax corporate legislation incorporators of enter-but is subject to such provincial laws as do not prises intended to be carried on in other com-"sterilize, or affect the destruction of, the capac- munities and thus secure added revenue. Theities and powers which the Dominion has validly effect upon security holders and creditors hasconferred." frequently been disastrous. An appeal to state In the Commonwealth of Australia the divi- self -respect probably cannot completely suc-sion of incorporating power between the federal ceed; the danger remains until all states coop-and state governments is largely the same as in erate, and some states yield but little to such anthe United States. The constitution (art. 51, appeal. sect. xx) gives the commonwealth the power to Federal incorporation has been suggested aslegislate with regard to "foreign corporations affording relief from arbitrary legislation andand trading and financial corporations formed unreasonable conditions on the one hand andwithin the limits of the Commonwealth," but from lax incorporation provisions on the other.the judges of the High Court disagree as to the Such relief could be secured only by exclusive meaning of the section [Huddart Parker and Co. congressional power over incorporation or con-Prop., Ltd. v. Moorehead, 8 Commonwealth trol of at least such businesses as are not ofLaw Reports 33o (1908)]. As in Canada, charter purely local scope and significance. Such drasticmongering does not appear to be a source of extension of congressional power would havetrouble, but there has been agitation for a gen- distinct advantages. Incorporation under federal eral and exclusive incorporating power in the law has proved successful in Germany and Aus- commonwealth. tria and is now generally approved in the Union Incorporation in the Union of South Africa of South Africa. Federal legislation could pro-has been under federal control since the Com- tect the states' financial interests. But the dangerspanies Act of 1926. A company formed under of centralization although often overemphasizedthis act cannot be excluded or its activity ham- are an important consideration. And for a com-pered by the legislation of any state in the union. plete solution it would be necessary to amendSimilarly a corporation formed under German the constitution, generally a very difficult proc-or Austrian federal legislation may not be ex- ess, especially when the need for change is notcluded by any of the federated states. obvious to the layman. An extension of existing In the United States the common law doctrine constitutional conceptions can undoubtedly giveof comity applies with equal force to corpora- substantial relief from arbitrary state legislation,tions incorporated outside the United States. So while difficulties arising from lax corporate leg-also does the doctrine that a state can by legis- islation by certain states can probably be less- lation (except as limited by constitutional provi- ened considerably through blue sky legislation,sion) withhold or condition such permission. federal legislation as to interstate commerce cor- The protection afforded to corporations incor- porations and state legislation as to foreign cor-porated outside the United States is, under pres- porations not engaged in interstate or foreign ent constitutional interpretation, the same as for commerce. corporations incorporated by the states. No leg- The position in other federal countries of aislation of any state of the United States dis- corporation domestic with respect to one con-tinguishes between corporations of other states stituent state and acting in another affords inter-of the union and those of foreign countries. esting comparison. In the Dominion of Canada In England the doctrine of comity is in force the provincial legislatures have plenary powerin substantially the same form as in the United to incorporate companies "with provincial ob-States. Legislation provides that foreign corpo- jects." Power to incorporate companies withrations establishing a place of business in Great other objects lies with the dominion Parliament,Britain must file papers somewhat similar to and a Dominion Companies Act is in force. Athose required by the states of the United States corporation incorporated under the legislatureof foreign corporations carrying on business of one province is foreign with respect to alltherein. Failure to comply involves a money others. It may act in other provinces only withpenalty. their permission, and this permission may be The doctrine of comity was disregarded by withheld or conditioned by legislation. CharterBelgium when, in 1844, it excluded French in- mongering does not seem to have caused trouble surance companies from the country. In 1849 the in Canada. A corporation formed under domin- Belgian Court of Cassation refused to recognize Foreign Corporations 357 the civil personality of French sociétés anonymes.that international law treats a corporation as a Retaliations were threatened in France, and thenational of a state or even that it treats its prop- dispute known as l'affaire des sociétés anonymeserty as subject to a state's protection unless the lasted until the Belgian law of March 14, 1855,corporation has been founded under the laws of and the French law of May 3o, 1857, providedthe state, its administrative center is located among other things that the sociétés anonymes oftherein, the control and enjoyment of its prop- each nation should enjoy civil rights before theerty are exclusively in the hands of nationals of tribunals of the other. In France and certainthe state, and the state has assumed permanent other civil law states even today a foreign cor-sovereignty over it or its property. But even poration can act therein only with express legis- though a corporation be a national of a certain lative or executive permission. More commonlystate or its property be entitled to a state's pro- civil law states distinguish between the exercisetection, such state cannot insist that another of civil and functional corporate capacities; thestate recognize the corporation or permit it to former may be exercised without legislative oract or acquire property or rights therein. Where, executive permission (on a theory of comity) buthowever, a foreign state permits such corpora- the latter may not. Most civil law states throughtion to acquire property or rights therein, it legislation, executive action or otherwise nowprobably must allow the corporation to protect authorize foreign business corporations to carrysuch property or rights. on activitiestherein. Often thislegislation In 1927 the Committee of Experts for the purports to impose conditions on the exercise ofProgressive Codification of International Law functional capacities similar to those imposed by appointed by the League of Nations adopted legislation in common law jurisdictions concern- draft conventions to establish by international ing the doing of business. But the modernagreement rules concerning the recognition of tendency is to treat foreign corporations differ-the legal personality of foreign commercial asso- ently from domestic corporations only to theciations and concerning their nationality and the extent that the different factual elements call fordetermination of the question of their diplomatic such treatment. The prevailing tendency of civilprotection. law states to treat a corporation as domestic with The draft convention concerning the recog- respect to the state wherein its administrativenition of legal personality provided that "com- center is located minimizes the difficulties aris-mercial companies validly constituted under the ing from charter mongering. law of one of the Contracting States and having Constitutional protection of corporations oftheir actual seat in that state shall, as of right, other countries is rare outside the United States. be recognized as such in the other Contracting The only protection which such corporationsStates" and that foreign commercial companies have against arbitrary legislation arises fromthus recognized should "in the territories of the treaties and international law. Treaties betweensignatory States be entitled to enjoy the rights states are increasingly common; they provide for resulting from such recognition and be parties recognition of business and commercial entitiesto actions at law either as plaintiffs or defend- incorporated in or connected in some way withants, provided they comply with the laws of the one of the parties, and they permit such corpo-country in question." Such recognition would rations to carry on business in the territory ofnot imply that the companies would "be entitled the other party or parties, although generallyto establish themselves and transact business in only upon compliance with the laws of that state.the territory of the other Contracting Parties or, They also commonly provide against discrimi-in general, to carry on permanently the activities natory tax regulations and legislation. contemplated by their statutes." International law affords very limited protec- The draft convention concerning nationality tion. The question of whether international lawand diplomatic protection provided among other ever considers a corporation a national of anythings that the signatory states should agree country is disputed. Most writers and judges"that the nationality of a commercial company urge that a corporation can have a nationality.shall be determined by the law of the contracting Most commonly it is said to be a national eitherparty under whose law it was formed and by the of the state in which it is incorporated or of thesituation of the actual seat of the company which state in which its administrative center is lo-may only be established in the territory of the cated. But other tests are also advanced and inState in which the company was formed," but view of the lack of agreement it cannot be saidthat "the determination of nationality in the 358 Encyclopaedia of the Social Sciences above sense shall in no way affect the full right follows: bankers' demand drafts ( "sight "), $4.86 of the Contracting States to make rules as to theper pound sterling; bankers' long bills, $4.84; formal and material conditions governing thecommercial long bills, $4.835; cables, $4.8625 formation of commercial companies: such rules (values arbitrarily assumed). The sight rate is depend entirely upon the municipal law." Thisgenerally regarded as the basis from which the draft further provided that "the right of diplo-others are calculated. The quotation for long matic protection and intervention on behalf ofbills is below the sight rate by the amount of commercial companies shall belong to the State the discount charge in London plus commissions of which they are nationals under the provisionsand other charges; and commercial bills are sub- of the present convention." ject to a further discount because of the addi- HENRY E. FOLEYtional risk. Cables command a premium, pri- See: CORPORATION; CONFLICT OF LAWS; JURISDICTION marily because the New York seller must estab- DOMICILE; COMITY; COMMERCIAL TREATIES; UNIFORM lish a balance in London before he can sell, LEGISLATION; FEDERATION; CENTRALIZATION; INTER- sterling cables. In the present illustration the, STATE COMMERCE. premium is based on the interest charge for the Consult: Young, E. H., Foreign Companies (Cam-six or seven days required to mail a sight draft bridge, Eng. 1912); Henderson, Gerald C., The Posi- from New York to London, although the pre- tion of Foreign Corporations in American Constitutional Law (Cambridge, Mass. 1918); Beale, Joseph H., Themium may drop if New York bankers are anx- Law of Foreign Corporations (Boston 1904); Lepaulle, ious to sell off their London balances. Cables Pierre, De la condition des sociétés étrangères aux Etats- are now so commonly used between the leading Unis (Paris 1923); Leven, Maurice, De la nationalité centers that exchange bankers frequently use the des sociétés et du régime des sociétés étrangères en France (Paris 5926); Feilchenfeld, E. H., "Foreign Corpora- cable rather than the sight rate as their base for tions in International Public Law" in Journal of Com- calculating long rates; and it is true that the parative Legislation and International Law, 3rd ser., cable rate may itself react on the sight rate. But vol. viii (1926) 81 -I06, 260 -74; League of Nations, logically the price of sight documents must be Committee of Experts for the Progressive Codification regarded as the controlling factor in the rate of International Law, Recognition of the Legal Per- sonality of Foreign Commercial Corporations, 1927, structure, since only this class of documents is V. II and 12 (Geneva 1927). subject to neither a variable premium nor a variable discount. This rate structure moves up FOREIGN EXCHANGE. In the language ofand down as a unit, the spread between the the market foreign exchange signifies written orseveral rates in New York varying, other things telegraphed orders to pay money, which areequal, with changes in the London discount rate, issued by merchants or bankers at one geo-except for the spread between cables and sight, graphical point upon merchants or bankers atwhich varies roughly with the New York dis- points having a different currency system. Takencount rate. more broadly foreign exchange designates the The level of the sight rate itself on a given day entire mechanism by which payments betweenis the product of a number of factors. Under or- any two points or areas operating under differ-dinary gold standard conditions the fluctuations ent currency systems are effected without theof the sight rate between any two centers are passing of actual money or of articles having an confined within the so- called "gold points." The intrinsic value. The foreign exchange process is, numerical ratio between the physical weights of like bank clearings in domestic finance, funda-the respective currency units in fine gold or of mentally an exchange or clearing of debts pay - their gold equivalents is the mint par of ex- able on demand or at relatively short maturity.change; and the gold export or import points are Its distinction from domestic exchange lies indetermined by adding to or subtracting from the fact that the payments cleared involve dif-this mint par the cost of shipping actual gold ferent currency systems. from one center to the other. The gold points The ways in which payments can be effectedare slightly variable, drawing together asfreight, between two financial centers and the types ofinsurance and interest charges diminish and documents originated in the process are re-spreading apart as they increase. If the sight flected in the classes of foreign exchange ratesrate rises above the gold export point, itis quoted. These rates state the price of a unit ofcheaper to make foreign payments by shipping one currency in terms of another currency. Thegold than by buying exchange; if the sight rate principal classes of buying rates in New Yorkis below the gold import point foreign obliga- for exchange on London may be illustrated astions will be paid by the import of gold. The Foreign Corporations-Foreign Exchange 359 mint par has no normative influence over thebills from the effects of unforeseen changes in sights rate; any sight rate lying within the golddiscount rates and thereby makes the relevant point is as "normal" as any other. foreign exchange operations as a whole more Within the gold points the principal determitcertain and cheaper. nant of the sight rate is the demand and supply of The foreign exchange market is simply one bills originating in the exchange between coun- division of the general money market in each tries of commodities, services and securities.financial center. The oldest and most highly In many countries the exchange of commod-organized exchange market is that in London itiesis subject to strong seasonal influences,because of the preeminence of that city in the and this usually imparts a pronounced seasonalshort term financing of the foreign trade of the movement to the sight rates involved. A secondworld. For the same reason the exchange market important determinant is the relative state ofthere constitutes a far more important part of the discount rates in tilt leading centers. Athe money market as a whole than in any other Tr-narked difference in discount rates usually in-center. Three principal groups of institutions l duces a movement of short term funds to theparticipate in the London exchange market: the high rate centers and thus brings pressure to commercial banks, including the London offices bear on the foreign exchanges. A certain mini- of foreign banks, through which most of the bills mum differential varying in specific cases fromcome into the market; the bill brokers, who buy 0.25 percent to over i percent is, however, nec-bills primarily in order to sell them again, and essary to produce any movement at all. Suchthe discount houses, which buy bills primarily movements of funds and exchange rates are into hold them as investments; and the Bank the nature of the case more or less self -correctingEnpld,, which under normal conditions oper and eventually reverse themselves. The thirdates much like an ordinary commercial bank. and last important determinant is the specula-Through its control over internal credit con- tive movement of funds to take advantage ofditions and discount rates the Bank exercises, anticipated changes in the exchange rates or inhowever, a substantial control over the foreign other money market factors; these movementsexchanges and gold flows. Particularly before are also largely self- correcting. the war the appearance of gold drains was re- In addition to spot rates, or rates for the im-garded as a conclusive proof that the internal

mediate delivery of the type of foreign exchangefinancial___..._ situation was unhealthy and that con- in question, the leading money markets now ítraction was required. In consequence of opera- quote forward rates, or rates for foreign exchangetions by the Bank for the purpose of bringing of specified kinds to be delivered at a specifiedthe market under control there would occur a , future date, usually one or threemonths ahead.rise in discount rates which if at all pronounced The device of the forward contract enables awould attract short term funds from other cen- person who must make payments abroad at aters; cause long bills originating abroad to be known future date to hedge against the risk ofsent to cheaper markets than London for dis- exchange rate fluctuations in the interval. For -count or, when the bills were drawn on London, ward transactions make commercial operationsto be kept by the original foreign buying bank more certain and cheaper and at the same timeas an investment; cause previous English finance diminish the fluctuations of the spot rates them- bill loans to be closed out by the purchase of selves by spreading out the effective demandsterling sight; and in these and other ways would more evenlyAthey also reduce the influence ofboth increase the demand for sterling and post- genuine speculation in exchange. It is regret-pone the presentation of claims against London. table that the world's central banks as a wholeThese changes relieve the pressure on the ster- have hitherto made comparatively little use ofling exchanges and usually induce a favorable the forward markets since they offer a powerfulmovement of exchange rates, and if the discount tool of control (see HEDGING). rate remains high for any length of time an In addition to dealing in forward exchangeinflow of gold also usually follows. The Bank many central and private banks quote "arrival" has also found it possible to control specie move- rates. These are the rates at which bills drawnments to some extent by paying out light weight in the local currency and mailed in foreign cen- coins within the limit of tolerance, thus moving ters on the given day will be discounted by thethe specie export point farther away from the ;r quoting bank on arrival. The practiseof quotingmint par; and by granting interest free loans to such rates protects the original buyers of thegold importers, thus moving the specie import 36o Encyclopaedia of the Social Sciences point closer to the mint par. These devices,on the New York branches of foreign banks. however, are of comparatively minor importance. The setting up of the Federal Reserve system On the continent the foreign exchange mar-changed all this and the foreign exchange divi- kets have been much less highly developed andsion has now become one of the most important much less easily controlled than the English,parts of the New York money market. This although in most cases their position has im-growth was enormously stimulated by London's proved since the post -war stabilizations. In somewartime losses and by the diminution in the countries, especially in the pre -war period, thisprestige of the pound sterling in the post -war was due to the absence of a continuously freeyears. Although New York still does not equal gold market. In others, where gold convertibilityLondon as a world center for short term finance, at a fixed maximum price was assured, it wasits importance is growing steadily and with it due to the lack of a domestic acceptance marketthe use of dollar exchange to finance the world's sufficiently broad and stable to support largetrade. In addition to the New York market small international operations. Moreover, since in theexchange markets exist in other American cen- leading continental countries the volume of for-ters, notably Boston, Chicago and San Fran- eign trade was and is much smaller than incisco. England, both absolutely and in comparison with The New York exchange market is less highly the volume of domestic trade, there has been noorganized than that in London. The sellers of large and steady inflow of foreign bills for dis-bills are chiefly the commercial banks and trust count or payment. Finally, in none of the lead-companies together with a few finance houses ing continental countries before the war was thewhich do little but accept bills. The buyers com- commercial banking system tightly knit andprise all those who wish to invest their funds in sensitive; and in none of them except Germanythe short term money market, including the was the central bank able or willing to controlFederal Reserve Banks. Such investors may put internal credit conditions with any degree oftheir surplus funds either into bills or into stock consistency. For control over the foreign ex-exchange collateral loans. In more or less "nor- changes and specie flows, the central banks andmal" times, when the call loan market is not governments concerned were therefore unabledistorted by inordinate stock speculation, the to rely solely on the quasi- automatic methodscall loan rate and the bill rate are thus tied fairly that had been so successful in England. Theyclosely together, although usually with a differ- had to make extensive use of more or less stopential against call loans. As long as the stock gap devices; notably, the building up of portfo-exchange can share command over liquid bank lios of foreign exchange, which could be thrown funds with the bill market -that is, presumably, into the market when the exchange rates fell tooas long as daily settlements on the stock ex- low, and the actual although unstated suspen-change remain in force -the bill market can Sion of specie payments, a device not infre-therefore never achieve the central position quently resorted to by France, Austria- Hungarywhich it occupies in London. As in the case of and Russia. In the period of post -war monetarythe Bank of England, the principal means by stabilization the exchange markets have beenwhich the Federal Reserve Banks can control better developed and more adequately con- the foreign exchanges is through the prior con- trolled, again chiefly through the use of reservestrol of discount rates and general internal credit of foreign bills and balances, but it is still tooconditions. But international trade and finance soon to see clear lines of development that areand hence the movements of specie and the ex- likely to be permanent. change rates play a much smaller part in Ameri- In the United States during the era of the na- can economic life than they do in the English. tional banking system most of the financing ofIn consequence control of the foreign exchanges foreign trade was done in sterling. There was no as such has been a much less important objective centralized money market adequately equippedin Federal Reserve policy than in that of the to become an international financial center; bank- Bank of England, and it is broadly correct to say ers' acceptances were almost unknown, and in-that except during the war such control as has deed most banks were forbidden by law to makebeen secured has been a rather incidental by- them; there was no open market for foreign billsproduct of the endeavor to control general inter- of exchange and no central agency for redis- nal conditions. counting; and few American banks had foreign The mechanism of the foreign exchanges at- branches, while legal restrictions were placedtracted the attention of economic writers at an Foreign Exchange 361 early date. The essence of the so- called specie tional movements of gold have frequently been point mechanism -namely, that a movement oftoo small, and sometimes too clearly at variance the exchange rates beyond the specie points will in their direction with the current internationalk cause an outflow or an inflow of specie -waspayment pressure, to make it entirelyplausible recognized in England as long ago as the endto regard them as the main pivot of theprocess of the seventeenth century, for example by S.of international adjustment. In a number o Clement in A Discourse of the General Notions ofcases gold flows have apparently taken place as Money, Trade and Exchanges (London 1695). But a result of prior changes in general prices and although many of the mercantilist writers werehave operated merely to support a higher level familiar with both the operation of this mech- that was already established. In the third place;, anism and the fact that there is some connectionthe connection between an inflow of foreigiï, between the quantity of money and the level ofgold or short term capital, on the one hand, and internal prices, it remained for the first greatthe correction of the underlying situation which r English critic of mercantilism, David Hume, toproduced the original international disequilib- weave these and other elements of doctrineintorium, on the other, no longer seems as clear and a self- consistent whole. In substance Humede- positive as the classical writers thought it to be., clared that if a country exports more than itUnder present day conditions incoming gold imports the foreign exchanges will move favor-usually goes directly into central bank reserves, ably, specie will flow in, prices will rise, exportsand it then may or may not produce the postu- will be checked and imports stimulated, andlated increase in currency and credit and the these changes will continue until some sort ofpostulated rise in commodity prices. Moreover, balance or equilibrium is restored. 'A similarif foreign short term capital alone comes in, no process, he held, serves to restore internationaleffect on commodity prices need follow at all. equilibrium if it is disturbed by a large initialIndeed Goschen writing as far back as 1861 ex- price change in any one country. This doctrine,plained the process of international adjustment which for the first time provided an explanationprincipally in terms of the effects of exchange of the maintenance of equilibrium between the rate fluctuations and gold flows on the respective price systems and in the international commercemoney markets alone, assigning to commodity of the countries using the same metallic cur -prices and the balance of trade only a compara- rency standard, became one of the corner stones tively minor role. ¡of the classical English theory of international As yet there is no agreement on any one doc =' 1trade. Ricardo fitted it into his theory of inter-trine that can be substituted with confidence for national values and J. S. Mill elaborated it, butthe strict form of the price- specie -flow theory, neither changed its essential character. but the general lines which such a doctrine will Under modern conditions, however, the ac-take seem fairly clear. It will run in terms of the ceptance of this theory presents a number of dif- effects which an excess of international debits or ficulties, so that in recent years few writers havecredits as such and the resulting exchange rate--- been willing to subscribe to it without fairly ex-pressure have on the volume of purchasin ç' tensive qualifications. At present disequilibriumpower currently available in the countriescon, in international payments reacts of course on the cerned, regardless of whether actual gold flows , exchange rates, but it is not clear that the cor- take place or not. Commodity price changes may ,frection of the situation takes place in quite thebe found to ensue from this condition of strain. away that the classical theory postulates. In theBut in many cases the mere expansion or coil) first place, commodities are no longer the onlytraction of grants of commercial bank important element in international exchange: theespecially to borrowers who are engaged in inter -'. movements of capital and services are both play-national business, will suffice to alter the current ing steadily larger parts. In the second place,volume of the country's international credit and when international disequilibrium does occur,debit transactions in the necessary degree and f gold is by no means the first thing to move inthus to restore equilibrium. If an equilibrium is settlement of the adverse payment balance. Shortnot established fairly accurately and continu- term funds, securities and even certain stare= ously between each country's international pay- ardized commodities are more sensitive to ex-ments currently due and currently receivable, change rate fluctuations than gold, aid theiran unmanageable accumulation of demand and movements alone may suffice to restore equilib-short term obligations on one side or the other rium. Moreover, in recent decades the interna-will soon result. Either of two things may then 362 Encyclopaedia of the Social Sciences happen. The debtor country or the individual It is impossible for any one country to solve debtors may in effect declare a moratorium onthis dilemma alone, for no one country has suffi- the foreign obligations, trusting that a subse-cient economic power to force all the others into t quent favorable turn will permit repayment later.its path. The solution, so far as one can be found, This happened on a large scale in both bellig-probably lies in that continuous cooperation be- erent and neutral countries at the outbreak oftween central banks which is at last beginning the World War, again in 1921 -22 and once moreto find favor. If each leading central bank works in 1931. Or the exchange rates may be allowedconstantly not only to stabilize conditions at to collapse in consequence of the competition ofhome but also to harmonize domestic develop- the i vidual debtors for media of foreign pay- ments with those abroad, then indeed fluctua- ment When the exchange rates have movedtions in exchange rates, internal prices and in- substtially beyond the gold export point with-ternal business activity will not be avoided, but out in ucing a flow of gold, the country hasthe acuteness of the present international differ- evidently abandoned the gold standard, at leastences can probably be lessened and the ampli- for international payment purposes, and is en-tudes of the fluctuations themselves be reduced. tering on a regime of what is in effect inconver- To accomplish these ends, however, the central ttible_ paper -even though there may still bebanks will have to adopt far more aggressive and large but unused gold reserves. self- conscious policies of general control than The traditional foreign exchange policy of the most of them have hitherto been willing or able leading countries has been that of insuring for-to subscribe to; and they will have to become eign exchange stability; that is,it has beenseriously concerned with the welfare of the world aimed at keeping the exchange rates within theas a whole, themselves included, not merely gold points, while internal prices in each country with their own immediately perceptible national $ fiave been left to adjust themselves to the suc- interests. cessive impacts of changes in domestic and What has been said up to this point applies I fe jgn conditions. An alternative policy, theprimarily to foreign exchange between countries

I possibility of which was not clearly realized until on a common and full metallic standard. When recently, is that the internal price level in eachthe currency standards are dissimilar, foreign country be kept stable and the foreign exchanges involves a quite different range of left to fluctuate beyond the limits usually im-problems. Three main types of relations are of posed by the gold points. While the second practical importance: the gold- exchange stand- alternative, at one time strongly advocated by ard, gold -silver exchanges and gold -paper ex J. M. Keynes, has been rejected by most stu-changes. dents and bankers for practical reasons, the first The essence of the gold- exchange standard is system also has grave practical defects. Underthat the country concerned, too poor in gold or present day conditions exchange rate movementssilver to trust itself to a full convertible metallic and gold flows can no longer be relied upon tostandard or for other reasons, ties or "pegs" its correct financial conditions and price levels incurrency and its foreign exchanges to a foreign the countries concerned, so that grave disequi-currency, usually gold. The exchanges are al- librium in current international payments islowed to fluctuate within narrow limits, which always a possibility. Even under the most favor-correspond to the usual gold points. At the "ex- able circumstances no central bank can always beport" point the controlling authority will sell sure of gaining control of the situation, because foreign exchange in unlimited quantities; at the the requisite economic power is not continuously"import" point it will buy. A purchase of for- available; and some central banks are legallyeign exchange by the controlling authority ex- handicapped as well. Moreover, the greater thepands the local currency, while a sale contracts success of the central bank in stabilizing the for-it, so that the local currency is tied to the move- eign exchanges, the more surely will it find itselfments of foreign trade much as under a full stimulating internal price fluctuations. For thegold standard, although often with less sensi- economic rhythms of the several countries aretivity and less accuracy. The great advantage of dissimilar; and if the foreign exchanges, whichthis arrangement isits cheapness. It makes S are a principal connecting link,. are held rigid,largely or entirely unnecessary the movements then the dissimilarities must work out in the of gold to and from the country concerned, thus form of changes in the value of money withineliminating gold shipment charges; and it en- the several countries. ables the central authority to keep ail of its Foreign Exchange 363 foreign exchange reserves in the form of interest the gold standard again in September of that bearing assets. But the successful operation ofyear. The resulting fuller appreciation of its this system requires the maintenance of a largedangers may well lead to an extensive liqui- fund in the foreign center against which the con-dation of the post -war form of gold- exchange trolling authority can sell. If a protracted ad- standard in the more important countries which verse balance of payments exhausts this ;fund,had resorted to it. then unless more money can be borrowedroad Exchanges between two countries one of the system breaks down and the exchang s sud-which is on a gold standard and the other on a denly collapse. full value silver standard operate much like Since the war a modified form of gold -ex-ordinary gold exchanges as long as the market change standard has been adopted by a largeratio between gold and silver does not change. number of countries, especially in Europe. TheseThe chief difference is that gold cannot enter countries have maintained at least nominal golddirectly into the currency of the silver country convertibility for their currencies, but becausebut must be sold in the market there for cur- of their own financial weakness and the unevenrency; and vice versa with respect to silver. post -war distribution of gold stocks they haveWhen the market ratio between gold and silver been unable to keep all of their minimum cen-changes, however, the exchange rate shifts to tral bank and currency reserves in the form ofcorrespond with the new market parity. If the gold. The remainder has been kept in the formchange is large, general prices and the variable of foreign bills and balances with central banksclasses of money incomes must also alter in one payable in gold currencies. This procedure canor both countries, with a resulting painful period easily result in a dangerous multiplication ofof readjustment and with undeserved profits or central bank claims against given stocks of gold;losses to exporters or importers during this in a consequent shrinkage in percentage termsperiod. In the case of an unrestricted bimetallic of the ultimate gold base underlying the ag-standard the changes just outlined take place gregate of the central bank obligations and thewhenever the market value of silver is below the international exchanges involved; and in the mint value and the country is actually on a silver exposure of the countries holding central bank standard. The case of an arbitrarily overvalued reserves for others to severe and largely un- silver standard is governed by the arrangements controllable drains of gold to the rest of thein force at the time. If the government success- world. This latter danger arises from the factfully controls the exchanges, the case is analo- that financial conditions in the country whosegous to that of the gold- exchange standard. If currency is used as the base are not influenced it does not, the case is more nearly like that of by changes in conditions in the pegging country an inconvertible and uncontrolled paper cur- in the same way or to the same extent that they rency, except that the exchange rate cannot fall would be under a full gold standard. In the onebelow levels corresponding to the market value case if the relative change in conditions is largeof the actual silver in the currency unit itself. the base country loses or gains gold; in the In the case of exchanges between two coun- second case all that need happen is that thetries, one or both of which are on an incon- volume of foreign claims on the base country isvertible and uncontrolled paper standard, there increased or decreased. If the pegging coun-ceases to exist any necessary limit on the fluc- tries chance to be important or fairly numerous,tuations of the exchange rate. It has occasionally a serious international disequilibrium in pricehappened that an uncontrolled inconvertible relations and business movements may developpaper currency remains stable, but in the great without bringing corrective forces into play.majority of cases the currency eventually flue- ._ ._ What can then happen has recently been demon-tuates and depreciates to a greater or less extent. strated with convincing force. In the last fewThis happened in the case of nearly all the lead- years, England especially has been the deposi-ing countries which went on an inconvertible tory for foreign central bank reserves of thisbasis during the war, with the exception of the sort. The sudden withdrawal of a large part ofSwedish currency, which was for a time at a these and other demand or short term balancespremium not only in terms of foreign exchange held by foreigners in the summer of 1931 andbut also in terms of gold. When depreciation the simultaneous freezing of many of England'stakes place, the phenomena encountered vary own balances and short credits abroad were thewith the degree and the rapidity of the deprecia- proximate cause which forced England offtion, and it is impossible to find any one formula 364 Encyclopaedia of the Social Sciences that fits all cases. The exchange rates usuallythe levels of either be regarded as the result of move before internal prices andthus place athe other's fluctuations. Rather, the fluctuations bounty on exportation as the depreciation pro-of both are products of common antecedent con- gresses or a penalty whenimprovement is takingditions: sometimes of movements in private place. But even this relation does not hold incommercial and banking operations alone, more the case of the more extreme and chaotic de-commonly of movements in governmental fi- preciations. nance. When the depreciation becomesextreme,;; During the war the Swedish economist Gustavhowever, the determining factor is simply thej Cassel revived a doctrine probably first formu-growing general loss of confidence at home anda lated by John Wheatley in Remarks on Currencyabroad, and the resulting flight from the cur- and Commerce (London 1803) and offered it as rency affected. If the flight assumespanic pro- an explanation of the phenomenaof deprecia-portions, as it did in Germany, the old currency tion. Summarily stated, this theory, which isis simply abandoned and a new one is eventually called the purchasing power parity doctrine,put in its place. declares that the rates of foreign exchange are JAMES W. ANGELL governed by the relative purchasing powers of See: ACCEPTANCE; ARBITRAGE; BALANCE OF TRADE; the currencies of the countries concerned, these BILL OF EXCHANGE; CENTRAL BANKING; CREDIT CON- TROL; FOREIGN INVESTMENTS; GOLD; INFLATION AND purchasing powers being measured primarily in DEFLATION; INTERNATIONAL TRADE; MONETARY STA- terms of internal commodity prices; andthat the BILIZATION; MONEY; MONEY MARKET; PRICE STABILI- levels of prices themselves are governed prima- ZATION; SILVER. rily by the quantities of currency and credit in Consult: Goschen, G. J. G., The Theory of the Foreign circulation. The corollary conclusion then is that Exchanges (16th ed. London 1894); Whitaker, A. C., the prime mover in the process of inflation andForeign Exchange (New York 1919); Furniss, E. S., Foreign Exchange (New York 1922); Spalding, W. F., deflation is the variation in the quantity of the The London Money Market (4th ed. London 1930); circulating medium. But this doctrine failed Burgess, W. R., The Reserve Banks and the Money when applied to the more extreme cases of de- Market (New York 1927); Angell, J. W., The Theory predation. It also ran foul of serious logicalof International Prices (Cambridge, Mass.1926); Keynes, J. M., A Treatise on Money, 2 vols. (London difficulties in statistical application. Such diffi- 1930); Cassel, Gustav, Money and Foreign Exchange culties occurred in establishing comparability inafter 191¢ (London 1922); Nogaro, Bertrand, La the commodity groups selected as the basis of monnaie et les phénomènes monétaires contemporains measurement, in insuring an intelligible repre- (Paris 1924), tr. as Modern Monetary Systems (London sentativeness of the selected groups and in al- 1927); Angell, James W., "Monetary Theory and Monetary Policy" in Quarterly Journal of Economics, lowing for changes in the composition of inter- vol. xxxix (1924 -25) 267 -99; Meynarski, F. J., Gold national trade in the interval elapsing between and Central Banks (New York 1929); Einzig, Paul, the base period and the period selected for International Gold Movements (London 1929); Dulles, making the comparisons. E. L., The French Franc, 1914 -1928 (New York 1929); Other theories developed during and after the Rogers, J. M., The Process of Inflation in France 1914- 1927 (New York 1929); Graham, F. D., Exchange war stressed other factors asdeterminants. In Prices and Production in Hyper -Inflation ... (Prince- France Bertrand Nogaro developed a view op-ton 193o); Walré de Bordes, J. van, The Austrian posite to that of Cassel: he held that the foreign Crown (London 1924). exchange rates govern the domestic price level and that the latter governs the amount of cur-FOREIGN INVESTMENT. Foreign invest- rency and credit required. Thisdoctrine tooment is the export of capital to a region or re- failed, however, to fit the apparent facts in agions under a political authority different from number of actual cases. Charles Rist, concernedthat ruling the country in which the owner of more with the general causes atwork than withcapital resides. In the vocabulary of business specific sequences, placed his chief emphasis onas well as in theoretical discussionsthe term budgetary equilibrium and disequilibrium as theforeign investments is used just as loosely as ultimate controlling factor. In the United Statesforeign trade; the former includes not only every Allyn Young emphasized the importance of spec-form of capital migration across the, political ulation in the broad meaning of the term. boundary but also every form of credit extension 1' The truth of the matter appears to be thatby the mother country to a colony. I,,ike capital I neither prices nor theexchanges can properlyinvested at home, capital exported abroad may be regarded as the causes of general movementsbe invested in a variety of ways. They comprise of the types here under consideration, nor canshort term trade and finance credits; long term Foreign Exchange-Foreign Investment 365 credits at fixed interest granted by. private in-of finding means to cover temporary deficits in vestors and investment companies or by publicthe budget or of getting long term loans for in- bodies including the government; investmeht investments which are on the whole non- produc- foreign enterprises through the purchase oftive, such as the manufacture of armaments, the shares; the establishment 'or acquisition of plantsconstruction of military railways, public build- abroad to serve as foreign bvan.ghes of a domes-ings and the like. Another important difference tic enterprise or to function as an independentis that between the purchase of securities of for- business on foreign soil. eign business enterprises and direct participa- The form which foreign investments assumetion in foreign business through the establish- finds no direct reflection in thè country's balancement of plants abroad; this difference has a vital of international payments; in this balance exportbearing upon theliquidityof theforeign of capital and the payment of interest appearinvestment. as debit items, and impot of capital and the International capital movements are closely the receipt of interest from abroad as creditlinked to international commodity- movements. items. The differences among the various formsTheoretically the net export or import of capital are important, however, in many other ways.must be accompanied by an export or import They determine the duration of creditor -debtorbalance in the movement of goods,services and relations; they throw light on the use made ofbullion. It is not so easy, however, to determine the capital received and indirectly also on thein each specific case whether the causal relation ability of the debtor to repay his obligations;runs from the movement of capital to that of their influence on the national economies of the commodities orinthe oppositedirection. parties involved and on the international eco-Several conceivable relationships should be nomic situation as well as their possible politicalclearly distinguished. The movement of capital repercussions are quite different. may be the direct consequence of commodity The political factor is of course most promi-movements. The export or import of commo- nent in intergovernmental loans. Yet even where-dities gives rise to financing through banks, the public authority is involved only as debtorwhich ordinarily takes the form of short term or only as creditor it is subject to many formsdocumentary credits. Financing of this type of political pressure, with the result that foreignenhances the volume of international trade, since loans to or by a government have in the past,it makes possible a number of commercial trans- produced many internationalcomplications. actions which would not take place without The political aspects of capital export are more,such assistance. New countries poor in capital attenuatedinpurely businesstransactions,and in the post -war period many industrial whether they assume the form of direct invest-European countries have been regularly de- ments or of credit extension by one private party-pendent upon the financing of their foreign to another. The prominence of the political as- trade by foreign institutions: The volume of in- pect in transactions of this sort depends less up -.ternational short term credits employed in fi- on the form of the investment than upon the po-nancing foreign trade is very large -it amounts litical relations obtaining between the countriesat present to from $4,000,000,00o to $5,000, concerned. The intrusion of extra -economic fac-000,000. Occasionally foreign trade may be sup- tors is most likely where investments are madeported also by intermediate and long term cred- in countries suitable for colonial exploitation orits extended directly or indirectly by the govern- annexation and where considerable amounts, ¿fment. capital move between countries in which ques- Commodity movements may also result in long tions of political and commercial alliance pláy term advances to foreign countries. One instance an important role. - - of this is the so- called tied investment, when the The difference between public and ' priváteloan is granted on condition that its proceeds be credits is not so important in judging the eco-spent in the lending country. The volume of nomic significance of foreign investments. The such loans, however, is relatively insignificant, essential criterion in this connection is the pur-for the conditions attached to them raise the pose- production or consumption -for whichprice of credit to the borrower. the credits are used. In the case of 'commercial Even where there are no formal restrictions credits and direct investments the use for pro-of this type long term loans may be very inti- duction is always at least contemplated, whilemately linked to commodity movements when with public credits it is only too often a questioncredits are granted for the purpose of enabling 366 Encyclopaedia of the Social Sciences the foreign purchaser to pay for his past com-whose net balance of capital imports and exports mitments or future orders of equipment and rawis not directly and naturally related to compen- materials. In the era of railway building, whensating surpluses or deficits on the visible or English capital was exported to the continentinvisible items of the balance of trade. If such and overseas, loans were generally issued in an-excess or deficiency in the movement of funds ticipation of orders or after orders had beenis not caused by the anticipation of movements given or promised to English manufacturers,in the opposite direction in the near future, although the contractor or the manufacturer ofits very existence is prima facie evidence of the rails, engines and other equipment usually waspresence of extraneous factors. In such cases not closely allied to the institutions exportingthe movement of capital is the primary fact and capital. This relationship is illustrated in a par-the movement of commodities its consequence. ticularly striking fashion by the English loans toThe relationship between the two is the sum and India in the fifties and sixties; it may also besubstance of the "transfer problem," the solu- clearly traced in the financing of the railway tion of which according to the classical theory of building of the same period in France, Italy,the balance of payments as developed since the South America and elsewhere. Moreover, it istime of Hume and Thornton consists of certain clear that the export of capital from England toadjustments in the price levels of the countries the continent and the United States in the lastconcerned, these adjustments being brought quarter of the nineteenth century and to Canadaabout by the movement of specie or its antici- and Australia in the nineties was possible on sopation and the corresponding expansion or con- large a scale only because the provision of capitaltraction of credit. generally went hand in hand with the export of A net balance in the capital account of a commodities needed by the borrowing countriescountry is apt to induce a compensating move- and not obtainable elsewhere on equally advan-ment of commodities only if this balance is too tageous terms. During that period England waslarge or persists for too long a time to be offset by the leading industrial country, if not the onlythe shipment of gold or of substitutes for gold, one, in the world; railway constructionand simi- such as paper currency accepted as the equiva- lar fixed investments of capital in the new coun- lent of gold, or by foreign finance credits. Even tries were therefore dependent upon the supplyin the long run a favorable balance on the capital of capital goods by English manufacturers. Thus account is likely to determine commodity move- the two types of export -of capital goods and ofments only in a comparatively narrow range of capital funds -were closely interrelated even incases. At present a considerable part, perhaps those cases where the sale of goods for exportmuch the greater part, of international move- did not precede the granting of lonas or was notments of long term capital, is balanced by inter- anticipated at the time. In addition, English ex- est payments.The export of capital, for example, porters of commodities frequently paved the wayfrom England, France and the United States now for the flotation of foreign issues on the Londonmeans to a considerable extent the reinvestment market. Consciously or unconsciously the Eng-of interest 'payments received from abroad in lish banker and the English manufacturer sup-the sense that the proceeds of these payments ported one another, for the movements of capital offset new foreign investments in the country's funds and of capital goods were interdependent.balance of international payments. Furthermore, For other reasons the movement of funds andthe various forms of 5apital movements may be the export of commodities are similarly inter-reciprocally compensated; thus in Engnald and related in the young countries of a predomi-the United States the export surplu,s> of long nantly agricultural character, in which the pay-term capital is offset by an art surplus of ment of charges on foreign debts is taken careshort term funds,,,Even where a net surplus or of by the export surplus of raw materials to thedeficit in the capital account affects the coun- extent that it is not covered by new loans. Intry's balance of trade it does nót necessarily lead this case too it is difficult to determine which isto an increase in the volume df its foreign trade, the cause and which the effect: the country sup- since a needed readjustment iii the trade balance plies raw materials for the world market and ismay be brought about not only by an increaseof thus put in possession of foreign exchange nec-exports but also by a reduction of imports. essary to pay interest on, and the amortizationNevertheless, because of the close relation be- instalments of, loans contracted abroad% tween the movement of capital and that of com- The situation is quite different in a countrymodities it is an expansion in exports rather than Foreign Investment 367 a decrease in imports thatis usually effected.of capital were followed by periods of slower The history of international capital migrationscapital movements in a cyclical sequence. As may be properly begun withthe mediaeval peri-seen over longer periods of time, however, the od, when foreign short term credits were grantedprocess was fairly continuous: the export of at the fairs of Champagne, theinflux of Peter'scapital by the "rich" nations furnished in other pence to the papal fisc wasfinanced by Floren-countries the basis for capitalist development and tine bankers, and foreign moneys were occa- in this sense raised their economic status. More sionally involved in credits to governments orspecifically, it was foreign capital that made pos- crowned rulers. In the sixteenth century thesible the extension of modern transportation fa- Fuggers of Augsburg functioned as a great inter- cilities. England is the only country which has national investment house which financed notbuilt its railways with its own capital; elsewhere only copper mines in northern and centralGer-foreign aid has been indispensable. Dependence many but also silvermines in Hungary and theupon foreign capital was equally great, although military activities of the Hapsburgs throughoutnot as clearly marked, in the whole process of Europe. Numerous instances of similar interna-colonial expansion, in the opening up of new tional finance are scattered through the historyagricultural regions and in the stimulation of a of Europe in the seventeenth and eighteenthgreat variety of industrial developments, par- centuries. The war needs of rulers furnished theticularly where the latter required relatively large typical occasion for the movement of capital fromamounts of fixed capital. one country to another.Intermittent at first, In the nineteenth century and in the twentieth this type of financing ripened in the second halfuntil the outbreak of the World War capital ex- of the eighteenth century into a continuous acti-port served for the most part the purposes of in- vity, monopolized for the most part by Dutchdustrial and commercial expansion. The interest bankers. Antwerp and Amsterdam were then theof the capitalist was focussed on each new coun- leading international credit markets of the world;try as soon as it was prepared to receive capital they absorbed, for example, the major share ofneeded for its economic development. Even the British government obligations. After the Napo-large credits which were apparently motivated leonic wars leadership in finance, as in industryby purely political considerations, such as those and commerce, passed to Great Britain, whichintended to promote a policy of alliances, were retained it for nearly a century. Other countriesalso calculated to yield handsome profits and reached the status of large net capital exporterswere in most cases accompanied by the eco- much later: France in the sixties, Germany bynomic upbuilding of the capital importing coun- the beginning of the nineties and the Unitedtries. Yet certain specific features and variations States, which is now challenging British suprem- from time to time may be noted in the geographi- acy in this field, only in thetwentieth century.cal distribution and the character of foreign in- The Netherlands, Belgium, Switzerland and oc-vestments of every important creditor country. casionally Sweden appear in the world market as Great Britain is perhaps the most striking exporters of capital on a smaller scale. example of a creditor country whose investments The growth of English foreign investments,in foreign fields were activated almost entirely the volume of which practically doubled in theby the search for greater returns. The distin- thirty years preceding the World War, is indica-guished history of British foreign investments tive of the rapid expansion of capital export sincebegan after the Napoleonic wars with the finan- the industrial revolution. The volume of such in-cing of the French war indemnity and the exten- vestments more than doubled in the thirty yearssion of credits to other continental states; this preceding the World War; in 1914 they werewas the period of the first painfulexperiences valued at $20,000,000,000 and constituted aboutwith Greek, Spanish, Portuguese and similar one fourth of the nationalwealth of Great Bri-foreign loans. At the same time came the first at- tain. The absolute increase of English incometempts to finance on a large scale mining enter- derived from such investments was greater thanprises in South America. Later British capital that from domestic investments, and the rate ofturned to the colonies and to the United States. its growth exceeded that of all the other portions The crisis of 1825 and particularly that of of the national income. This enormous stream of1837 and that of 1847 were, in so far as the City capital, which enhanced the productivity of the was involved, caused by thedefaulting of certain world economy in many ways, was marked for its of the United States and of certain South Ameri- rather uneven flow: periods of intensive exportcan countries or by the collapseof great mining 368 Encyclopaedia of the Social Sciences and plantation enterprises. Beginning in thedistributing large security issues was both en- forties the foreign investments of Great Britainlarged and perfected. A number of London comprised over a half of the annual additionshouses specialized in the risky but lucrative busi- to its capital. From the forties until the ninetiesness of underwriting foreign issues, while the Britishcapital abroad addresseditselfpri-distribution of the securities was in part dele- marily to railway building: first on the Europeangated to another system of specialized firms with continent from France and Belgium to Russia;extensive connections for placing them with the then in North and South America, India andultimate investor. The fact that since the nine- elsewhere. To this was soon added investmentties investment trusts and similar organizations, in other enterprises, among which mines andwhich make a business of investing the savings plantations of all sorts appeared particularly at-of the general public, were not averse to the pur- tractive to the English capitalist; iron and tex- chase of foreign securities also helped to build tiles were the principal fields of industrial invest- up the London market. It is even more impor- ments. As compared with these investments,tant that the highly organized London Stock loans to foreign governments played a ratherExchange has been open to all issues providing minor part. they are large enough and command sufficient With the stupendous rise of capital export theinterest to promise a sizeable turnover to stock English investor tended increasingly to neglectjobbers and brokers. Theretwas no government domestic securities. As new countries and con-and no enterprise whose need for capital could tinents were opened to capitalist developmentnot be met to some extent in London and there the capital of England, practically the only coun-was no type of security to which the London try with a surplus of capital at the time, was na-market would be entirely closed. Combining a turally attracted by the enormous new opportu-well developed and articulated financial organ- nities for profit making. Investment abroad wasization with skill based on long experience and further stimulated by Great Britain's unchal-intimate knowledge of the finances of foreign lenged domination of the seas, which was as-governments and private enterprises, London sumed to provide political "security," and by theassumed before the World War the position of a adoption of a free trade policy, which furnished central world market for both short term money the economic and psychological prerequisites forloans and long term capital investments. broadening the international outlook of the Since the English investor in foreign securities British. At the same time domestic industrywas actuated primarily by considerations of gain, which had already passed the stage of rapicLhe tended to employ his capital where it would development characteristic of its early phases,be most productive -in the opening up of new could finance its further progress, even when itareas, in the exploitation of untouched natural involved the transition to large scale production,resources, in the building of new channels for through the time honored private channels oî,international economic intercourse and the like. capital supply. Domestic securities thereforeSafety of principal and the prospect of a fixed competed with foreign only in the bond market,income yield which would lead to investment while in the expanding stock market foreignin government obligations played a minor role. dividend issues experienced little competitionSecurities of the rentier type became, however, from English industrials. more important since the nineties, when the In the same period London became increas, small investor came to be an important factor. ingly important as the capital market of the -Thus by r9I4 about 3o percent of British foreign world. Among the factors responsible for thisinvestments consisted of government and muni- development not the least important was the lo-cipal issues. There was also an increase in the cation in London of a highly developed bankingproportion of investments represented by fixed system specializing in the financing of interna- interest obligations of British dominions and tional trade. The "merchant bankers," originallycolonies, which by I900 attained the rank of export and import houses which had specializedgilt edged securities. It was important in this since the end of the eighteenth century in theconnection that by the Colonial Stocks Act as international acceptance business, have won forrevised in rgoo the issues of colonial and do- London a well nigh monopolistic position in this minion governments which were duly registered field. Long term foreign loans were soon addedin the United Kingdom and observed the appli- to the short term credits and in the course ofcable Treasury orders were made eligible for in- the century the apparatus for underwriting andclusion among "trustee" securities. After rgoo Foreign Investment 369 and particularly in the five years preceding theindustrial development and by the predomi- war the annual export of capital to dominionsnance of small scale production, lagged appreci- and colonies exceeded 4o percent of the totalably behind the growth of savings of this indus- amount of new foreign investments. On thetrious and thrifty nation. The bulk of French whole the export of capital from Great Britainforeign investments was composed of securities was little influenced by political considerationsof two types: government or government guar- and was not accompanied by the imposition ofanteed issues, which appeal to the typical rentier, political limitations upon the borrowers. Onlyand to a considerably smaller extent securities of during one period was the outflow of consider-enterprises in politically disturbed or financially able amounts of capital stimulated by politicalunstable countries, paper with a high specula- means; during the third quarter of thenineteenthtive risk, appealing to the imagination of the century the home government guaranteed thefaiseurs. The numerous class of small French payment of interest on the securities of railwaysinvestors was and still is influenced to an ex- and other public utilities in the British colonies,traordinary extent by apprehensions of war and thus burdening the colonial taxpayer for the ben- is intent upon "safe" forms of investment easy efit of the British contractor and investor. to turn into ready cash. The French export capi- If the export of capital from Great Britain wastal, which in the years immediately preceding guided solely by business considerations, it was the World War averaged about $250,000,000 per natural that the growth of British foreign in-annum, was thus interested less ininvestments vestments and commercial expansion into foreignof an entrepreneurial type than in securities lands went hand in hand. At least until thewith a fixed yield. This striking difference be- seventies the British exporter and manufacturer tween the French and the English may, how- paved the way for the flotation of foreign securi- ever, be easily exaggerated, for aconsiderable ties in the London market, directly by providingfraction of French foreign assets consisted of the initial subscription for new issues in order toshares in all sorts of business undertakings in assure the investor, and indirectlyby creatingRussia, the Near East and Latin America, and the need for short term financing and thuseven the foreign government bonds or private helping to develop and maintain the necessaryobligations with government guaranty held by banking apparatus. Even where the British in-French capitalists represented in many cases dustrialist and merchant were not directly in-productive investment. Of the $2,200,000,000 volved there was always an intimate connectionthat France had invested in Russia certainly between a piece of foreign long term financingmore than half was tied up in "productive" and the commercial interests of the island. Afterenterprises. the seventies the situation remained essentially Paris was the largest market in the world for unchanged, although with the increase in im- foreign government securities. The continuous portance of foreign and colonial government dependence of the French government on large obligations and with the influx of British capitallong term loans and the consequent stimulation into the industries of the United States Britishof investment in government bonds naturally re- investments abroad were at least in part emanci- dounded to the advantage also of foreign govern- pated from a direct connection with commercialment issues. The organization of French bank- expansion. ing assisted in the same direction. The failures of French foreign investments began in the mid-the earlier institutions of the Crédit Mobilier dle of the nineteenth century, reached a respect-type, which combined commercial bankingwith able volume in the sixties and, after a recessionthe long term financing of industry, have edu- caused by the payment of the war indemnity tocated both the public and the banks in prudence Germany between 1871 and 1875, increased rap- and caution. The large commercial and savings idly since 1885. They had doubled in the twentybanks distribute only those securities which may years preceding the World War. In 1914Francebe classed as marketable and especially as "safe" occupied second place among the capital export-government issues. The issue and placing of ing countries. About 15 percent of its nationalshares of industrial enterprises are therefore wealth was in the form of foreign investments,concentrated in the hands of investment banks which were valued at $8,700,000,000. Paris was(banques d'affaires); their distribution facilities, then the cheapest of the international moneyhowever, are not so comprehensive as they markets, since the capital requirements ofmight be for they have no contact with the France, limited by the comparatively slow rate ofnumerous class of depositors in thecommercial 370 Encyclopaedia of the Social Sciences banks. Thus while bonds are placed predomi-German foreign investments amounted ap- nantly through the commercial banks, the place-proximately to $6,000,000,000. As compared ment of shares and stocks is largely dependentwith the French the German investor in foreign on the Paris and provincial exchanges, whichsecurities was less easily swayed by political con- represent a very much smaller market. The pre-siderations or by prospects of a fixed return; dilection of the French market for governmentsimilarly the proportion of German foreign hold- securities is reenforced by the conservatism ofings represented by direct investments was much the small French investor, who hardly knowslarger than the French. As distinguished from what shares are and to whom a governmentthe English the expansion of the German capital guaranty seems the best warrant of economicexport was more closely linked to the activities safety.Conservativeandcautious,witha of the domestic banking system. Since the eight- strongly marked liking for some nations and anies German commercial banks, which functioned equally pronounced aversion toothers, the also as investment houses in the domestic capital French investor it extremely susceptible to themarket, were active in the promotion of foreign propaganda of the banks, the press and the gov-investments. They placed a part of their own ernment, an opportunity which has been ex-funds in foreign enterprises, such, for instance, ploited with considerable skill. Since the eightiesas the Bagdad Railway or the Banca Commer- Paris has thus become the favorite market for theciale; they financed the industrial and commer- issue of national and municipal securities ofcial expansion of German enterprise in foreign those countries which have enjoyed intermit-lands; and they participated in international tently or continuously the favor of the Frenchbanking syndicates in floating large issues. The public -the Latin countries in Europe and financing of foreign undertakings was often done South America, Russia, the Balkan States, Tur-indirectly through subsidiary banking institu- key, occasionally also Austria -Hungary. Conse-tionsinforeigncountries(Auslandsbanken) quently about half of the foreign investment ofwhich handled financing of all kinds along with France was active in countries which either were the international acceptance business. The ex- France's allies during the World War or hadport of capital appealed to the German banks been expected to be; and about a third of the to-for two reasons: they were attracted by the tal foreign investments that this thrifty nationprofits that were to be made in the underwriting had built up in two generations were lost as aand distribution of large international issues, or result of the war. they took on foreign business in order to assist Since French holdings abroad have consistedthe affiliated industrial concerns in securing for- for the most part of safe and politically de-eign markets for their products or reliable sirable issues, the connection between capitalsources of raw material supply. The Berlin, export and commercial expansion so character- Frankfort and Hamburg banks floated on the istic of British foreign investment is importantlocal markets state and other public obligations only for a minor portion of the French. Al-as well as real estate securities and placed them though one of the arguments for the acquisitionwiththeultimateinvestorsthroughtheir of new colonies propounded by the imperialistbranch offices or the affiliated smaller banks. minister Ferry was the opportunity they would The mainstay of this enormous expansion in the afford French capitalists for profirable invest-last analysis was the German saving public, ment, comparatively little capital went to thewhich the securities reached by way of the French colonies. Despite the guaranty by theexchanges and the widespread nets of bank home government of colonial government is-branches; unlike the French, it included a con- sues, the prohibition of investment by foreignerssiderable percentage of buyers interested pri- in the mines and railways of the colonies, andmarily in the speculative value of the securities. the propaganda in the press scarcely one eleventh The pre -war German market for foreign securi- of France's capital holdings abroad representedties was for the most part free from direct polit- in 1914 investments in its colonies. Except forical pressure. The influence of the banks was Algeria and Tunis their commercial and indus-vastly more important than that of the govern- trial development under capitalist auspices pro-ment, since they controlled most of the capital ceeded very slowly. export. Export of capital from Germany began in the In addition to Great Britain, France and Ger- eighties and later grew at a higher rate than thatmany, the principal exporters of capital before from France. By the end of the pre -war periodthe war, mention must be made of Belgium, Foreign Investment 371 whose banking and investment houses pursued aterm; at the same time it paid more than $2,400; policy similar to that of the German institutions,000,000 in reparations. The export of French and of the Netherlands, whose foreign invest-long term capital was resumed only with the ments were largely concentrated in the Dutchstabilization of its currency in 1928 and has since colonies. Appreciable amounts of capital werethen fluctuated between one half and two thirds also exported from the debtor countries, i.e.of the pre -war level. The export of English those which borrowed abroad more than theycapital averaged about $5oo,000,000,000 per an- lent, such as Russia, Austria- Hungary and par-num, which is slightly more than half of the ticularly the United States. While at the out-amount exported in the last pre -war years. The break of the World War the United States owedUnited States has become a creditor nation on a abroadsomethinglike$6,000,000,000,thelarge scale with an annual net capital export American foreign investments, placed for the averaging about $600,000,000. Russia has for all most part in Canada and Central Americaand to practical purposes ceased to be a debtor nation, a smaller extent in SouthAmerica and China,and since the war no foreign nation has placed a amounted to $2,500,000,000. new investment of any magnitude in China. On During the World War and the subsequentthe other hand, there has been an increase in the period of inflation the magnitude of foreign in-capital requirements of the new countries and vestments, their distribution between the credi-colonial regions, particularly of Canada and the tor and debtor countries and the directionof theLatin American states. international movements of capital were radi- The decline in the international movements of cally changed. Except for reparations and inter -long term capital was probably compensated by allied debts, international indebtedness was con-an expansion in the volume of short termfunds. siderably reduced, partly because of debt repu-These two types of capital often move in oppo- diation, failure of the debtors or liquidation ofsite directions: countries exporting long term the property of enemy aliens and partly becausecapital receive short term funds from abroad and of debt repayment and the depreciation of for-vice versa. Thus while the long term foreign eign balances. English ownership of capitalinvestments of the United States reached by the abroad was reduced by about a quarter, mainlyend of 1930 about $15,400,000,000 gross, ap- through the repatriation of American securities.proximately $3,000,000,000 in foreign short The French have lost about a third of their prop- term credits has been fairly steadily invested in erty in foreign investments by the statebank-the New York money market; of this amount ruptcies of Russia, Austria- Hungary and Tur-only from one half to two thirds is offset by key. Most of Germany's foreign investmentsAmerican short term credits abroad. While the were either lost or repatriated. aggregate foreign holdings of Great Britain have After the restoration of normal internationalin this period risen to the pre -war level of $20; economic relations in the post -war period the 000,000,000 in round numbers, the English mar- export of long term capital was resumed,but onket in the early part of 1931 used something like a much smaller scale thanbefore the war. While $1,200,000,000inshort term credits from in the years immediately preceding the war theabroad, particularly from France, to finance in- net export of long term capital, excludinginter-ternational trade and to assist banks in Germany, est payments, averaged some $2,000,000,000 orcentral Europe and elsewhere. Most of the con- $2,500,000,000, the corresponding average fortinental countries are in the balance debtor na- the period from 1924 to 1930 can scarcely havetions for short term credits. France, however, is exceeded $1,500,000,000. The status of Ger-estimated to have from $3,000,000,000 to $4,- many changed from a creditor to adebtor nation.000,000,00o netinshort term investments It had to rely in part on foreign financial assist-abroad. Switzerland, the Netherlands, Belgium ance for economic reconstruction,the reorgani-and to a smaller extent Sweden and Czechoslo- zation of its currency and banking system andvakia also appear as creditors in the interna- the payment of reparations and interest on thetional money market. post -war foreign loans. To a certain extent also Both the decline in long term capital invest- itfinancedits post -war investments abroad ments and the increase in the movement of short through loans from other foreign countries. Interm credits in the post -war period aredue to the balance Germany borrowed abroad from the same economic and political causes. The pri- 7924 to the middle of 1931 about $1,2oo,000,000 mary factor in this context is notthe cyclical on short term and about $1,900,000,000 onlongmovement of business conditions -althoughthe 372 Encyclopaedia of the Social Sciences net result is affected to some extent by cyclicalmany international combinations, which in the factors -but rather the uncertainty of the polit- aggregate constitute for the European peoples an ical situation throughout the world, especiallyembryonic system of "superstate" organizations. in Europe and in China and of late also in SouthDuring this period international capital move- America. The consequent increase in the cost ofments were also favored by the policy of boun- capital to the debtor countries has not, however,ties of various types, such as export credit (q.v.) affected the demand for it to any considerableand government subventioned insurance of for- extent; such clearly marked inelasticity of the eign credits (see CREDIT INSURANCE), and by the demand for capital, which is partly responsiblecompetitive struggle for raw material supplies, for the growth of short term indebtedness, iswhich led on occasion to intensified capital in- another typical post -war phenomenon, since itvestments in foreign jurisdictions. Also of con- is caused by factors peculiar to this period.siderable significance during this period were Among them should be mentioned reconstruc-the sudden changes in the volume and direction tion and restoration of a "normal" capital equip- of international movement of short term funds. ment in most of the belligerent countries, paperThey were due to the peculiar abnormalities of money and gold inflation, exaggerated protec-the post -war era: the flight of capital under tionism and finally the unusually pronouncedconditions of political or monetary instability; speculative activity which between 1926 andthe transfer of funds to foreign markets in order 1929 culminated in a boom of extraordinary in-to escape "confiscatory" taxation or impending tensity in practically every important country. "socialization," and in order to profit by the Before the war capital was exported in orderincrease in the value of foreign currency due to to open up new and develop backward regions;its stabilization or by the unusual opportunities to a considerable extent such international move-for security speculation. Such movements were ments of capital constituted one of the impor-purely temporary and their direction was apt to tant prerequisites for the settlement of entirebe reversed overnight. continents. After the war a good deal of the ex- Capital export from France in the post -war ported capital ceased to perform such functions. period developed very slowly. Until 1929 it was Old countries, quite densely settled and well checked by special taxation of foreign issues on supplied with modern industrial and transporta-the Paris exchange. The depression which de- tion equipment, of which Germany is the arche- veloped in the autumn of that year and spread type, became important borrowers in the inter- rapidly throughout the world, the critical condi- national markets; by paying higher interest ratestion of the public finances of most debtor nations they competed successfully with debtor coun-and general uncertainty in foreign countries tries of the pre -war type for the available supply caused a decline in the supply of capital for of capital. Interest rates in the world market forexport. In the field of long term investment only the best bonds of the principal debtor countriesthose foreign issues which for political reasons have been increased thereby from the pre -warwere regarded by the French government with level of 5 percent to from 7 to 9 percent andspecial favor were successfully placed in the occasionally to an even higher figure. In additionFrench market; for example, the Young loan of to the development of new capitalist economies 193o, which effected the commercialization of a international capital has thus assumed the func- portion of German reparations. The outflow of tion of reconstructing old capitalist countries.French short term funds to foreign markets suf- Under this head may also be considered the im-fered a similar decline with the repatriation of a port of capital in order to increase the monetarycertain part of them after the stabilization of the gold stock of the country, a device upon which franc and with the precautionary withdrawal of most of the European and South American statescredits by French banks during the depression. had to rely in rebuilding their shattered cur-The French have also substituted short term rency systems. A considerable increase in directcredits for a considerable proportion of the long participation in foreign undertakings was indic-term foreign investments of the pre -war period; ative of a change on a somewhat different level.these are placed for the most part in the English Many new and even most of the old states, obey-and American money markets. ing a quickened impulse toward economic self - The constitution of British foreign invest- sufficiency, raised their tariff walls far above the ments has not changed since the war so radically pre -war level. Under these conditions the driveas that of the French. In the new capital issues for economic expansion led to the formation ofon the London market domestic securities have Foreign Investment 373 risen from 20 percent in 1908 to 65 percent inment to the changed situation and undertook 1920 -27; similarly, participation of British col-with the support of commercial banks and in- onies increased at the expense of foreign coun- vestment trusts the distribution of foreign secu- tries. Although this may be taken as evidence ofrities in the home market. A large proportion of a trend toward imperial self-sufficiency in theforeign issues, however, was not placed with the investment of British capital accumulations, itultimate investors and remained in the portfolios was not produced by plannedregulation or gov- of these institutions. It is thus that the American ernment intervention. The tendency to placecapital market, of purely national importance be- more emphasis on bond issues,already apparentfore the war, was transformed within a short before the war, has continued to operate in favortime into an international money center; in ex-. of the dominions; and at the same time the in-perience and established tradition, however, vestment in railway and mining securities hasWall Street still lags behind the City in London. decreased substantially. Thus the proportion of The export of capital from the United States bonds in the aggregate of British foreign invest-has proved particularly sensitive to market con- ments has grown considerably and the connec-ditions, the amount exported exhibiting unusu- tion between commercial expansion abroad andally large fluctuations from year to year. In 1924 the export of British capital, which was origi- and 1925 the net balance of capital movements nally very pronounced, has been further weak-represented an export surplus of $500,000,000 ened. The geographical distribution of new capi-to $600,000,000; it fell to scarcely$200,000,000 tal exports has been strikingly changed, sincein 1926 and rose in 1928 to a record figure of Germany has become a heavy borrower and theover $900,000,000 only todecline again in 1929 importance of investments, in the United Statesto less than $400,000,000. In the years 1925 to has radically declined. Thus in 1929 theBritish1928 a half of the long term credits went to owned about $1,560,000,000 in American secu-Europe, but in 1929 the share of Europe fell to a rities as compared with $3,300,000,000 in 1913.quarter of the net export. On the otherhand, the Under the leadership of the Bank of Englandthecapital going to Canada represented only 14 per- City played a decisive role in floating the stabili-cent of the total in 1925, but itincreased to 42 zation and reconstruction loans of the continen-percent in 1929. At the beginning of 1931the tal European states, which have consequentlyforeign investments of the United States were suffered more than others from the decline indistributed as follows: $5,600,000,000 was in British long term investments since the depres-Europe, Germany alone being indebted to the $4,000,000,000 sion of 1929. A comparatively new developmentextent of nearly $1,500,000,000; has also been the absorption by the Londonin Canada; $3,000,000,000 in Central America; Over money market of a large volumeof foreign shortand an equal amount in South America. in various American term funds. a half of the capital placed After the war the United States became oneofcountries was represented by direct investments, the leading creditor nations of the world. Ameri-while at least three fourths of the capital ex- American can capital export restedin part on a surplus inported to Europe was represented by resultinginvestments in bonds. As a result of the rapid the balance of international payments United not only from an excess ofcommodity exportsexpansion of capital export from the over imports and the payments onaccount ofStates the financial control of manyCanadian interallied debts but also from an inflow of short enterprises was transferred within a few years term funds from abroad. Theimportant factors,from English to American hands and American position however, were the large stock of monetary gold,enterprise was placed in a commanding increased enormously during and after the war,in certain South American states, such asBolivia, and the huge expansion of credit based uponit.as well as throughoutCentral America. Although the as- The volume of bank deposits was doubled,in-this development began before the war, United terest rates were kept low andthere was a no-sertion of the economic hegemony of the ticeable tendency to force capital export.BondStates in the American tropics hasproceeded houses, which during the Liberty bond cam-successfully only in the last fifteen years.The production in these paigns learned to reach even the small investormost important branches of mines, and accustomed the rank and file of thepopula-countries, particularly plantations and in the hands of Amer- tion to invest in securities, and investmentbanks,are entirely or in large part with which before the war were engaged in importingican capitalists or entrepreneurs. Along and capital from Europe, now made an easy adjust-capitalistic penetration went the military 374 Encyclopaedia of the Social Sciences diplomatic advancement of American interests,in the national wealth, which carries with it with the resulting subordination of a number ofnot only the possibility of establishing balances small countries on the Caribbean and the Pacificand investments abroad but also an interest in so to the direct or indirect political control of thedoing which is similar to that of the capital im- United States. Even so large a state as Mexico porting countries. The development is connected was involved in a mesh of diplomatic and militarywith the promotion of foreign trade and the re- conflicts which developed out of the oppositionduction of risks of capital investment through between the interests of American controlleddiversification. These stimuli to invest capital enterprises and the alleged or true interests ofabroad become stronger with the expansion in the debtor country. On the other hand, it has be-production and the increase in the size of enter- come an established practise if not a recognizedprises and plants. For technical and commercial doctrine of foreign policy on the part of thereasons the optimum volume of output cannot United States to protect by military force or atbe achieved if the producer is restricted to the least by all available diplomatic means "en- markets of his own country; eventually he comes dangered" investments in Central America,therefore to favor capital export since it would while similar intervention by European govern-facilitate his penetration into foreign markets ment is vigorously opposed on the basis of theand assure for him the availablity of foreign raw Monroe Doctrine. The penetration of Americanmaterials needed in continuously increasing capital into these regions has not only been pro-quantities. The growth of English industry, for tected by the United States government but inexample, could not have proceeded at so rapid a many cases definitely encouraged in advance. In-rate without a continuous expansion of its sour- vestment opportunities, particularly in railroads,ces of raw materials and of its markets. Similarly banks and the like, were brought by Americanthe post -war "industrial revolution" in the officials to the attention of interested citizens,United States was connected with commodity apparently with an assurance of governmentexport resting on the export of capital, although protection in case of need. The holders of bondsnot so closely and not in the same way as in or stocks in Canadian and European enterprisesnineteenth century England. As soon as a coun- were obviously without benefit of such protec-try reaches a point at which its need for capital tion; but the American government, followingis not very acute, the export of capital abroad ap- the example of France, reserved for itself thepears advantageous also to the private investor: right of vetoing the public flotation of foreignforeign investments with the same risk yield as a issues, a right which had been exercised only inrule a higher return than domestic securities and rare cases, such as the German potash loan orthey offer at the same time important opportuni- the loan of the Brazilian state of Salo Paulo. Pro-ties for diversifying risks. motion of capital export as well as benevolent The diversification of risks is also an im- neutrality toward it was part and parcel of theportant consideration from the point of view of official policy of protectionism and was in accordthe national economy as a whole. Other things with the promotion of commodity export. It wasbeing equal, investment abroad operates as a supported by the policy of the Federal Reservestabilizing factor in so far as it retards the de- Banks, which have several times, notably in 1924velopment of booms and mitigates the effects of and 1927, stimulated capital export by loweringslumps in domestic markets. Against this must interest rates. be set the losses in foreign investments. They Practically every modern country was forwere very considerable in the periods before some time in the position of a debtor nation be- 1890 and after 1914 but were comparatively fore it began to acquire a net export balance insmall in the quarter century preceding the war. its capital account. Although there have beenIt is also important that interest rates in the cases in which emancipation from foreign in-creditor country are at a higher level than they debtedness has been achieved by defaulting onwould have been were no capital exported; con- such obligations (e.g. Portugal), the changesequently the distribution of the national income in the status of a country from debtor tois altered in favor of the properties and entre- creditor is typically the result of an increase inpreneurial groups and income inequalities are capital accumulation from domestic sources andaccentuated. On the other hand, the export of an intensification in the amortization of previ-capital insures better export markets for the sale ously contracted obligations. In a certain senseof the nation's output and better terms on im- such a development is inevitable with an increase ports and effects in the long run an improvement Foreign Investment 375 in the barter terms of trade with foreign coun-sufficiency caused the appearance in Germany tries. and France even before the war of strong move- Upon the attainment of a strong creditor posi-ments for the prevention of capital export. The tion a country usually reinvests abroad a partargument generally ran in terms of preserving or the whole of the interest on its foreign invest- the productive forces of the nation for the father- ments. This practise, which serves to strengthenland and of lending no aid to the industrial de- the creditor position of the country, was followedvelopment of present or potential competitors. by the Netherlands, Great Britain and France.Although these pre -war movements remained For generations an income which generally in- more or less unsuccessful, the governments of creases more rapidly than the rest of the na-the leading creditor countries on the continent tional income of the creditor country is thus ob-displayed a tendency to intervene in order to tained from the social product of foreign peoples.regulate the direction of capital export. Such in- It is easy to conclude therefrom that creditortervention was in the main discriminatory, di-. countries eventually develop into rentier na-rected against certain debtor countries rather tions, that their own production and enterprisethan against capital export as such; its underly- languish while they live on the labor and pro-ing purpose varied from the promotion of polit- duce of the soil of debtor countries. Actually thisical alliances, colonial expansion schemes and evolution into a rentier country is a purely sta-the like to the protection of the investor against tistical fact, which need not radially affect the so-speculative excesses. In France such regulation cial structure of the creditor country. Since thewas particularly effective since by the exclusion interest on foreign investments is in large partof foreign issues from the Paris exchange the reinvested abroad and losses are suffered fromminister of finance could practically eliminate time to time in foreign investments, the produc- unwanted foreign investments; there was in ad- tive system of the creditor country and the vol-dition the direct influence exercised on the ume of its output do not necessarily undergobanks and the press. Similar methods were used any essential change; and no clear cut evolutionto a much smaller extent in Germany. Whereas is observable in the direction of a rentier econ-in France since 1900 virtually every large foreign omy based on investments abroad. issue involved government action, in Germany The regulation of capital export by politicalbetween 187o and 1914 there were scarcely more authority is not in the long run inspired by fearsthan ten cases of governmental intervention of or hopes of this kind. In the mercantilist periodthis type. The significance of such regulation capital export was retarded by restrictions uponshould not be exaggerated; government action in the export of specie and upon the emigration ofthis field is in the main of a negative sort, i.e. it industrial enterprises and skilled craftsmen.amounts to a prohibition of certain issues which During the following period of liberal economicmay frequently be evaded. policy there was complete freedom of capital Apart from such undisguised and openly export. In England as early as the first half ofavowed regulation there exists in almost every the nineteenth century even conservative gov-creditor country a certain form of unofficial co- ernments refused repeated demands for inter-operation between the political administration of vention to impede the export of capital andforeign policy and the banking leadership of the actively to protect investments abroad. The factinvestment market; and no foreign loan of any that the house of Barings could float a Russianimportance is undertaken without sounding out loan in London during the Crimean War is quite the responsible diplomatic circles. In France and indicative of the spirit of the time. In the lastthe United States such collaboration is encour- third of the nineteenth century neomercantilistaged by the government or the parliament, al- tendencies caused a revival of protectionism alsothough in the latter country it is limited merely in the capital markets. The export of capital wasto warnings by the government, direct govern- encouraged in order to stimulate commodity ex- ment interference in the capital market being port or in order to facilitate the achievement ofvirtually unknown. In pre -war Germany it has imperialistic aims and the establishment of se- become established as a traditional practise with- cure economic and political positions in areas in out legal sanction, while in England it is effected which there was a rivalry between several na-through the channels of social intercourse in tional interests, such as colonial regions, China,elusive contacts between government officials Persia and so on. At the same time the re-and bankers. invigorated tendency toward economic self- A third type of government action with re- 376 Encydopaedia of the Social Sciences spect to foreign investments is as a rule closelyis used as an opportunity for the creditor coun- linked to specific imperialistic policies. In inter-tries to intervene for purposes of "protection." national politics particular importance has at-Weak states run the risk of being subjected to a tached to intervention by creditor nations in thefinancial control which may mean anything from interest of protecting the investments of theirforeign financial advisers to a comprehensive citizens in a foreign country. The legality of suchsystem of concessions; from the mortgaging of interventions from the point of view of inter-certain revenue sources to the complete transfer national law is questionable, and even the atti- of the financial administration to the representa- tude of the great powers -the only countriestives of the creditors, as in the case of the Dette resorting to such measures -is a vacillating one.Ottomane; from occasional military or naval Some acts of intervention are intended to opendemonstrations to complete annexation. Egypt, the door for investment by the country's na-Algeria, Tunis, Turkey, Persia, China, Mexico, tionals or to secure for them a monopolisticthe Central American states, the Boer republics position; the China consortium, the Anglo-and other states have had to submit temporarily Russian conflict over the spheres of influence into such control because of their foreign indebted- Persia, the American policy in the Caribbeanness, and some of them still are in that status of and similar examples illustrate active govern-submission to the great powers. The probability mental promotion of private investments in dis-of the institution of such controls depends on puted areas. Other types of intervention whichthe terms under which foreign indebtedness is have in the past led to grave international com-contracted and the care taken to invest produc- plication are those designed to protect sup-tively the proceeds of such loans. posedly endangered investments. Since the Pal- The danger of financial and political control merston circular of 1849 Great Britain has defi-is not present or is present to a much smaller nitely felt entitled to utilize the full force of itsextent in the case of borrowing by a state in a power for the protection of the legitimate inter-strong political position. This holds true not ests of its subjects in foreign countries. In prac-only for great powers which still retain the status tise the apparatus of diplomacy has been fre-of debtor countries but also for lesser powers and quently used on behalf of British creditors, butsmaller states, if by virtue of their geographic the employment of armed forces or even theposition or the rivalry of interested powers threat of such action has been very rare. Thethey are not suited to serve the purpose of po- French, on the other hand, have repeatedly re- litical expansion. Such conditions, however, do sorted to naval demonstrations and military oc-not preclude a certain measure of foreign finan- cupation in the Ottoman Empire and Santocial control in the event of complete default, Domingo, as has the United States in Haiti and particularly if new foreign loans are necessary Nicaragua. before the debtor country achieves an economic The import of capital involves serious politicalrecovery and settles with its old creditors. Thus problems for the debtor countries as well. It iseven a strong debtor country which has been not true, as has recently been commonly be-too reckless in borrowing and has fallen into lieved, that the mere fact of being indebted to adifficulties may be in danger of having its sover- foreign creditor leads or threatens to lead toeignty impaired through the instrumentality of political dependence. Debtor- creditor relationsfinancial control. Such difficulties may appear in which cross political frontiers need in the naturea particularly striking form where foreign short of the case have no more political consequencesterm credits play a large part; the danger of a than purely domestic relationships of this type.sudden withdrawal of such funds and of the Even the indebtedness of a government to aresulting disruption of the banking mechanism foreign creditor is as such a purely private rela-operates so continuously and pervasively that tionship. In fact, however, borrowing from for-it easily leads to the establishment of financial eign governments or from private creditors in adependence upon foreign countries. Even with- country whose government identifies itself without financial control the foreign policy of a na- the capitalist interests of its citizens does involvetion with a foreign indebtedness or in need of the danger of political consequences. This dangerforeign loans may be strongly influenced by the is naturally greater for those politically weakinterests of the creditor countries. Thus certain countries which even apart from the need forpolitical conditions, which did not necessarily capital import generally form the object of co-coincide with the interests of the borrowing lonial exploitation, if their foreign indebtednesscountries, were attached to the foreign loans of Foreign Investment 377 Italy and Russia in the decades preceding thetralia in 1873 and from 1890 to 1892, so the debt- World War. or countries in Europe in 193o -31 were forced The economic incidence of capital imports onby these shifts in capital movements to readjust the debtor country is not limited to an expansiontheir foreign trade balances and thus further to in production, an increase in wealth and a height-aggravate the depression. ening of commodity imports and of labor immi- Since the beginning of the nineteenth century gration. Capital imports mean also a temporarythe competitive struggle of important national improvement in the barter terms of trade ingroups of investment interests has often deci- international transactions. Also of considerablesively influenced international economic and importance is the fact that the debtor countrypolitical relations. This struggle has gone hand must adapt its currency standard, at least tem-in hand with the conflicts growing out of the porarily, to that of its creditor. The widespreadcolonial expansion of the great powers and with adoption of the gold standard has been and stillthe commercial rivalries over important markets continues to be largely the consequence of theand sources of raw materials. Thus in the pre- demand for foreign capital; accordingly, whenwar period vast amounts of foreign capital were the international capital market is in a state ofpoured into South America in connection with collapse the gold standard suffers a setback. the financing of exports of industrialized coun- Similarly the adoption of the financial and com-tries. After the war the attempts to monopolize mercial traditions of the older countries by theraw material supplies under foreign jurisdiction business communities of backward regions andbecame more important: much diplomatic dis- new countries goes hand in hand with the im- cussion has centered about the oil fields of Su- port of capital from abroad. Preservation ofmatra, Irak and Asia Minor, and important in- normal liquidity by the banks, the maintenanceternational settlements, involving the formation of a balanced budget and to a certain extent even of combines for common exploitation by the in- the development of a modern system of courtsterested powers, were arrived at. France, the and of other law enforcement agencies are oftenUnited States, Japan and other countries have parts of the same process of adaptation ofrepeatedly sought to reserve colonial or other debtor to creditor. regions for the investment of their own capital The international movements of capital forand either to exclude directly or to obstruct by short and long term investment constitute a mostindirect methods the competition of other inter- important factor in the development and integra-ests. Such methods of disregarding or dodging tion of that system of economic relationshipsthe open door policy have produced the Morocco which is called the world economy. With respectproblem and the grave conflicts involved in it; to long periods of time this integrationis they have also played a large part in the struggle achieved by an increasing uniformity in the di-to open the West Indies and other backward re- rection and tempo of the capitalist developmentgions to competitive foreign investment. Inter- of all countries; for shorter periods it is ex-national settlements between interested powers pressed through an increased parallelism in thehave in part eliminated threatening conflicts, but cyclical movement of business. Internationalthey have also erected new monopolies in the economic interdependence is especially marked form of separate spheres of interest and the like. at the turning points of the cycles. Thus in theAn effective method for the elimination of such nineteenth century periods of prosperity weredangers to international peace as well as for the for Great Britain also periods of intensified ex- economic and social progress of the weaker debt- port of capital, while during depressions capitalor countries seems to be offered by the mandate export declined. Consequently for the Unitedsystem of the League of Nations; this represents States, South America and the non -Europeanan essentially new development in so far as it countries within the orbit of British influenceinvolves, at least in principle, control by the prosperity in Great Britain was accompanied byLeague of the backward regions dominated by enhanced capital imports and consequent specu-individual states. The further effective develop- lative expansion; during depressions in England ment of this system and above all the restoration the volume of capital imports suddenly declinedor preservation of the principle of the open or vanished altogether, with the resulting re- door -as Great Britain has consistently main- verses in business, depreciation of investmentstained it during the greater part of her recent and intensification of social unrest to the pointhistory-might well offer the best guaranty of of revolution. Just as the United States and Aus-normal development of capital migration. The 378 Encyclopaedia of the Social Sciences elimination of political and certainly of imperial- "Handbook of American Underwriting of Foreign Se- istic factors should also serve to limit poor in- curities" by Ralph A. Young, Trade Promotion Series, no. 104 (1930), and "American Direct Investments in vestments, particularly in colonial regions, and Foreign Countries" by Paul D. Dickens, Trade Infor- to facilitate the restoration of a normally func- mation Bulletin, no. 731 (193o); Williams, B. H., Eco- tioning system of international financial relation- nomic Foreign Policy of the United States (New York ships. The latter should be made strong enough 1929); Winkler, Max, Investments of United States Capital in Latin America (Boston 1928); Verein für So- to withstand periods of depression, for its break-zialpolitik, "Die Auslandskredite in ihrer finanziellen, down in such times has always led, and wouldwirtschaftlichen und sozialen Bedeutung," Schriften, in the future inevitably lead, to an aggravation vol. clxxiv, pt. iii (Munich 1928); Earle, E. M., Tur- of critical conditions. key, the Great Powers and the Bagdad Railway (New M. PALYI York 1923); Blaisdell, D. C., European Financial Con- trol in the Ottoman Empire (New York 1929); Woolf, See: INVESTMENT; INVESTMENT BANKING; INTERNA- L. S., Empire and Commerce in Africa (Westminster TIONAL TRADE; MONEY MARKET; BALANCE OF TRADE; 192o); Mohr, Anton, Kampen om oljen (Oslo 1925), tr. FOREIGN EXCHANGE; INTERNATIONAL FINANCE; PUBLIC as The Oil War (New York 1926); Hoffmann, Karl, DEBT; LOANS, INTERGOVERNMENTAL; IMPERIALISM; Oelpolitik und angelsächsischer Imperialismus (Berlin COLONIES; COLONIAL ECONOMIC POLICY; CONCES- 1927). For current information see Memorandum on SIONS; RAW MATERIALS; INTERNATIONAL RELATIONS; International Trade and Balance of Payments compiled INTERVENTION; DIPLOMATIC PROTECTION. by the Economic and Financial Section of the League of Nations for annual periods beginning with 191o, Consult: Sartorius von Waltershausen, A., Das volks- and "The Balance of International Payments of the wirtschaftliche System der Kapitalanlage im Auslande United States" annually since 1922 by the United (Berlin 1907); Hobson, C. K., The Export of Capital States Bureau of Foreign and Domestic Commerce (London 1914); Becqué, Emile, L'internationalisationin its Trade Information Bulletin series. des capitaux (Montpellier 1912); Cassel, Gustav, Greg- ory, T. E., Kuczynski, Robert E., and Norton, Henry Kittredge, Foreign Investments (Chicago 1928); Ed- FOREIGN LANGUAGE PRESS. The com- wards, George W., Investing in Foreign Securitiesmon type of foreign language press serves com- (New York 1926); Madden, J. T., and Nadler, M.,munities of immigrants settled permanently in Foreign Securities (New York 1929); Lewis, Cleona, a land where the vernacular is unfamiliar to the The International Accounts (New York 1927); Taussig, F. W., International Trade (New York 1927); Viner, bulk of the immigrant group. Such a press may J., Canada's Balance of International Indebtedness,be found in any country receiving immigrants. 1900-1913 (Cambridge, Mass. 1924); Angell, J. W., It is most conspicuous in the United States, The Theory of International Prices (Cambridge, Mass. where in x931 there were published 884 peri- 1926); Wood, G. L., Borrowing and Business in Austra- odicals in 36 foreign languages with a total cir- lia; a Study of the Correlation Between Imports of Capi- tal and Changes in National Prosperity (London 193o); culation of almost 8,000,000. Of these 165 were Hobson, John A., Imperialism (rev. ed. London 1905); in German, 125 in Italian, 89 in Spanish, 82 in Moon, P. T., Imperialism and World Politics (NewPolish, 75 in the Scandinavian tongues, 71 in York 1926); Feis, Herbert, Europe, the World's Banker, Czech or Slovakian, 43 in Hungarian, 41 in 1870-1914 (New Haven 1930); Pan, F. K., Interna- tional Financial Intervention (typewritten, New York French and 34 in Yiddish. Many papers of this 1929); Jenks, Leland H., The Migration of British Cap- type are also to be found in various Latin Ameri- ital to 1875 (New York 1927); Dietzel, Heinrich, Be-can countries; in 1931 there were more than a deutet Export von Produktionsmitteln volkswirtschaft- score in half a dozen countries, published in Ital- lichen Selbstmord?, Volkswirtschaftliche Zeitfragen, ian, German, Chinese and Arabic. The presses vol. xxix, no. 3 -4 (Berlin 1907); Lehfeldt, R. A., "The Rate of Interest on British and Foreign Investments" of Chinese settlers in the Straits Settlements and in Royal Statistical Society, Journal, vol. lxxvi (1912-Burma, Indian settlers in British Africa and 13) 196 -207, 415 -16, and vol. lxxvii (1913 -14) 432-35; Japanese settlers in Hawaii are in some respects Zweig, Konrad, "Die internationalen Kapitalwande-similar in character. The papers of permanent, rungen vor und nach dem Kriege" in Weltwirtschaft- indigenous minorities like the French in Canada, liches Archiv, vol. xxvii (1928) 243*-82*; Great Brit- ain, Committee on Finance and Industry, Report, the Germans in Czechoslovakia or the Jews in Parliamentary Papers by Command, no. 3897 (Lon- Poland have so different a status and face such don 1931); Baldy, Edmond, Les Banques d'affaires en different problems that they do not belong in France depuis 1900 (Paris 1922); Diouritch, G., L'ex- the category of foreign language press. pansion des banques allemandes à l'étranger (Paris 1909); Strasser, Karl, Die deutschen Banken im Auslande (Inns- The immigrant press performs simultaneously bruck 1924); American Academy of Political and Social the opposing functions of promoting assimila- Science, "America's Changing Investment Market," tion and maintaining separatism. It is the prin- Annals, vol. lxviii (Philadelphia 1916); National Indus- cipal medium by which an immigrant group trial Conference Board, The International Financialcomes to understand its environment, and be- Position of the United States (New York 1929); United States, Bureau of Foreign and Domestic Commerce, fore the advent of the motion picture it was Foreign Investment-Foreign Language Press 379 probably the greatest single source of informa- furnishes guidance in meeting the new environ- tion concerning the new country. At the samement, carrying articles on such subjects as the time, the perpetuation of the inherited languagelegal status of aliens, the ideals of the new coun- and the publication of news of the home countrytry or problems of child rearing. Later such and of the local immigrant group tend stronglypapers add juvenile sections in the local lan- to perpetuate a consciousness of difference. Theguage and become partially, sometimes wholly, very presence of the foreign language presstransformed from one language to the other. makes it more or less unnecessary for the immi- In well established communities papers of a grant to subject himself to the assimilating influ-more pretentious sort appear. Foreign language ence of the native press. The degree to whichdailies in American cities where large immigrant any individual paper serves each of these endsgroups are located resemble essentially the ordi- depends less upon any consciously set editorialnary commercial press of the city. Italians in New policy than upon the composition of the immi-York secure their general news through Il Pro- grant group it serves. The age of the group, thegresso italo -americano and the Corriere d' America, extent and regularity of an influx of new and awhile many Jews with sufficient command of loss of old members, the attitude of the nativeEnglish to read the American press prefer the element toward the immigrant and the action ofDay, the Jewish Morning Journal or the Forward. other agencies for assimilation or separatism toWhereas these papers bear some resemblance which the group is subjected all unite to condi-to the simpler type of immigrant paper in giving tion the function of such papers. great prominence to Italian or Jewish news and Foreign language papers vary in quality fromto the gossip of their respective communities, the rudimentary sheets which are among thethe principal matter, especially in the Jewish early evidences of an immigrant community'sgroup, is general news so presented as to interest self- conscious life to papers which rank amongthe foreign language readers. This type of paper the high grade journals of the country. In thein offering to the immigrant the news of his new early stages of a community a simple sheet pro- environment in his own language and with the viding news of the home country may be made emphasis which he understands works directly up with the aid of scissors and paste from clip-and effectively toward assimilation. Its separatist pings from other papers. Such sheets, which are influence is incidental and operates through pre- under slight pressure of competition, expendserving group consciousness rather than old little money or skill for the purpose of delivering world stereotypes and differences. news promptly or presenting it attractively. The Between these two extremes are many papers editor is usually engaged in some other occu-which serve both to sustain old interests and to pation and carries on his editorial duties on theinterpret new or which are in transition from side. Such papers are commonly weekly publi- one extreme to the other. The transition involves cations, advertising only the merchants and pro-an important shift in their reading public and in fessional men of the small community and having their type of journalism. The rudimentary sheet, a local circulation and often a fairly short life.addressed to the literate few, presents its news Their assimilative influence is slight; they serve with an admixture of opinion and considerable primarily to preserve old associations and view-editorial comment. The commercial papers, points among the immigrants and to mitigatehowever, cannot develop mass appeal through their sense of strangeness in their new home.the expression of opinion; they must rely on They tend to be politically partisan and tonews and so tend to develop an enlarged news perpetuate in an alien environment differences service -to copy, in fact, the American commer- which kept groups apart at home. cial press with its mass circulation. They adopt As soon as the characteristic mutual benefita similar format with headlines and introduce societies have been formed, they begin to pub-such popular features as comic strips. lish newspapers which depend for support upon Mortality among the foreign language papers membership subscriptions and furnish chieflyis high, and their near or complete extinction organization news. Some organizations, such asinevitable, because of a gradual loss of subscrib- the German Workmen's Sick and Death Benefiters as the local language bcomes the language Fund of the United States, publish sheets ofof the immigrant group and as the new genera- high literary merit. If there is a controversytion grows up with little interest in the news and within the organization the post of editor is cov- affairs of the ancestral country. Foreign language eted. Where there is active leadership the organpapers inevitably face the problem whether or 38o Encyclopaedia of the Social Sciences not to introduce sections in English in an effortmay be separatist in influence even when the to hold their subscribers; if they decide to do so,language difference has been lost. On the other they thereby risk the loss of advertisers who pre-hand, proselytizing sheets issued in foreign lan- fer to reach the English reading public throughguages by local religious bodies are definitely the English press and of subscribers whoseassimilative from the start. With the exception knowledge of English they themselves improve.of a few groups the propaganda press reaches Only rarely does a paper become bilingual, likeonly a small proportion of the foreign language the weekly Greek Star in Chicago. Some of thereaders in the United States;all the major early German language papers in the middle westgroups are served predominantly by the com- gradually transformed themselves into Englishmercial type. language papers. This response has been rare, Except for a few large urban dailies foreign however, with the exception of the Spanish pa-language papers are essentially provincial, re- pers along the Mexican border, where the com-flecting the social isolation which makes an eth- munity is permanently bilingual. Most editorsnic group resemble a geographically isolated rely on language necessity to hold their readerscommunity; they also frequently reflect the ide- rather than on their prestige or the superiorology of an earlier date, since isolation perpetu- character of their journalism, and they fail whenates the stereotypes of the time of emigration, their public abandons the old language. In fact,identifies them with the national character of the the more a foreign language paper seeks, byold environment and further widens the gulf introducing features characteristic of the localbetween the surrounding culture and that of the press, to hold its readers who are becomingimmigrant group. assimilated, the more it hastens its loss of sup- The immigrant press is subject to pressure port by furthering the process of assimilation.from its home government through diplomatic As a foreign language paper comes to resemble and consular authority and even through direct a typical native language paper its reasonforsubsidy. Such pressure assumes important pro- existence disappears. On the other hand, if theportions when the home government seeks to paper retains its conservative character andfails maintain control of its nationals abroad, as is to fit the local mold, it cannot hold a publicthe policy of the Fascist government working whose tastes are being shaped by forces outsidethrough the Italian press in the United States. its control. The life cycle of the foreign languageIt is also subject to both pressure and exploita- commercial press thus ends in suicide or obso-tion by representatives of the country in which lescence. it is located and by advertisers seeking to take But even where a steady influx of immigrantsadvantage of the ignorance of its readers. Prior constantly renews the foreign language readingto the World War no direct effort was made by public the mortality of foreign language papersthe American government to control the foreign is high, partly because of the crude character oflanguage press, but considerable political influ- early sheets and their highly controversial natureence was exercised by party representatives and partly because of the loss of potential readersthrough the placing of political advertisements which occurs simultaneously with the influx ofand control of editorial policy. The greater abil- new ones. Only a few papers, for example, theity of foreign language editors to deliver votes, New - Yorker Staats- Zeitung, which has servedtheir usual need of funds and their lack of fixed the German public since 1834, have had careerspolitical principles make them particularly sus- comparable in length with those of the best ofceptible to political pressure. During the World the native press. War the efforts of the propaganda department Still another type of publication is that whichof the government to control public opinion represents a cause, usually religious or political.brought the foreign language press for the first In the United States there are many foreigntime under direct governmental supervision. Al- language religious periodicals, especially amongthough only a small proportion of the press was the Scandinavians and Germans, and some radi-engaged in radical or enemy propaganda, all of cal political sheets. Such papers are supportedit was suspected of such activity; the power to by national or international organizations, anddeny the privilege of the mails was evoked and retain their language differences only as long asthe content of the papers closely scrutinized. these are indispensable to them in reaching theirThe tendency became one not simply of elimi- various audiences. If the religious or politicalnating all enemy and all alien influences but in group represents an alien point of view, its organaddition of making the foreign language press Foreign Language Press 381 an even more pliable medium for governmentin the condition of their country of residence as propaganda than the native language press. Atsuch. All such papers function as definite obsta- the close of the war renewed interest in prob-cles to assimilation. The extent of toleration lems of assimilation and the realization of theshown such papers by the local population and power of the foreign language press toward thatits government varies. The imperialist press in end developed into an effort to stimulate the colonial countries enjoys greater liberty than the favorable features rather than to suppress thenative language press. In backward regions for- unfavorable features of these papers. Since 1918 eign language papers, despite their practise of the Foreign Language Information Service has pushing imperialist and even annexationist poli- furnished editorial, feature and news releases tocies and their not infrequent subsidization by a newspapers in seventeen foreign languages, thusforeign government, meet no serious difficulty aiding them in linking the old culture and inter- until a growing native nationalism seeks to de- ests with the new. fend home interests against imperialist invasion. Another type of foreign language press is thatThe fate of the political émigré press depends which serves a community of émigrés. Suchentirely on the relation of its particular political communities are made up of political exiles,doctrine to the dominant view of the country of business men, imperialist agents in backwardpublication. The pre -war Russian radical press countries or tourists seeking diversion or edu-enjoyed comparative freedom in Switzerland and cation. Such papers as the Novy mir, publishedthe United States, where international politics in New York before the war by radical Russianplayed a small role in the national life, and little émigrés, or the Posledniya novosti of Paris, pub-liberty in France, where Russian diplomatic lished today by reactionary émigrés from Russia,pressure was brought to bear on the local police; serve political exiles. Of commercial émigré pa- today the reactionary Russian press enjoys uni- pers several score published in English, Japaneseversal freedom. and French are to be found in the important The political émigré press contains in addition Chinese commercial centers; half a dozen into news of the home country chiefly ideological Japan; several in India, Egypt, Siam and thediscussions. Hence it has always more than a Balkans; a few in Latin America; and one, thelocal circulation and is disseminated wherever Moscow News, in Russia. This type of paperémigrés may be scattered and often smuggled tends to merge in colonial countries with theinto the home country. The tourist press often type serving the needs of the community of alien avoids taking any definite or outspoken editorial imperialist administrators, who are generally ofposition and thus escapes any difficulties in its the same national origin as the large body ofrelations with the local government. When it commercial émigrés. Papers serving such mixed does take a position, either as a result of pressure commercial and official communities are foundfrom the home country or from a commercial in Burma, Ceylon, India, Palestine, Straits Set-émigré community in the country of publica- tlements, Syria, Indo- China, Hawaii, the Phil- tion, it sometimes incurs local unpopularity; but ippines, Porto Rico and Panama. In the moresince it usually has powerful backing it rarely backward of these countries they constitute byencounters serious difficulties. far the most important section of the entire na- CAROLINE F. WARE tional press. The tourist paper is typified by the See: ETHNIC COMMUNITIES; IMMIGRATION; SEGREGA- New York Herald and the Continental Daily TION; ASSIMILATION, SOCIAL; AMERICANIZATION; Mail of Paris; the English language press of PRESS; JOURNALISM; PROPAGANDA; MACHINE, POLITI- Mexico City and Havana, basically the press of a CAL; NATIONALISM. commercial émigré community, today shares Consult: Park, Robert E., The Immigrant Press and Its characteristics of the tourist press as well. Control (New York 1922); Baensch, Emil, "The Amer- The common characteristic of these papersicanizing Influence of the Foreign Press in America" in Deutsch Amerikanische Geschichtsblätter, vol. xi which sets them off from the emigrant press is (1911) 2 -8; Soltes, Mordecai, The Yiddish Press (New their attachment to the land of origin of theirYork 1924); Engelman, Uriah Zevi, "The Fate of readers. All represent communities which re- Yiddish in America" in Menorah Journal, vol. xv gard themselves as but temporarily exiled and (1928) 22 -32; Rubin, Philip, "The Yiddish Press" in which on all points of issue take their lead from American Mercury, vol. x (1927) 344-53; Faust, A. B., The German Element in the United States, 2 vols. (2nd the home country rather than from the countryed. Boston 1909) vol.ii,p. 365 -76; Wittke, Carl, of residence. Indeed, such communities and"Ohio's German -language Press and the War," and hence their press generally show little interest"Ohio's German -language Press and the Peace Nego- 382 Encyclopaedia of the Social Sciences tiations" in Ohio Archaeological and Historical Quar- more scientific and philosophical. As a neurolo- terly, vol. xxviii (1919) 82 -95, and vol. xxix (192o) gist his authority was internationally recognized. 49 -79; Belisle, Alexandre, Histoire de la presse franco- He put forward simultaneously with His, but américaine (Worcester, Mass. 195 I); Barton, Albert O., "The Beginnings of the Norwegian Press in America" independently, the theory of the neuronic struc- in State Historical Society of Wisconsin, Proceedings ture of the nervous system (Gehirn und Seek, (1916) 186 -212; Bosi, Alfredo, Cinquant' anni di vita Bonn 1894, i3th ed. Leipsic 1922) and con- italiana in America (New York 5925) p. 380-415; tributed to establishing the medical use of hyp- Davis, Jerome D., The Russians and Ruthenians in America (New York 5922) p. 60 -64, 88 -92, 549; notism in Der Hypnotismus (Stuttgart 1889, Izth Capek, Thomas, The Cechs in America (Boston 5920);ed. 1923; tr. from 5th ed. by H. Armit, London Hinte, Jacob van, Nederlanders in Amerika, 2 vols. 1906). Ford founded and edited the journal far (Groningen 1928) vol. i, ch. xv, vol. ii, p. 472-517; Psychologie und Neurologie. Lin, Josef, Die hebräische Presse (Berlin 1928); Soga, Throughout his varied scientific work Forel Y., "The Japanese Press in Hawaii" in Mid -Pacific Magazine, vol. xxiii (1922) 39 -41; Alexinsky, Gré- had in view the philosophical and social impli- goire, "Les russes hors de la Russie" in Grandecations of science. He was a foe to pedantry and revue, vol. cxxxi (5929 -3o) 601 -32; Hansen- Friede-addressed himself to a wider public than that of nau, N., "Die Presse Lateinamerikas" in Mitteilungen the specialist. His chief aim as a psychiatrist des deutsch- südamerikanischen Institut, vol. ii (1914) social hy- 10 -54; Wildes, Harry Emerson, Social Currents inwas to found a science of racial and yapan (Chicago 5927) chs. x -xiii; Patterson, Don D., giene. He stressed perhaps too exclusively the "The Journalism of China," University of Missouri,factor of heredity and was an ardent eugenist. Journalism series, Bulletin, no. xxvi (Columbia, Mo. He regarded degenerative effects in the germ 1922) p. 68 -72; Schweitzer, Georg, "Die Presse incells as one of the chief causes of racial decay Ostasien," and Sperker, O,, "Deutschlands Pflicht gegen das Auslanddeutschtum und die deutsche Aus- and vigorously combated the use of narcotics landspresse" in Deutsche Kultur in der Welt, vol. iand alcohol in Hygiene der Nerven und des Geí- (1915) 215 -19, and vol. iv (5958) 63 -69; "Die deutsche stes im gesunden und kranken Zustande (Stuttgart Presse in Brasilien" in Deutsche Kultur in der Welt, 1903, 7th ed. 1922). His widely translatedbook vol. iii (1917) 109 -15; Hauff, W. von, "Kultur, Presse, (Munich Politik und Deutschtum in Argentinien" in Hellauer, on sexual questions, Die sexuelle Frage J., Argentinien (Berlin 1921) p. 46 -6o; Duffield, Mar- 1907, 15th ed. 1923; rev. adaptationby C. F. cus, "Mussolini's American Empire" in Harper'sMarshall, New York 1922), was a pioneer book Magazine, vol. clix (1929) 661 -72; Fullam, C. Town- on sex hygiene. In his later lifeFord's interest ley, "Pan -Slavism in America" in Forum, vol. hi in socialism overshadowed all others and per- (5954) 177 -85; N. W. Ayer fÌ Son's Directory of Newspapers and Periodicals, vol. lxiii (Philadelphia vaded his scientific work. During the World 1931) p. 1230-45; The Newspaper Press Directory, vol. War and after he displayed great moral courage lxxxvi (London 1931) P. 423-544,552-84- in his untiring efforts in the cause of pacifism, which he defended in Les états -unis de la terre FOREIGN POLICY. See INTERNATIONAL (Lausanne 1914) and Assez détruit, rebatissons RELATIONS. (Lausanne 1916). ROBERT BRIFFAULT FOREIGN TRADE.See INTERNATIONAL Consult: Bibliographia foreliana (Vienna 5908); Vol - TRADE. kart, Otto, August Foret, eine Skizze zu seinem 7o. Geburtstage (Olten 1918); Bertholet, Édouard, Auguste FOREL, AUGUSTE HENRI (1848 -1931), Forel (Lausanne 5918). Swiss neurologist and entomologist. Graduated in medicine at Zurich and Vienna, Forel becameFORESTS have played an important part in in 1879 director of the mental hospital and pro-the history of civilization. They have affected fessor of psychiatry at Zurich. From these ap-the distribution of mankind over the earth's pointments he retired in comparative poverty insurface and have influenced the religious life 1898. His prolific and diversified scientific activ-of primitive peoples. Throughout history wood ity began when as a child of seven he firsthas been one of the most important essentials studied ants under the inspiration of his uncle,in the economic development of the human the naturalist Alexis Forel. His publications inrace. The forms in which woodhas been used this field, brought together in final form ashave undergone many changes. The Indians Mensch and Ameise (Vienna 1922; tr. by C. K.used the bark of trees to make tepees; the settler Ogden as The Social World of Ants Comparedused the logs to build his cabin. Logs sawed with That of Man, New York 1929), have all the into lumber are now used in the construction charm of Fabre's writings on ant life and areof houses, furniture and other commodities of Foreign Language Press -- Forests 383 everyday life. There has been a growing tend-water during the alternate seasons of heavy ency to convert wood intopulp, out of whichprecipitation and drought. In most of the coun- boards, insulators, artificial silk andleather,tries of Europe this recognized influence of ropes, interior woodworkand a thousand otherthe forests has resulted in the enactment of commodities are fabricated. The recent devel-special laws with regard to timber cutting on opment of the use of wood in themanufacturewatersheds, whether publicly or privately owned. of news print and book paper has beenphe-Such forests are designated as protection for- nomenal. Fifty years ago cotton and linen ragsests. The value of the forest as a placefor recre- were the chief sourcesof paper; now betweenation and aesthetic enjoyment is also becoming 8o and go percent of the world's paperis madeincreasingly more important. from wood fiber. In the United Statesalone Forests belong in the category of renewable over 7,000,000 cords ofpulpwood are usednatural resources. Unlike the mines, which once annually to make pulp and paper. The advances exhausted are gone forever, forests can be re- made in the chemistry of cellulose open annewed and used indefinitely. In common, how- extensive field for the use of wood fiber.Liquidever, with other natural resourcesof the earth, fuel (ethyl alcohol) may in the future bederivedas long as their exploitation wasleft unrestricted from wood. Chemists claim that the coming agein private hands, forests in almost all ages and is the age of cellulose, in which woodand con-in all countries have been squandered by men sequently forests must play an importantrole.with a wanton disregard for the future. In spite of many substitutes such assteel The present forest area of the world in round and concrete ;wood is one of the few commod-figures is about 7,500,000,000 acres, which is ities that has shown a steady growthin both22 percent of the land areaexclusive of the volume and value during the last century.Inpolar regions. The area of actually productive Great Britain the per capita consumptionis forest, however, is probably only 5,500,000,000 now almost four times as great asit was in 1851.acres, which is 16 percentof the land area and occupied a much Even in France with her practicallystationary3.2 acres per capita. Forests population timber consumption is slowlyin-larger proportion of the earth's surface in former creasing; that of Germany more thandoubledtimes. As a result of land clearing and forest within a century; in the United States atleastfires that followed in the wake of forest exploi- seven times as muchlumber is used now in atation, much of the original forest has disap- year as in 1850, and eventhe per capita rate ofpeared. With the possible exception of China consumption is considerably larger.Judgingthe greatest change has taken place in Europe, from the rates of increase in these andotherwhere of a total land area of nearly 2,500,000,000 important consuming countries, theworld'sacres only one third, or 774,000,000 acres, timber needs may be expected to doublewithinremains in forest. Almost two thirds of this, or approximately fifty years. about 500,000,000 acres, are in European Russia The world's total production of wood(in- and Finland and only 275,000,000 acres in the cluding firewood) is in the neighborhoodofrest of Europe. In Great Britain 95 percentof 56,000,000,000 cubic feet; of this 26,000,000,000the original forest is gone. In France, Spain, cubic feet are saw log timber convertibleintoBelgium, Italy and Greece from 8o to go per- lumber. Nearly one half of all the saw logtim-cent of the original forest has beendestroyed; ber and two fifths, or about 22,000,000,000Sweden and Finland are the only countries of cubic feet, of the world's total wood productionwith half of their forests left. Large areas are consumed in theUnited States. The perforest have been cleared in the more populous capita consumption of wood in this countryis regions of South America and Africa, and even 228 cubic feet, or about eight timesthe rate ofin the less developed regions the same process consumption in western Europe. The total valueis going on slowly but steadily. of forest products in the United Statesalone The original forests of the United States are is estimated to be about $3,500,000,000 a year.estimated to have covered 822,000,00o acres This does not include the value offorest by-and to have contained 5,200,000,000,000board products, such as naval stores, furs,tannin,feet of timber. Over two thirds of this area three berries and nuts. have been culled, cut over or burned; Perhaps the most important of the indirectfifths of the original timber are gone. There are services of the forest is that connected withleft about 138,000,000 acres of virgin timber, stream flow. Forests equalize the runoff of114,000,000 acres of culled andsecond growth 384 Encyclopaedia of the Social Sciences timber large enough for sawing, 136,000,000ress. A recent estimate by a special committee acres partially stocked with smaller growth andof the Society of American Foresters put the 8i,000,000 acres of devastated and practicallyacreage of private commercial timberland under waste land. These 470,000,000 acres of forestsome form of conscious forest management at land contain about 2,215000,000,000 feet ofabout 12,000,000 acres, or 5 percent of the timber of merchantable sizes. The federal gov-243,000,000 acres of privately owned timber- ernment owns approximately 89,000,000 acresland (exclusive of wood lots). Many foresters and the states, counties and municipalities owncontend that actually i percent of the private II,o00,000 acres, totaling 1oo,000,000 acres, orforest lands, or less than 2,500,000 acres, is 21 percent, held in public ownership. Thehandled on a continuous production basis. The remaining 370,000,000 acres, or 79 percent, are reluctance of private capital in the United States held in private ownership. to go into timber growing, especially of trees Of the 89,000,00o acres of timbered landof the large saw log size, must be explained by owned by the federal government about 81;historic, political and economic factors. The 000,000 acres are included within national for-time element together with the large capital ests definitely dedicated to timber growing.required in the growing of saw log timber and The aggregate area of national forests is aboutthe necessity for a continuous plan of manage- 139,000,000 acres but this includes large areasment renders the forestry business practical of grazing and brush land which are not tim-only to states, corporations and trust companies. bered. The remaining 8,000,000 acres are in In Europe large private forests originated national parks, national monuments, Indian andwith the landed aristocracy. These forests were military reservations and unappropriated public often entailed and were kept for generations domain. In addition there are some 21,000,000in the same family. They were a part of the acres of national forests in Alaska. The national estate and served not only as a source of raw forests represent the most stable forest owner-materials but also as hunting preserves. Other ship in the country and that most favorable toprivate forests in Europe owe their origin to the continuous production of timber crops. Ofsome industry dependent upon wood, particu- the 370,000,000 acres in private ownershiplarly the mining industry and more recently approximately 127,000,000 acres are farm woodthe pulp and paper industry. With the settled lots and the remaining 243,000,000 acres repre-conditions in the older European countries, sent the holdings of land and lumber companies,with fire danger practically eliminated and the mining companies, railroads, and other ownerscontinuous interest of the owners in the land who have in the vast majority of cases no per- itself supplemented by special laws prohibiting manent interests in the land except for thetimber cutting that would lead to forest de- merchantable standing timber on it. struction, private forests in Europe have es- One half of the privately owned commercialcaped to a large extent forest devastation and timberlands in the United States is held byproved a sound although conservative invest- approximately 250 large owners; the ownershipment for their owners. Nevertheless, in spite of the remaining timber is very widely dis-of all these favorable conditions for private tributed. While there are still a large numberownership of forests the experience of the older of individual owners of timber and sawmills countries has clearly shown that private interest operating as separate units, the larger interestsalone is insufficient to secure proper regard for are acquiring a more dominant place in lumberthe protective value of the forest cover and for manufacture, especially in the west. Althoughthe needs of the future. monopolistic conditions on any general scale During the nineteenth century there was a do not as yet exist in the lumber industry, thegrowing tendency to bring under public owner- degree of control of the remaining timber by aship forest lands whose preservation could not comparatively small number of large interestsbe safely entrusted to private interest. Norway, must steadily increase as timber depletion con- France, Germany, Belgium and Italy within tinues and may soon approach a monopoly,the last seventy -five years have greatly increased especially in the case of the diminishing supplythe area of publicly owned forests, and even of high grade material. the United States has recently undertaken a Reforestation of the cut over land and man-similar policy in the purchase of forest lands agement of the forests in private ownershipby the federal government and by individual in the United States is making very slow prog-states. About two thirds of all the forests of Forests 385 the world are owned by the public and onechological obstacles to private forest practise third is in the hands of private corporationsin the United States. The length of time which and individuals. In France proper 34.5 percentmust elapse before any expenditurefor timber of the forests are publicly owned; in the Frenchgrowing bears fruit, especially if one starts with provinces Alsace and Lorraine over 8o per-bare land, is great. Forest practise when it cent of the forests are public.In Germanybegins with an existing forest is a comparatively close to 52.7 percent of the forests are publiclysimple problem. With conservative methods of owned; in Italy 49.7 percent; in Belgium 38cutting, such as the removal only of the largest percent; in Denmark 52.9 percent;in the Sovietand ripest trees while leaving the younger Union all the land including the forestsisthrifty trees to obtain their full size, the forest national property. Canada has retained mostmay be perpetuated merely atthe cost of pro- of her timberland and can adoptconservativetecting it from fire. For the most part, however, methods of handling it without beinghamperedprivate forests have been cut of all merchant-. by conflicts with private property rights. able timber, especially within recent times, and With all the awakened interest in theimpor-as a general rule the cut overland has been tance of forests only to or 15 percentof therepeatedly burned. Nature left to itself may world's timberland is being handled as a renew-eventually restock the forest, but nature takes able, continuously productive resource;whileits own time and often chooses for its working 15 or zo percent additionalis more or lessmaterial kinds of trees which are not always protected from destruction but stillregardedthose economically most useful to man.On artificial as a timber mine;and the greater part, frommost of the cut over private lands 65 to 75 percent, receives no carewhatever.planting, which is an expensive measure, must Forests managed with a view toconservationbe undertaken. Even when nature alone restocks ¡ publicly owned foreststhe cut over land with desirable trees, a long are very largely either is ma- or private forests understrict public regulation.time must elapse before a timber crop Since it is now generally recognized inEuropetured-in the case of saw log timber from fifty is totallyto one hundred years. The averageinvestor that uncontrolled private initiative bring] unable to cope with the forest problem, somerefuses to spend money which cannot ownership isreturns for at least two generations.The prac- form of government regulation or With absolutely essential. tise of forestry also involves great risks. In the United States most ofthe privatetwenty to forty million acres offorests burned timberlands were formerly public domainwhichannually, with insect depredations over large land grants to the states,areas and with manyplant diseases rampant was parceled out as future the railroads and under variouspublic landthe investor's prospects for realizing on laws, such as the HomesteadAct, the Timbertimber values are not promising. and Stone Act, to corporations andindividuals. The heavy taxes levied upon forest land and The states also allowed most oftheir domainstanding timber are likewise an obstacle to reforestation. Although forest land yields no to pass into private hands.The interest of the and not in the land.dividends for many years it is taxed annually owner was in the timber the The timber was mined just as an ore,and afterby state, county and township, and with of the ownergrowing rates of taxation on all real property it had been removed the interest is often in the land itself ceased except forthe possi-the private timber owner in self- defense bility of selling it to settlers. The country wasforced to liquidate his standing timber as rap- idly as possible and to abandon his cut over new; population increasedrapidly; and most of the cut over land was supposed tobe divertedland for non -payment of taxes. Overproduction into agricultural use. The timber resourcesof lumber in the face of a diminishingsupply of Because seemed inexhaustible, and the lumbermenafterstanding timber is another deterrent. another.of the highly competitive organizationof the they cut over one region moved to and The use of the forest as a continuous, repro-lumber industry the efforts of the national pioneeringregional trade associations to controlproduction ducible resource never entered the is over- psychology of the lumberman, andmuch thehave had meager success. The result production of lumber, on the one hand,and same psychologystill prevails among the old generation of lumbermen, who areinterestedforest destruction without any provisions for renewal, on the other. To these drawbacks must only in immediate profits. and There are several distinct economic and psy-be added the uncertainty of future markets 386 Encyclopaedia of the Social Sciences the low returns from timber growing, whilenational forests will have to stand the brunt of higher returns may be obtained from equallysupplying most of the country's needs,espe- safe, if not safer, investments elsewhere. cially in high grade saw log material. The actual In order to encourage private forestry thetimber bearing portion of the national forests federal government has adopted a policy ofis not as large as the aggregate area of national cooperation expressed in the Clarke -McNaryforests would indicate; and much of this tim- and the McNary- Woodruff acts. Under thesebered land is at high altitudes, inaccessible, laws the government has attempted to providedifficult to log and of slow growth. The tim- better fire protection, devise a new basis forbered area within the national forests by itself forest taxation, conduct research in better utili-through the growth of timber alone will not zation of forest products, timber growing andbe sufficient to meet the needs of the country. control of insect pests and diseases, find new The destruction of the privately owned for- uses for inferior species and new markets forests besides depleting a natural resource essen- lumber, offer technical advice and demonstratetial to the welfare of the people is creating new through the establishment of national forestseconomic and social problems. The privately better methods of handling forest lands. Manyowned forests after they are cut over and, as a states have followed the example of the federalgeneral rule, repeatedly burned are abandoned government and have adopted similar policies.by the millions of acres by their owners and In some of them new forest tax laws have beenare drifting back into public ownership, into enacted and planting stock is being distributedthe ownership of the states and counties. In a either at cost or entirely free to any prospectivecertain sense a new public domain is thus being planter of forest land. created. This new public domain, however, is The group of private owners which showsnot the rich domain that passed out of the the greatest interest in the practise of forestryhands of the federal government. It is land is the pulp and paper industry. A sawmill isstripped of its valuable timber, ravished by easily depreciated within a few years and theforest fires, land that nobody wants and land timber operators move to another region. Athat needs to be brought back into productivity pulp and paper plant, on the other hand, is aat a considerable outlay of money and without costly investment which involves abundanttangible returns for a long time. The states, water supply and water power, and it must bewith the exception of a few richer states like assured of a definite perpetual supply of rawNew York, Pennsylvania and Michigan, are material. Moreover, the timber for the pro-financially unable to cope with this problem of duction of pulp can be grown in thirty to fortyabandoned cut over land. This is especially years, which is not too long a period in the lifetrue of the counties, which in the cut over of a large corporation. Similarly other industriesregions are for the most part in financial straits dependent upon wood, such as mining andand have barely enough funds to carry on the fruit growing, are likely to become interested business of the local government, to say nothing in reforestation and forest practise. In spite ofof an extensive program for the rehabilitation all the federal and state encouragement andof cut over land. Nevertheless, the only possi- the interest of the pulp and paper industrybility of economic redemption of the millions private owners have voluntarily placed onlyof acres of tax delinquent, abandoned and re- from i to 5 percent of their forest lands underverted lands lies in their reforestation and in forest management of any sort. their development for recreational purposes. According to estimates of the United StatesThe movement for creating state forests, county Forest Service four times as much wood isforests, game refuges and state and country removed from the forest or destroyed annuallyparks is gaining momentum in practically all as is returned by new growth, and in spite ofnortheastern states, largely both as a means of all conservation measures and talk the rate ofmeeting the needs of a constantly increasing destruction isstill increasing. It is estimatednumber of tourists and also as an outlet for that the visible supply of accessible timber inthe use of land which is crowding upon the the United States at the present rate of cuttingstates and counties. With a few notable excep- will last thirty -five or forty years. The only for-tions most of the state and county forests are ests that are being managed on a continuousforests on paper only, with no technical super- production basis are the national forests. Whenvision and no funds for their proper manage- the privately owned timber is exhausted, thement. The states, however, will eventually be Forests-Forster 387 obliged to undertake a comprehensive program Social Management of American Forests (New York 193o); United States, Senate, loth Cong., 2nd sess., of reforestation and recreational developmentDeforested America by G. P. Ahern, Senate Docu- of their newly acquired public domain. It mayment, no. 216 (1929). involve readjustment in the local units of gov- ernment, the evolution of new methods ofFORSTER, WILLIAM EDWARD (1818 -86), agricultural settlement, discovery of sources ofEnglish statesman. Forster attended Quaker taxation other than real property and the re-schools until his eighteenth year. In 1841 he distribution of the whole burden of taxationmade permanent business connections in Brad- before a proper solution to the cut over problemford, where he won a fortune as a woolen manu- is found. The economic process of the abandon-facturer. Early interested in philanthropic and ment of cut over land by the private ownersliberal enterprises, he became active in politics is merely a further proof of the folly of allowingsoon after going to Yorkshire and represented unrestricted exploitation of natural resources,Bradford in the House as a Liberal from 1861 particularly such as forests, which aside fromuntil his death. He was acquainted with such being an economic resource affect the climate,radicals as Robert Owen and Thomas Cooper, the stream flow, the recreation and health ofthe Chartist, and was active in Bradford in di- the people. recting the Chartist movement, with which he The soundness of the laissez faire policyexpressed moderate sympathies, into non -revo- with regard to the timber still remaining inlutionary channels. He played a role in the move- private ownership is now being seriously ques-ment for extension of suffrage and advocated tioned, but whether it should be replaced byabolition of slavery and protection of backward public acquisition of all private timberlands orpeoples against exploitation. As chief secretary by regulation of cutting on privately ownedfor Ireland and under Gladstone from 188o to land is still in the realm of discussion in the1882 he advocated the suspension of habeas cor- United States. There is, however, a unanimitypus in order to break the Parnell party and was of opinion in Congress, state legislatures andresponsible for the notorious Coercion Bill of now even on the part of the lumber industry1881. He was chairman of the Imperial Federa- as to the need of bringing the bulk of the cuttion League. His chief importance was in his over and devastated forest land under publicwork for the improvement of popular education. ownership. He sat on the Schools Inquiry Commission from RAPHAEL ZON 2864 to 1867 and was minister of education from See: LUMBER INDUSTRY; PAPER AND PULP INDUSTRY; 1868 to 1874 under Gladstone. In 187o he intro- NATURAL RESOURCES; PUBLIC DOMAIN; LANDED ES- duced and brought to passage the Elementary TATES; PARKS; LAND GRANTS; CONSERVATION; GOVERN- Education Act, which broke the old deadlock MENT OWNERSHIP; LAND TAXATION. formed by the radicals, who favored publicly Consult: Zon, R., "Forests and Human Progress"supported schools free to all, with compulsory in Geographical Review, vol. x (192o) 139 -66; United attendance and a secularized curriculum; by the States, Department of Agriculture, "America and church party, which desired publicly supported the World's Woodpile" by R. Zon and W. N. Spar - schools with instruction in the tenets and ritual hawk, Circular, no. 21 (1928); Zon, R., and Sparhawk, W. N., Forest Resources of the World, 2 vols. (Newof the Established Church; and by the Dissent- York 1923); Fernow, B. E., Economics of Forestryers, who opposed both secularization and the (New York 1902); Hiley, W. E., The Economics ofdominance of the state religion. Forster himself Forestry (Oxford 193o); Recknagel, A. B., and Spring, took a position much like that of the Dissenters, S. N., Forestry (New York 1929); United States, thus alienating radical sympathies. The act pro- Forest Service,Timber Depletion, Lumber Prices, Lumber Exports and Concentration of Timber Owner- vided for national grants in aid to existing volun- ship (3rd ed. 1928); United States, Department oftary agencies and for the creation of elective dis- Agriculture, "American Forests and Forest Prod-trict school boards to fill gaps in the educational ucts," Statistical Bulletin, no. 21(rev. ed. 1928); system by supplying elementary schools where United States, Bureau of Corporations, The Lumbervoluntary effort was inadequate. These were to Industry, 3 vols. (1913 -14); United States, Depart- ment of Agriculture, "Timber: Mine or Crop ?" bybe supported by local taxation and national W. B. Greeley and others, Yearbook Separate, no. grants in aid. In the board schools no denomina- 886 (1923), and "Some Public and Economic Aspectstional catechism or religious formulary was to be of the Lumber Industry" by W. B. Greeley, Report, taught, although the Bible was to remain. School no. 114 (1917); United States, Senate, 67th Cong., 4th sess., Select Committee on Reforestation, Re- boards were empowered to compel attendance of forestation, 8 vols. (1923); Marshall, Robert, Thechildren up to the age of thirteen. Despite its 388 Encyclopaedia of the Social Sciences compromise character and inherent contradic-It also contains an interesting analysis of the tions of principles this act began in England aorigins and nature of absolute and limited mon- movement toward an efficient and comprehen-archies, an analysis already begun in De natura sive system of public education. Forster repre-legis naturae. sented the extreme right wing of the Liberal De monarchia or The Governance of England movement and was unsuccessfully proposed by(ed. by J. Fortescue -Aland, London 1714, 2nd such elements to succeed Gladstone as party ed. 1719; new ed. by C. Plummer, Oxford 1885), leader. written about 1471, is a searching criticism of EDWARD H. REISNER the "Lancastrian experiment" in constitutional Consult: Reid, T. Wemyss, Life of the Right Honour-government and the causes of its failure. The able William Edward Forster, 2 vols. (London 1888); remedies which Fortescue suggested, in spite of Smith, Frank, A History of English Elementary Educa-. an element of fantasy, really presaged the policy tion 1760 -1902 (London 1931); Eversley, G. J. S. L., Gladstone and Ireland (London 1912). of the Tudors in advocating government by permanent councilors of humble birth instead FORTESCUE, SIR JOHN (c. 1394-1476), Eng-of by great lords and prelates. lish jurist and political theorist. Fortescue be- Fortescue was the first English lawyer to write came chief justice of the King's Bench in 1442for the lay reader and one of the first to embark and sat until 1460, when he espoused the Lan-upon comparative law and politics; nor is it an castrian cause. He remained in exile in Scotland,exaggeration to say that he really sought for "the Flanders and France from 1461 to 1471. Afterspirit of the laws" of England and France. the Lancastrian party collapsed in 1471 he was THEODORE F. T. PLUCKNETT reconciled with Edward iv and spent the lastWorks: The Works of Sir John Fortescue, ed. by few years of his life in England. His arguments Thomas Fortescue, Lord Clermont (London 1869). and decisions, one or two of which are of someConsult: Plummer, C., Part ii of his introduction to constitutional interest, are reported in the Year The Governance of England (Oxford 1855); Clermont, Books and the decisions have been translated by Lord, Introduction to his edition of Fortescue's works, Lord Clermont. p. 1 -55; Holdsworth, W. S., History of English Law, Fortescue's leading academic work, a lengthy 9 vols. (3rd ed. London 1922 -26) vol. ii, p. 566 -7,; Levett, A. E., "Sir John Fortescue" in The Social and treatise entitled De natura legis naturae, was Political Ideas of Some Great Thinkers of the Renais- written between 1461 and 1463 (ed. by Lordsance and Reformation, ed. by F. J. C. Hearnshaw Clermont, z vols., London 1864). It is a theo- (London 1925) ch. iii; Stubbs, W., Constitutional His- retical study, occasionally tempered with obser- tory of England, 3 vols. (vols. i and iii 5th ed., vol. ii vation upon the law and politics of the period. 6th ed., Oxford 1891 -1903) vol. iii, p. 257 -64; Skeel, His thought is characterized by its insistence C. A. J., "The Influence of the Writings of Sir John Fortescue," and Plucknett, T. F. T., "Place of the that the law of nature is purely mundane as con- Council in the Fifteenth Century," in Royal Historical trasted with divine law. Having established this Society, Transactions, 3rd ser., vol. x (1916) 77 -114, conception, he uses the law of nature as the basis and 4th ser., vol. i (1918) 157-89. of an argument for the Lancastrian dynastic claim. FORTUNATOV, ALEKSEY FIODOROVICH His life abroad stimulated Fortescue to un- (1856 -1925), Russian agronomist and statisti- dertake the comparative study of English andcian. Fortunatov studied medicine at the Uni- French law, both public and private. From 1468versity of Moscow and agriculture at the Pe- to 147o he wrote De laudibus legum Angliaetrovski Academy of Agriculture and Forestry. (1537; tr. by R. Mulcaster, London 1567), inHe then lectured on agriculture and statistics in which the English jury trial, limited monarchy, agricultural colleges in various parts of Russia legal profession and legal education are extolled and in 1904 joined the faculty of the Moscow in comparison with French law and institutions. Agricultural Institute (formerly the Petrovski He perceived, however, the connection betweenAcademy) as professor of agricultural statistics. law and economic and social conditions and ad-While in Moscow Fortunatov also taught at mitted that different countries might requireseveral other educational institutions and gave different types of law. Written to instruct theshort term courses for agronomists offered by young Prince Edward in the rudiments of lawthe zemstvos, the autonomous provincial bodies. and government, the elementary character of the Fortunatov brought to his work an amazing book makes it especially valuable for its descrip-erudition and remarkable ability. His mono- tions of jury trial and of the legal profession.graph Urozhai rzhi v Evropeyskoy Rossii (Rye Forster-Fortunes, Private 389 crops in European Russia) (Moscow 1893) im-classroom and the textbook by direct observa- mediately won a permanent place in Russiantion of the material and in independent study of statistical literature. But Fortunatov's chief im-sources. The numerous students attracted to portance rests on his activities as a teacher. Hehim, their many published studies and his in- trained a generation of agronomist statisticians.fluence on their subsequent work and thus on His teaching methods were largely the out-the organization of agricultural statistics all tes- growth of his training in the natural sciencestify to Fortunatov's achievements as a teacher. and differed widely from the teaching practises V. A. KOSSINSKY then followed in the social sciences; he had little Other important works: Selskokhoziastvennaya statis- use for the lecture or even the seminar method tika Evropeyskoy Rossii (Agricultural statistics of Eu- of instruction. He believed that the student of ropean Russia) (Moscow x893); 0 statistike (On sta- the social sciences should acquire an attitude tistics) (Moscow 1907, 3rd ed. 1921). toward his subject very similar to the attitude Consult: Kaufman, A. A., Statisticheskaya nauka o of the student of the natural sciences; that is, Rossii (Statistical science in Russia) (Moscow 1922) he should test the knowledge acquired in thep. 6o-62.

FORTUNES, PRIVATE ANTIQUITY CLEMENS BAUER MEDIAEVAL AND EARLY MODERN PERIOD JAKOB STRIEDER MODERN PERIOD LEWIS COREY

ANTIQUITY. Fortunes are accumulations ofPtolemies: the greater part of the land belonged wealth or property which constitute a privateto the monarch or to the state and the state mo- legal claim upon production and income. Thenopolized also the essential branches of industry size and form of private fortunes vary in differ-as well as large scale trade and finance. Such re- ent historical periods. The great fortunes of onestrictions and monopolies existed in nearly all period may be the commonplace accumulationsthe Hellenic states, although some of them left of another; land as the primary source of for-more room to private initiative in commerce and tunes yields to trade and industry, war and pil-finance. The opportunity to acquire fortunes af- lage to speculation. Variations may exist simul-forded by this system was open at first only to taneously, but in any given period a dominanthigh officials and later to the farmers of the state norm tends to develop. All these variations, in-taxes and monopolies. A representative fortune cluding frequency, are conditioned by prevailing of this kind is that of Apollonius, a royal minister economic and political relationships in whichof the Ptolemaic period and the owner of vast unequal distribution of wealth and income is atracts of land in Fayam; his fortune was founded persistent and fundamental characteristic. on royal gifts and multiplied by quite rational In pre -Hellenic Greece there were at first fewmodern methods. opportunities for the accumulation of wealth and Very great fortunes existed in Hellenic Asia the piling up of large private fortunes. Differen-Minor during the first century B.c., although in tiation developed in the size of landholdings,many cases it is impossible to trace their origin. however, and after the Peloponnesian War theFor example, Hero of Laodicea possessed a for- tendency to acquire relatively large holdings ap-tune of over a000 talents and Pythodorus of pears to have become stronger and to have beenTralles, a friend of Pompey, one of 4000 talents. accompanied by speculative buying and resell-That the opportunities for profitable money ing. It is also probable that the farming of taxtransactions constantly increased in the trade of collection and state mines proved to be the sourcelate Hellenic times is indicated by the steady in- of considerable profits. Nevertheless, the firstflux of Italians -most of them apparently Greeks real opportunity for acquiring large fortunesfrom southern Italy -into the most important outside of landownership appeared only withtrading fields of the eastern Mediterranean. the integration of a vast economic area and withTheir main activity was banking, particularly the opening of the East by Alexander the Greatexchange and loans -private loans in the form of and the Hellenic dynasties. To be sure, the newadvances on cargo and public loans in anticipa- opportunities for fortune building remained nar-tion of tax collections. Many of these financiers rowly restricted. The situation is exemplified byacquired large fortunes; Cicero's friend Marius the economic organization of Egypt under theCurius is an example. Trade intermingled with 390 Encyclopaedia of the Social Sciences war and piracy; Carthaginian merchants and MEDIAEVAL AND EARLY MODERN PERIOD. The politicians used efficiently the characteristic com-great Roman fortunes disintegrated with the col- bination of commerce and conquest and grewlapse of the empire. Industry regressed to primi- rich from the spoils and labor of subject peoples.tive forms, trade almost completely disappeared The Roman civilization produced no funda-and the new economic and political conditions mentally new form of wealth accumulation orwere unfavorable to the development of large type of fortune. Until the late period of the re-fortunes. public landownership on a large scale and tax From the early Middle Ages to the period of farming remained the only significant means ofthe crusades private fortunes appeared in Eu- piling up really large fortunes. It was only withrope predominantly in the form of landed pos- the conquest of the East and the formation ofsessions, i.e. the real property of a feudal class of the empire that interprovincial commerce be-ecclesiastical and lay landlords. Large money came important and provided opportunities forfortunes scarcely existed. The only significant large scale accumulation in maritime and tradingexceptions were represented by the Templars operations. At the same time the Romans highlyand the Teutonic Knights, the latter accumulat- developed the extra -economic but typical means ing great wealth through the export of agricul- of acquiring wealth: the collection of tributetural and forest products. As a general principle from conquered peoples and the exploitationnon -landed fortunes could develop only after the of provinces by the incumbents of high positionsproduction of goods for local needs developed in the administration. In the course of time taxinto regular production for profit. This was the farming became a monopoly of the militarycase toward the end of the Middle Ages with the class, and the considerable fortunes acquiredgreat English landlords, who during the period thereby were increased further by syndicate op-of enclosures adopted sheep raising for wool, erations. The wealth accumulated from mari-and with the nobility of Schleswig -Holstein, time and wholesale trade was also invested insome of whose representatives early accepted money lending and later quite frequently in land. capitalistic agriculture. In general, however, The amount of capital employed in money lend- large money fortunes appeared in the city, par- ing operations was quite large even in the lateticularly among a few great merchants of certain republican period; in Pompey's time the munic-Italian cities and a few cities outside of Italy, ipalities of Asia Minor were indebted to Romanwhich were developing as the key trading centers money lenders to the extent of $40,000,00o. of Europe. The possibility of building up large fortunes Jews represented a considerable percentage of by means of tax farming disappeared during thethese early possessors of money fortunes. The empire with the development of state machinerygreat majority of the large Jewish fortunes of the for financial administration. And after the thirdMiddle Ages developed from small beginnings century, with the steady decline of trade andin the trade in secondhand goods, pawnbroker - general economic regression, large fortunes wereage and the trade in precious stones and acquired possible only in the form of latifundia. Some ideagreater importance through loans to ecclesiasti- of the size of landed estates in the early period ofcal and lay princes. As early as the eleventh cen- the empire is given by Pliny, according to whomtury and during several pontificates a banking half the land of the north African province infamily of Jewish origin, which later took the Nero's time belonged to six great landlords.name of Pierleoni, played an extremely impor- Trimalchio, a typical business man of the time,tant role in papal finances. Early in the Middle drew an enormous revenue from the wine tradeAges the Jews recognized the value of accumu- and ownership of latifundia. Seneca, the richest lating wealth on a large scale by financial deal- man of Nero's reign, combined in a character-ings with the lay princes, particularly in England istic fashion the exploitation of latifundia withand the Iberian Peninsula. To be sure, this was money lending on a large scale. Fortunes, par-almost nowhere accomplishedundisturbed; ticularly in the earlier period of the empire, weremore or less extensive confiscations by princes enormous, some as much as 400,000,000 ses-and state authorities repeatedly interrupted the terces, or $16,000,000 -large even according togrowth of Jewish fortunes. modern standards. Wealth was the badge of dis- The growth of non -landed fortunes in Chris- tinction; the amounts of their wealth and incometian ownership during the Middle Ages was also were inscribed on the tombstones of rich men.subject to interruption by confiscations, either CLEMENS BAUER openly or in the masked form of forced loans. Fortunes, Private 391 A part of these fortunes originated in dealings inmerchants of the fifteenth and sixteenth centu- money. All over Europe moneychangers andries -the Medici, Grimaldi and others -had not money lenders from Lombardy andfrom Cahorsbeen able to pile up fortunes so great as that in southern France set up their tables for the ex-possessed by the Fugger family corporation at change of money and pawnbrokerage; with thethe height of its affluence -in 1525 about z,000; growth of their "banks" they were able fre-000 and in 154.6 nearly 5,000,000 Rhenish gold quently to engage in the business of high finance.guldens. These great money fortunes, both Ger- These developments provided many opportuni- man and Italian, were partially destroyed during ties for the accumulation of great private for-the second half of the sixteenth and the first half tunes, particularly where certain state revenues,of the seventeenth century by the national bank- such as tolls, coinage and taxes, were transferred ruptcies of that period. Thereafter a more rapid to creditors in payment of their loans. development of private fortunes appears in the Trade played a more important part thancircle of "national" or at least nationalized mer- money changing and loans in therise of non-chants and financiers. In England the wealthy feudal fortunes. During the crusades variousgoldsmiths of London replaced the Italian bank- merchants from central and northern Italy builters as professional money lenders to the crown. up an exceedingly profitabletrade with the Le-In the France of Mazarin's day two members of vant, and this was followed by the growthof cap-the famous Augsburg merchant family of Her - italistic export industry in dozens of Italianwart were still the strongest financial pillars of cities. This foreign trade yielded enormous prof- the state, but they had already become com- its, particularly the oriental trade in luxuries.pletely Gallicized. The Herwarts combined the In Venice and Genoa the Italian mercantilefor- roles of bankers and state officials-comptrollers tunes advanced rapidly until theyreached thegeneral of finance -and considerably increased peak of their development and also their highesttheir already large and powerful fortunes. Even political and economic importance in the largemore successful were the native Frenchprofit- international and financial transactions witheers in the financial needs of the state, thefarm- popes and kings. During theMiddle Ages anders general: as farmers of taxes and state reve- well into the sixteenth century in Italy and othernues (such as Fouquet, Rambouillet, Nogaret economically advanced countries ground rentsand others) they acquired such enormous in- were not essential to thebuilding up of greatcomes in a short time that one is forcibly re- bourgeois fortunes; in fact, landownership wasminded of the lucrative tax farming of antiquity, important from this point of view only as theespecially in the Roman Empire. Both Richelieu means of safeguarding wealthand strengtheningand Mazarin accumulated large fortunes by credit. There was at the same time a growth inmeans of their political power. the fortunes of the feudal monarchs and nobility Disintegration of the feudal system and the as a result of the generaleconomic expansion. rapid development of capitalist enterprise ac- In the sixteenth century the great south Ger-celerated the growth of private fortunes, although man merchants, the Fuggers,Welsers and Baum - these were still closely linked to the old order. gartners, took their place alongside theItalians The domestic financial machinery in France, in the leadership of trade, industry and high fi-England and Germany, even in Holland in the nance after they had laidthe foundations of theirseventeenth and eighteenth centuries, was in- large fortunes in petty trade and had increasedadequate to satisfy the increasing national and them, through fortunate profits from the miningeconomic needs for mobile funds. A system of industries, to the proportions necessary for theinternational finance was indispensable. Such a transactions of international finance. To a muchsystem was slowly arising among the Jews and greater extent than in the period of theGermancreated new European fortunes. In England the Hansa, capitalistic industry and internationalJewish financiers after a hundred years of exile finance -especially in the two world bourses ofwere readmitted under Cromwell torelieve the the sixteenth century, Antwerp and Lyons -op-financial straits of the Long Parliament; these erated to produce great wealth and privatefor-financiers occupy an important place in the his- tunes and also to destroy themby state bank-tory of English private fortunes. ruptcy. The forces of feudal disintegration and com- The developmentof European fortunesmercial revolution had been powerfully acceler- reached its climax during the sixteenth centuryated by the discovery of the New World, which in southern Germany. Even the richest Italiangave an enormous impetus to theaccumulation 392 Encyclopaedia of the Social Sciences of wealth and the growth of large fortunes. Eng- British crown the accumulation of large land- lish sea trade and colonial enterprises, includingholdings continued, although some of the older trading companies, plantations, the conquest ofones were broken up. Entailing of land was ex- India, piracy and the slave trade, opened up newtensively practised. The colonial manorial es- sources for the rise of private fortunes; the Span-tates represented the transplantation of an essen- iards acquired immense riches from the gold andtially feudal type of fortune, but they functioned silver of the New World. Colonial enterprise ap- in an environment which the commercial revolu- peared earlier in Holland and brought greattion of the seventeenth century was rapidly wealth; the Amsterdam Bourse, that great goldtransforming into a capitalist economy; in fact, reservoir which in the eighteenth century re- they depended for the profitable disposal of their plenished the empty coffers of the princes ofproducts upon trade with England. half of Europe, provided rich Dutchmen and the Another source of private fortunes was over- international owners of large money capital withseas trade, which carne to occupy a prominent a field for the profitable investment of theirplace toward the end of the seventeenth century. funds in colonial as well as European enter-By 168o there were thirty merchants in Massa- prises. French money was also active in colonialchusetts each worth between $50,000 and $x00; enterprises, although less so than money from000. The fur trade, which supplied the growing other countries. In Germany the older methodsluxury demands of the European aristocracy of were still the more important, and the larger andblood and money, yielded large profits, mainly smaller courts afforded increasing opportunitiesfor the masters of the Hudson's Bay Company to the so- called court Jews for making fortunesin England. The slave trade, which never before by financing the trade in luxury goods and pro-had been organized on such a vast scale, was a viding credit for munitions and army supplies. particularly fertile source of large private for- In these developments of the commercial rev-tunes. Money lending and a crude form of olution one can see gradually emerging the typ-banking developed to meet the needs of com- ical forms of the great modern private fortunesmerce, constituting another source of accumula- which arose during and after the industrial revo-tion. By the time of the American Revolution lution, growing out of large scale manufacturing, mercantile fortunes were disputing supremacy promotion, speculation and the unearned incre-with landholding fortunes, although land still ment from urban and rural landholdings pro-enjoyed social recognition as the dominant form duced by industrial development. of wealth. The father of James Fenimore Cooper JAKOB STRIEDER owned a manorial estate of huge proportions and boasted that there were "some 40,000 souls hold- MODERN PERIOD. While in seventeenth cen- ing land directly or indirectly under me." tury Europe fortunes were piled up out of trade, The revolution dispersed some fortunes, par- finance and industry, accumulation in the Northticularly among the loyalists whose estates were American colonies assumed at first the moreconfiscated, but others became larger and new primitive form of large landholdings. Spaniardsones were created, mainly by financiering, spec- acquired fortunes by plundering the Aztec andulation and privateering. One revolutionary pri- Inca civilizations, but farther north there wasvateer, Israel Thorndike, later increased his only land to wrest from the aborigines. The Eng-wealth from mercantile and manufacturing en- lish kings gave title to vast domains to theirterprises, accumulating a fortune of $1,800,000. favorites, usually pauperized aristocrats, whoSpeculative fortunes were enormously aug- combined with merchant capitalists to exploitmented when the new federal government as- the grants. Alongside and within the proprietarysumed $70,000,000 of national and state debts; grants great landed estates were created. In themost of the bonds were in the hands of a few New Netherlands the Dutch also built up largespeculators, who had bought them at ro to 15 landholdings; the 700,000 -acre estate of Killiaenpercent of their face value. Mercantile fortunes van Rensselaer was not unusual. These manorial based upon the expansion of trade and industry estates were worked with the aid of tenants andincreased swiftly after the revolution, and manu- indentured laborers. Farther south the planta-facturing fortunes made their appearance. One tion system was based on Negro slavery; thuscapitalist amassed $130,000 from the glass in- some of the earliest colonial fortunes in Virginia dustry and another $400,000 from the furniture were based on the cultivation of tobacco by slaveindustry. Stephen Girard, who left a fortune of labor. Even after the colonies reverted to the$7,000,000, derived his wealth largely from Fortunes, Private 393 speculative manipulations in trading, shipping,fortunes began to emerge, based upon the de- banking and manufacturing enterprises. velopment of industrial and financial capitalism. With the further development of capitalist en- Modern capitalist fortunes appeared much terprise fortunes based on agricultural land- earlier in England. Immense wealth had poured ownership definitely receded in importance .Theinto England from overseas enterprise and char- protests of tenants forced legislationbreaking uptered companies such as the Africa Company the manorial domains, and the earlier abolitionand the East India Company, most of which com- of entail and primogeniture had a similareffect. bined trade, slaving and colonial plunder; the As large agricultural estates disappeared in thegreat wealth acquired by English adventurersin east, land fortunes came toconsist of urbanIndia led to the use of the term nabobs to desig- realty holdings the value of which increasednate the newly rich. Security speculation made enormously with the rapid growth of cities. possible by the rise of joint stock companies cul- Similar fortunes arose in the west -in Chicago, minated in the organization in 171r of the South Cincinnati and St. Louis. According to a listSea Company, the promoters of which were published by the New York Sun in 1846 of themainly wealthy merchants. When the South Sea 19 New York millionaires whoowned an aggre-bubble burst, as its predecessor the Mississippi gate of $65,000,000, 8, includingJohn Jacobbubble had burst in France, thousands of people Astor and E. van Rensselaer, were landownerswere ruined but the insidersrealized handsome and 7 were merchants. But the original accumu-profits. Meanwhile, in the nooks and crannies of lation of Astor, whose fortune of $zo,000,000the English economy forces accumulated which was the largest in its time, camefrom the orien-were to create new sources of riches, tochange tal trade and the fur trade, and it was multiplied the form and increase the size of private fortunes. by speculation in New York real estate. Accord-The industrial revolution not only multiplied ing to the same list, of the 78 fortunes of $500,-wealth but also accentuated its concentration. 000 and over in New York Cityz6 were ownedThe earlier fortunes directly connected with the by merchants, 17 by landowners, 5 by manufac-industrial revolution were made by new men; turers, 4 by bankers and 3 by brokers. only after the new industries were successfully The merchant capitalist was now the domi-established did they prove attractive to the rich nant type. Fortunes based directly onmanufac- families of older standing. But the industrial rev- turing were still rare; a contemporary chronicleolution also enriched aristocratic landowners said of one rich man that he had "managed,whose lands contained deposits of coal, iron strange to say, to obtain large profits and wealth"and other minerals, and whose ancestral privi- from manufacturing. In 1845 of 9 Boston mil-leges enabled them to levy tribute on economic lionaires only z engaged in manufacturing. Butprogress. The earliest of the newcapitalist for- the designation merchant covered at the time atunes arose out of the coal and ironindustries. multitude of interests. While merchants did notAlthough Henry Cort, whose processes trans- pioneer manufacture, which was still consideredformed iron making, died a poor man, the iron - risky, they financed the distribution of its prod-masters who violated his patents amassedhuge ucts and secured thereby a large shareof thefortunes. One ironmaster, who started "at the manufacturing profits. Thus in 1834, 85 percentbottom," died in a castle and left £1,500,000. In of the Boston merchants were closely connected the districts of south Wales, where the new in- with manufacturing enterprises. Differentiationdustrialism flourished most vigorously and where proceeded steadily, however; many merchantslabor and social conditions, according to one became industrial capitalists and others aban- authority, combined "the worst features of the doned trade for finance. The great American in- industrial revolution," men in a few years vestment banking houses were originally mer-amassed fortunes of unprecedented size. The cantile firms; George Peabody gave up trade forgrowth of textile factories in England destroyed international finance and acquired a fortune ap- the village economy of India based on handicraft proaching $10,000,000 out of the American needweaving but it also produced another crop of for foreign capital. Merchants and bankers pro-millionaires. One fortune of £5,000,000 had its moted railroads, the rapid development of whichsource in the manufacture of carpetsby machin- offered an unexcelled opportunity for profit; andery. In the succeeding generationssteamships Jacob Little was already demonstrating how aand railroads provided new means for the accu- fortune might be acquired by railroad manipula-mulation of wealth. George Hudson secured for tion and speculation. The characteristic modema while a large fortune byunscrupulously ex- 394 Encyclopaedia of the Social Sciences ploiting the railway boom of the forties with itsimportant colonial officials usually retired as consolidation movement. Investment bankerswealthy men. The extremely rapid industrializa- (Rothschilds, Barings) garnered great profitstion of Germany was the basis of several large from the export of capital for government loansfortunes. Alfred Krupp, who inherited an iron and for financing railroad construction on thebusiness with neither capital nor credit and only continent, in the United States, in Latin Ameri-four workers, became one of the richest of Euro- ca. Never before had wealth and fortunes piledpean capitalists. Krupp's fortune was fed from up so swiftly as in capitalist England betweenthree sources: industry's enormous demand for 1815 and 186o, and never were the conditions ofiron and steel, the industrialization of war and the working class more miserable. At the samepolitical favors. The Siemens family amassed a time land fortunes still remained powerful; evenfortune from invention and expansion in the after the Reform Bill of 1832 land representedelectrical industry; the Rathenaus, from electric political power and social prestige. While aristo-light and telephones; others, from the develop- cratic landowners had their wealth increased be-ment of the chemical industry. No great Ger- yond the dreams of their ancestors by industrialman fortunes, however, were identified with de- and urban growth and by corporate investments,velopment of the railroads, which in the period industrial and financial capitalists bought landed of greatest expansion were owned by the govern- estates in order to qualify for titles and socialment. Aristocracy in Germany, almost as much position. as in England, allied itself with capitalism and Capitalist development on the continent thrustenormously increased its wealth. The feudal up new fortunes and increased the size of oldlandowners of Upper Silesia, for example, piled ones, paralleling English developments on aup great fortunes by the exploitation of coal, smaller scale. As the financial manipulations ofiron and other minerals on their estates; others the Rothschilds spread beyond Germany, theyparticipated in industrial and speculative enter- became the most powerful factor in the circles of prises, often of the most shady character. Feudal high finance. At the end of the eighteenth cen-Russia felt the impact of economic change, and tury they were worth only $450,000, but withmerchants, often illiterate, acquired great for- the development of capitalism they broadenedtunes by trading and speculating in agricultural the scope of their operations and immensely in-and forest products; the great fortunes, however, creased their wealth. Thus between 1817 andwere still aristocratic; the wealth of one noble- 1848 the Rothschilds placed loans of $650,000,-man amounted to $200,000,000. 000, often at to percent interest. Their function By 1880 the industrialized nations of Europe may be described as the mobilization for capital- -Great Britain, Germany, France and Belgium ist investment of the wealth of the feudal and-were actively engaged in the struggle for im- semifeudal aristocracy based on precapitalistperialistic supremacy which led inexorably to forms of exploitation. The spread of industrial-the World War. Imperialism, the predatory as- ism and corporate enterprise encouraged promo-pect of the industrialization of the world's econ- tion and speculation, the sources of many con-omy, became a most important factor in the temporary fortunes. The Crédit Mobilier, whichformation of private fortunes. Capitalist indus- offered competition to the Rothschilds, paidtry came increasingly to depend upon overseas dividends of 12, 40 and 22 percent from 1854 totrade, the export of capital and the exploitation 1856 and then crashed. France under Louis Na-of economically backward countries as the source poleon was the paradise of unusually corruptof cheap raw materials and even cheaper labor. and predatory promoters and speculators (in-Immense profits were made in China by finan- cluding the emperor); other fortunes were de- ciers, promoters, speculators and ordinary ad- rived from more prosaic activity in industry,venturers. Bankers and speculators made large particularly coal, iron and textiles. All over the profits out of the financial and political intrigues continent railroads were built, preparing the of the Berlin- Bagdad Railway, which sharpened way for industrialism and enriching their pro-imperialistic antagonisms. The Mannesmanns moters. Holland was no longer the importantprofitably exploited iron mines in Morocco, power it had been in the sixteenth and seven-which brought Germany and France to the verge teenth centuries, but the Dutch merchant capi-of war. Construction of railroads in Asia, Africa talists continued to draw wealth from the exploi-and Latin America yielded profits which in tation of their colonial possessions; the Dutchmany ways suggested tribute levied upon the East India Company created many fortunes, andconquered. A cabal of Belgian aristocrats, finan- Fortunes, Private 395 ciers and speculators, headed by King Leopold, ceeded £25,000,000. Private fortunes in Ger- drew immeasurable wealth from the mercilessmany were smaller than the English but larger exploitation of men, women and children in thethan the French; the five greatest German for- Congo. French and Belgian financiers profitedtunescombinedrepresentedapproximately from the construction of the Trans -Siberian and700,000,000 marks. Although agricultural land the Chinese Eastern railroads in Asia. Thein England became more and more unprofitable, mounting needs of industry for raw materials -aristocratic landowners with estates in mining or oil, tin, copper, rubber -produced some nativeurban districts were extremely wealthy; five as well as many European fortunes; a landhold-dukes and two earls owned property valued at ing family in Chile increased its wealth to $70,-£70,000,000. The Duke of Westminster, who 000,000 by the exploitation of minerals and aowned large parcels of London land, had an in- Bolivian family amassed a fortune of over $zoo, -come of nearly £zoo,000, mainly from rents. A 000,000 from tin mines. Argentine cattle rancherssimilar development was characteristic of the and Portuguese planters in Africa each in theircontinent. In 1913 three of the five greatest for- way profited from international economic de-tunes in Germany were aristocratic: the Krupps velopments; Argentine millionaires became al- led with 283,000,000 marks; Prince Henckel von most as famous as the American. A German,Donnersmarck followed closely with 254,000; Alfred Beit, piled up a fortune conservatively00o marks; then came a financier, a grand duke estimated at $150,000,000 from the gold andand finally the kaiser with 140,000,000 marks. diamond mines of South Africa. Beit's businessThe majority of private fortunes in Europe were partner, Cecil Rhodes, made £1,000,000 in fourcapitalist, however; even the fortunes of the aris- years, mainly by consolidating diamond mines;tocracy were dominantly capitalistic in character. Rhodes' British South Africa Company extorted Great as were the European fortunes they profitable concessions from the natives and in-were much smaller than the fortunes piled up in extricably merged business interests with im-the United States after the Civil War, which perialism. The basis of empire, said Rhodes, isstrengthened capitalism economically and liber- "philanthropy plus 5o percent "; his imperialisticated it politically. Negro emancipation and re- schemes led directly to Britain's war against theconstruction destroyed the great land fortunes Boers and the annihilation of their independence.in the south, where accumulation had to begin An aspect of imperialism was the aggravation ofall over again, but in the north accumulation competitive armaments; fortunes based on thebased on capitalist industry attained unprece- armament industries increased greatly. dented dimensions. American capitalism ex- While capitalism produced the characteristicpanded more rapidly and on a larger scale than modern fortunes in European countries and theelsewhere. Relatively unhampered by vested in- United States, older types of fortunes persistedterests of long standing and by the culture of an elsewhere, although modified by capitalist influ-older civilization, armed with an almost "pure" ences. In Asia, Africa and Latin America theacquisitive ideology which justified unrestricted piling up of landholdings represented the typi-money making, it drew upon the apparently in- cal form of accumulation. Chinese merchants exhaustible natural resources of an undeveloped amassed great wealth, particularly in the Euro-continent exploiting them with the aid of large pean colonies of the Pacific. Personalexploita-masses of immigrant labor provided by Europe. tion of political power yielded large fortunes to Appropriation and exploitation of vast natural Porfirio Diaz of Mexico and Juan Vicente Gó-resources was of fundamental importance in the mez of Venezuela; the Venezuelan, who was aformation of very large private fortunes. The poor man when he became president in1908, Weyerhausers, whose wealth in 1914 was estim- had a fortune twenty years later estimated atated at $300,000,000, were identified with timber $300,000,000. Both Diaz and Gómez maintained and allied resources, other great fortunes with intimate relations with foreign concessionairescopper, land, lumber, coal and oil. Most of the and financiers. natural resources were originally part of the In 1902 there were in France 15,00o fortunespublic domain, which in 1860 still consisted of of 1,000,000 francs and over. In the same year 1,048,000,000 acres; but they came under the the United Kingdom reported 273 inheritancescontrol of private interests by "the benevolent of £80,000 and over, which included 22 of £50o-paternalism of a government" which, in the 000 and over -an indication of the greatsize andwords of Charles A. Beard, "sold its natural re- number of private fortunes, some of which ex-sources for a song, gave them away, or permitted 396 Encyclopaedia of the Social Sciences them to be stolen without a wink or nod... .tion yielded the promoters profits of at least The public land office of the United States was$150,000,000. Profits of this type were often little more than a center for the distribution offortuitous; in order to prevent the revival of plunder." Not only entrepreneurs became richminous competition Andrew Carnegie was paid by exploitingnaturalresources;somnolent$447000,000 for his steel interests, twice what farmers acquired wealth overnight by the dis-he would have accepted two years previously. covery of oil or minerals in their lands. Fortunate investors in some of these combina- Many great fortunes were wrested from thetions became wealthy, others were ruined; but railroads in the period following the Civil War. moderate fortunes steadily increased. By 1900 Yet the legitimate construction costs of Ameri-the industrial capitalist had become a financial can railroads up to 1880 were more than paidfor capitalist interested in a multitude of enterprises, by federal, state and municipal contributions ofpromoting, speculating, financing. The Stand- $700,000,000 and grants of 155,000,000 acres ofard Oil group of multimillionaires, an oligarchy publiclands.CorneliusVanderbilt'sgreatdominated by John D. Rockefeller, engaged ex- wealth came almost exclusively from speculatingtensively in promotion and speculation; "their in railroads and watering their stocks as an ac-resources are so vast," said one financier, "there companiment of consolidation; he left $100;is an utter absence of chance" in their manipula- 000,000 and one of his sons $200,000,000. Thetions. Another source of great fortunes (Drexel, Crédit Mobilier extorted from the Union PacificMorgan, Stillman) was investment banking, Railroad more than $40,000,000 in excessivegrowing with the expansion of corporate enter- construction costs, which was distributed amongprise and allied with promotion. promoters and politicians. Jay Gould's fortune The swiftly rising stream of national wealth of $72,000,000 came mainly from railroad specu-also provided many minor opportunities to ac- lation and manipulation and was identified withcumulate fortunes -patent medicines, journal- scarcely any constructive achievement. Collis P.ism, the law. Moderate wealth was amassed by Huntington and others exploited the railroads incorrupt politicians, but on the whole politics similar fashion. When speculation, mismanage-favored predatory business men more than cor- ment and competition drove the railroads intorupt politicians; it served the capitalist class in bankruptcy, wages were cut and thousands ofgeneral and special capitalist groups in particular. small investors were ruined but reorganizationsThe beginnings of American imperialism swelled yielded large profits to financiers and promoters.the stream of wealth; William R. Grace ac- Part of the Morgan money and power came fromquired a substantial fortune by industrial and this source. Other great fortunes (Hill, Harri-financial enterprises in Peru, and after 1900 an man) were piled up by the consolidation of rail-increasing number of American fortunes were roads into gigantic systems during the periodderived from exploitation of the natural resources from 1895 to 1905. and peoples of Mexico and other Latin Ameri- While the older fortunes did as a rule no eco-can countries. nomic pioneering, inventions revolutionized one In 1892 the New York Tribune published a industry after another and men of small capital list of 404.7 American fortunes of $1,000,000 and who entered the new industries at an early stage over. A classification based on this list shows of their development amassed immense profits.quite clearly the change in the character of Cyrus McCormick acquired a large fortune inAmerican fortunes since 1845. Of the 4047 mil- developing agricultural machinery and Georgelionaires, 1140, or z8 percent, were identified Westinghouse in electrical manufacturing. Thewith manufacturing; among them were 93 pat- Standard Oil Company between 1882 and 1906 ent medicine manufacturers, 81 brewers and 58 paid out $548,436,000 in dividends and otherpublishers. The next largest group, merchandis- millions were represented by equipment anding, numbering 986 millionaires, represents an cash resources; the company's stockholdings at extremely broad classification, since most of the the time were highly concentrated. Technologi-great merchants engaged in other enterprises as cal changes, large scale production and competi-well; thus of Marshall Field's $120,000,000 estate tion drove inexorably to industrial concentration his interest in Marshall Field and Company was and corporate combination. The profits of or-valued at only $3,400,000, the balance consisting ganizing combinations were astonishing; the se-of investments in real estate and 150 industrial, ries of combinations in the steel industry which public utility and financial corporations. There culminated in the United States Steel Corpora-were also 468 fortunes connected with real es- Fortunes, Private 397 tate; 410 with transportation and communica-vast aggregation of wealth. Inflation and defla- tion, including 186 railroad and iz telephonetion wrought similar results in other European and telegraph magnates; 356 with banking, bro-countries but on a smaller scale. Because of eco- kerage and insurance; z68 with mining, of whichnomic crisis and decline accumulation in post- 72 were based onthe production, refining andwar Europe consisted mainly in the redistribu- transporting of oil; and 168 with forest owner-tion of existing fortunes; new fortunes were based ship and lumber manufacture. Of the 84 million-on financiering and speculation, although the aires who derived their fortunes from agriculturegrowth of certain industries, such as munitions, 47 were western cattle ranchers, a groupofelectric power and automobiles, played a con- whom President Roosevelt's land commissionsiderable role. said that "hardly a single title is untainted by In the United States the post -war period was fraud "; 15 were owners of plantations in thecharacterized not only by a large increase in na- south; and 6 owned plantations in Latin America.tional wealth and income but also by an un- The professions contributed 73 fortunes ofequaled growth of great private fortunes. The $1,000,000 and over; 65 of them belonged tocauses must be sought in an unusually rapid ex- lawyers, mostly corporation lawyers, and onlypansion of several new industries, such as auto- 3 were based on accumulations of patentmobiles, radios, chemicals and moving pictures; royalties. The remaining 94 fortunes were ob- a parallel growth of certain older industries, such tained from a great variety of pursuits, the onlyas electric power; and a great increase in labor homogeneous group of any size being repre-productivity of which only a small share accrued sented by 24 hotel and restaurant owners. Thisto wages. This rapid economic expansion pro- accumulation of great wealth outstripped im- duced an immense increase in speculation, which provement in the conditions of workers andconstituted one of the most fruitful sources of farmers. accumulation. Speculative gains reported by in- The World War and its aftermath profoundlycome taxpayers increased from $1,172,000,000 affected the formation and growth of private for- in 1923 to $4,556,000,000 in 1929; one half of tunes. In the United States the number of per-the income of persons with incomes of $100,000 sons with yearly incomes of $100,000 and overand over was derived from speculative gains. increased from 2290 in 1914 to 6633 in 1916. Large profits were realized also from the wave of During the period of American participation inmergers and combinations which swept the the war accumulation was not so great becausecountry before the crisis of 1929. The number of of severe taxation and the depreciation of fixedincomes of $5o,000 and over rose from 12,452 in incomes, although fortunes connected with war 1923 to 38,65o in 1929 and incomes of $roo,000 industries and speculation increased tremen- and over rose from 4182 to 14,701, accompanied dously and many new fortunes were created.by a substantial increase in the unequal distribu- European developments were similar. Then rev-tion of income. On the basis of income statistics olution and inflation on an unparalleled scalethere are approximately 35,000 millionaires in brought profound changes. The communist rev-the United States compared with 7000 in Great olution in Russia resulted in the confiscation ofBritain and considerably fewer in other coun- great private fortunes with the general expropri-tries. In 1929, 504 American multimillionaires ation of the feudal and bourgeois classes, whilewith incomes of $1,000,000 and over possessed the Succession States broke up the large estatesclaims to wealth amounting in the aggregate to of German and Austrian aristocrats; in other$35,000,000,000, or one third more than the na- countries, particularly in England, severe taxa-tional wealth of Italy. The wealth of these great tion brought about a similar shrinking of manyprivate fortunes is represented by investments in landed fortunes. During the inflation period inan extremely diversified group of corporate en- Germany many private fortunes were completelyterprises with a backlog of government securi- wiped out and none escaped intact. Out of theties; landownership is relatively unimportant ex- general ruin a few monstrously large fortunescept in the case of a few fortunes based on urban arose. Operating by means of paper mark creditsrealty. Since the war imperialistic expansion has Hugo Stinnes pyramided his purchases of dis-become increasingly important; in 1930 Ameri- tressed properties until he was in practical con-can foreign investments (excluding war debts) trol of 1535 enterprises in mining, manufactur-amounted to $17,500,000,000, ownership of ing, transportation, finance, and journalism; butwhich is concentrated in the larger private for- deflation and his sons' incapacity destroyed thistunes. 398 Encyclopaedia of the Social Sciences The characteristic form of modern capitalist countries, effectively escapes such responsibili- fortunes -paper claims upon wealth and income ties. Even if he owns a large block of securities -contrasts sharply with older types of fortunes.in a particular enterprise he may plead -as he The wealth of the aristocracy was bound up withdoes on occasion -that the responsibility is not land, the accumulations of industrial capitalists his but that of the management. These economic with particular enterprises; both had a tangibleand social changes are accompanied by a change form and definite habitation . Contemporary cap-in the forms of conspicuous consumption char- italist fortunes, on the contrary, are liquid, mo-acteristic of private fortunes; it becomes more bile, intangible, bound up simply with generalindividual and personal in contrast with the rights of ownership. At the basis of this develop-many social aspects of conspicuous consumption ment are the concentration of industry, the in ancient and mediaeval civilizations. separation of corporate ownership and manage- The rich man of the twentieth century is not ment and the transformation of the industrialonly separated from direct contact with produc- capitalist into the financial capitalist. One aspect tion and its social obligations but he also plays a of these changes is the separation of great family minor role in the cultural life of society. In the fortunes from the particular enterprises withpast great private fortunes were important cul- which they were identified in the earlier stages oftural influences; formal culture was closely linked capitalism. This process has gone farthest in the to the courts of the rulers of antiquity, the castles United States; industrial family fortunes per-of the feudal lords in the Middle Ages and the sisted much longer and on a larger scale in Eu-social activities of the princes of commerce and rope, but even there separation proceeded rap-finance in the succeeding centuries. This influ- idly after the World War. This increasing in-ence must not be exaggerated; but while no tangibility of ownership contributes to the illu-creative role can be attributed to wealth as such, sion that family fortunes are disintegrating.the rich formerly actively encouraged culture Family fortunes on the whole do not disappear,and served as its conspicuous representatives. although split up among many heirs, but tend to This can scarcely be said of the possessors of lose the dynamic character of the original accu-large fortunes who constitute the isolated and mulation and seek safety in investment counsel,exclusive coteries of contemporary American trust companies and government securities. This"society." In the United States private wealth is especially true of the fortunes of women, thestill exerts considerable indirect influence in number of which is increasing mainly as a result education, social work, organized religion and of inheritance, insurance and divorce settle-other fields; but in countries of older civilization, ments. It has been estimated that trust compa- where the welfare and cultural activities of gov- nies in the United States are more or less activelyernment cover a much wider area than in the engaged in the management of fortunes amount- American community, such opportunities are ing to $25,000,000,000. The development ofmuch more restricted. trust companies and diversified investment in- Great private fortunes are an extreme mani- sure greater stability for private fortunes. festation of the unequal distribution of wealth, These fortunes are separated from direct par-of which poverty is the other extreme. They con- ticipation in industry; their owners constitute astitute a social relationship sustained by law and class of investors, absentee capitalists, whileinseparably bound up with private property and management and control are institutionalized.class rule. All legislative attempts to limit the Because of this the possession of fortunes doesgrowth and size of private fortunes have failed; not generally carry responsibilities with regardthus they increased tremendously in the United to the source from which the wealth is derived. States following the introduction of inheritance The lord of the manor had definite obligations,and income taxes. There are checks upon pri- either legal or customary, to the tenants on his vate fortunes in the movement of economic forces land, the serfs who cultivated his demesne and(price fluctuations, economic decline) and in householdservants.Wheretheindustrialconfiscation, of which a partial form is unusually capitalist recognized obligations to the workerssevere taxation; but the general tendency is to in his factory or the consumers of his product,increase, since private fortunes are inherent in they were forced upon him by his identificationany social system based upon private property. with a particular enterprise. The modern finan-The revolutionary bourgeoisie, which objected cial capitalist, whose fortune may be scattered into great feudal fortunes and in some cases expro- scores of enterprises and in almost as manypriated feudal possessions, considered the "free Fortunes, Private - Foscolo 399 social Capital and Finance in the Age of the Renaissance (Lon- ownership" of property equivalent to don 1928); Avenel, Georges d', Les riches depuis sept equality; but bourgeois private propertyconsti-cents ans (Paris 1909); Law, Alice, "TheEnglish tuted the starting point of accumulationsgreatly nouveaux -riches in the Fourteenth Century"in Royal exceeding the feudal fortunes. In theUnited Historical Society, Transactions, n s., vol. ix (1895) period from49-73; Tawney, R. H.,The Agrarian Problem in the States the middle class during the Sixteenth Century (London 1912); Hammond, J. L. 188o to 1914 waged bitter war upon"taintedand B. B., The Rise of Modern Industry (London wealth" and "swollen fortunes," but thisclass 1925). defended private petty enterprise in which cor- FOR THE MODERN PERIOD: Watkins, G. P., The porate wealth originated, oneof the typical Growth of Large Fortunes, American Economic Asso- fortunes. The forms ciation publications, ser. iii, vol. viii, no. iv (New York sources of great American 1907); Youngman, A. P., The Economic Causes of of fortunes change as institutions change;their Great Fortunes (New York 1909); J enks, J. W., Great, permanent essentials are private propertyand Fortunes (New York 1906); Myers, Gustavus, History class rule. of the Great American Fortunes, 3 vols. (Chicago s91o); Fortunes are primarily institutional intheir Corey, Lewis, The House of Morgan (New York 1930); du- Moody, John, The Masters of Capital, Chronicles of origins. Personal characteristics -ability, America series, vol. xli (New Haven 1919); Minni- plicity, acquisitiveness -may explain why one gerode, Meade, Certain Rich Men (New York 1927); man instead of anotheracquires great wealth but The Wealth and Biography of the Wealthy Citizens of not why fortunes can beaccumulated nor why the City of New York, ed. by M. Y. Beach (13th ed. differ- New York 1855); Lives of American Merchants, ed. by few, many or no fortunes are piled up in Freeman Hunt, 2 vols. (New York 1858); Shearman, ent epochs and social systems.Nor is functionT. G., "The Owners of the United States" in Forum, an explanation of greatfortunes. The capitalist vol. viii (1889 -9o) 262 -73; Croffutt, W. A., The Van - entrepreneur who pioneers in theorganization derbilts and the Story of Their Fortune (Chicago 1886); of an industry may acquire a fortune in the proc- Clews, Henry, Fifty Years in Wall Street (New York 1908); Oberholtzer, E. P., Jay Cooke, 2 vols. (Phila- ess or it may be snatchedfrom him by more for- delphia 1907); Eliot, C. W., Great Riches (New York tunate individuals; in either eventthe wealth se- 1906); Carnegie, Andrew, The Gospel of Wealth (New cured is not necessarily commensurate withthe York 1900); Myers, Gustavus, History of Canadian function performed. Moreover, fortunes in the Wealth (Chicago 1914); Burnley, J., "Studies in Mil- lionaires" in Chambers's Journal, 6th ser., vol. iv second or third generation are completely sepa- (1901) 212 -17, 232 -34; Ehrenberg, Richard, Grosse rated from the original function and become Vermögen; ihre Entstehung und ihre Bedeutung, 2 vols. simply the private ownership and accumulation (3rd ed. Jena 1925); Friedegg, E. E. J., Millionen und of social capital. The functions of organization, Millionäre, wie die Riesen- Vermögen entstehen (Berlin ownership and accumulation are strictly defined 1914); Corti, E. C., Der Aufstieg des Hauses Roth- schild, 1770 -1830 (Leipsic 5927), tr. by Brian and by prevailing institutions; other institutional ar- Beatrix Lunn (New York 1928), and Das Haus Roth- rangements, as in the Soviet Union, may per-schild in der Zeit seiner Blüte, 183o-1871 (Leipsic form the functions in a fashion which does not 1928); Lewinsohn, Richard, Die Umschichtung der result in the piling up of private fortunes. europäischen Vermögen (Berlin 1925); Ponsonby, A. A. LEWIS COREY W. H., The Camel and the Needle's Eye (London 1910); Hobson, J. A., Imperialism (rev. ed. London See: WEALTH; NATIONAL INCOME; PROPERTY; ACCUMU- 1905); Avenel, Georges d', Histoire de la fortune fran- LATION; INHERITANCE; LANDED ESTATES;DEBT; REV- paise (Paris 1927); Foville, A. de, "Les fortunes en ENUE FARMING; BANKING, COMMERCIAL;INVESTMENT; France et dans les pays voisins au commencement du SPECULATION; CAPITALISM; CAPTAIN OF INDUSTRY; xxe siècle" in Revue politique et parlementaire,vol. ENTREPRENEUR; PLUTOCRACY; CONFISCATION; TAXA- xxxvii (1903) 341-62; Stella, E., La vita della richezza TION; INFLATION AND DEFLATION; ENDOWMENTS AND (Turin 1910); Veblen, T. B., The Theory of the Leisure FOUNDATIONS. Class (new ed. New York 5918); Nickerson, Hoffman, The American Rich (New York 1930). Consult: FOR ANTIQUITY: Rostovtzeff, M. I., A Large Estate in Egypt in the Third Century B.C., University of Wisconsin Studies in the Social Sciences and His- FOSCOLO, UGO (1778- 1827), Italian poet tory, no. vi (Madison 1922); Hasebroek, J., Staatand and patriot. Foscolo was born at Zante of a Handel im alten Griechenland (Tübingen 1928); Hatz- Venetian family. He is celebrated primarily as a feld, Jean, Les trafiquants italiens dans l'Orient hel- great poet but is also important in thesocial lenique (Paris 1919); Davis, W. S., The Influence ofsciences as one of the first to voice the national Wealth in Imperial Rome (New York 1910). FOR THE MEDIAEVAL AND EARLY MODERN PERIOD: sentiment which developed in Italy in reaction Strieder, Jakob, Zur Genesis des modernen Kapitalismus to the ideas and wars of the FrenchRevolution. (Leipsic 1904), and Jakob Fugger der Reiche (Leipsic As a journalist contributing to the Milanese 1926), tr. by M. L. Hartsough (New York 1931);Monitore italiano during the Cisalpine Republic Ehrenberg, Richard, Das Zeitalter der Fugger, 2 vols. (3rd ed. Jena 1922), tr. in part by H. M. Lucas as he contended that had France granted inde- 400 Encyclopaedia of the Social Sciences pendence to Italy instead of treating heras still a beginner in the law, opened his short conquered territory she might have gained apublic career with some essays inpolitical powerful ally. Much later, at the time of thejournalism in Canada and England. In 1868 Franco -Piedmontese alliance of 1859, theco- at Ottawa he was thrown into contact with four gency of this argument was recognized. In anyoung men who had devoted themselves to Orazione (in Opere, vol. v, 185o,p. 35 -67)furthering Canadian development and with addressed to Bonaparte in 18o2, while Foscolothem pledged himself "to put our country first, was holding a precarious professorship at Pavia,before all personal, or political, or party con- he made the courteous but audacious requestsiderations." The west seemed to afford an that the First Consul respect Italian liberty andobject for national endeavor, and in Toronto specifically that he allow no officials to be chosenFoster and his friends with the assistance of the except Italians. After the downfall of NapoleonGlobe gave increasing publicity to the potential Foscolo went into voluntary exile in England.importance of the province of Manitoba. The There he prepared his chief political work,rebellion of Riel and the métis of Manitoba Della servitù dell'Italia discorsi quattro (in Opere,against the dominion aroused during the sum- vol. v, p. 171 -259). In opposition to the currentmer of 1871 an excitement in Ontario which the opinion he insisted that the prerequisite foryoung publicists capitalized, although Foster Italian reconstruction was the dissolution of the himself tried to transcend the incident by means secret societies and their replacement by politi-of a broad appeal to national confidence and cal parties. The regime of the secret society heenergy. His views were first publicly expressed defined as "a perpetual state of schism broughtin the issue of the Globe of July 17, 1871, which about and maintained by a number of men who,prematurely published a lecture which he had cutting themselves off from a civil community,intended to deliver, under the title "Canada profess religious, moral or political opinions toFirst." In this manifesto Foster reviewed na- disguise secret interests and to forward them bytional history, recalled Canadian autonomy and action contrary to the good of the community ";urged his fellow countrymen to repudiate de- the party, as an "association of free men, withfeatism and dependence and to unite in a pro- diverse opinions or interests as to the particularsgram for developing the northern half of the of governing public opinion, but who, wherever continent. There was a broad popular response the common safety and glory are concerned, be-and the Canada First movement began. In 1874 come reconciled with their adversaries." Al-Foster played an active part in the founding of though Foscolo himself recognized that his idea the Nation, the National Club and the Canadian was impracticable for the Italy of his time, it isNational Association. While desirous of main- nevertheless significant as one of the best in-taining the British connection he advocated stances of the imitation by Italians of Englishincreased Canadian autonomy in the making of liberal doctrines. A Lettera apologetica writtentreaties and greater local jurisdiction over the by Foscolo (in Opere, vol. v, p. 489 -609) con-militia. As a means of securing a more efficient tains a penetrating criticism of the theory ofgovernment and protection for minorities he natural right and outlines an original doctrineurged franchise, electoral and senate reform. representing liberty not as an attribute of prim-His idea of encouraging immigration by free itive society but as the culmination of the evolu-homestead grants later became the accepted tion of civil rights. national policy, and from 1878 to 1891 Mac- GUIDO DE RUGGIERO donald preserved his political power by means Works: Opere edite e postume,12 vols. (Florenceof the protective tariff policy advocated by 1850-99). Foster in 1874. Foster hoped to keep clear of Consult: Donadoni, E., Ugo Foscolo: pensatore, critico, party politics, but because of the popularity poeta (2nd ed. Palermo 1927); Ruggiero, G. de, Storia of the movement Thomas Moss in 1873 and del liberalismo europeo (Bari1925),tr. by R. G. Collingwood (London1927);Bulle,Oskar, DieEdward Blake in 1874 carried his ideas into italienischeEinheitsidee inihrerZitterarischen Ent- the Liberal party platform, while Foster him- wickelung von Parini bis Manzoni (Berlin 1893) p.self retired to his law practise. I1I -205. J. BARTLET BREBNER Consult: Canada First: a Memorial of the late Wil- FOSTER, WILLIAM ALEXANDER (184o-liam A. Foster, Q.C., ed. by Margaret Bowes Foster 88), Canadian lawyer and publicist. Just prior (Toronto 1890); Smith, G., Canada and the Canadian to Canadian federation in 1867 Foster, while Question (London 1891); Denison, G. T., The Strug- Foscolo-Four Doctors 401 gle for Imperial Unity (London 1909); Wallace,as forces. His idealistic and rathereclectic tend- W. S., "The Growth of Canadian National Feeling"encies, especially in his last years, were in in Canadian Historical Review, vol. i (192o) 136 -65. opposition to Durkheim's sociology, against which he argued the impossibility of reducing FOUCHI, JOSEPH (1759 -1820), French poli-the moral to the social, the psychological to the tician and minister of police. Fouché was edu-collective. Morality is the science of the ends cated in the Catholic church, where the revo-of individual and collective action determined lution found him teaching as a lay member ofby judgments of value on a basis of psychology, local the Oratorians. He rose rapidly in the philosophy andsociology.Positivism must Jacobin club, was elected to the Convention,square with idealism, determinismwith liberty abjured his religion and served as an advanced(self -determinism by personal and social ideas aid- Republican representative on mission. After as forces), science with conscience.Society does ing in the overthrow of Robespierre helapsed not exist by itself independently ofindividuals. into poverty and obscurity, whence heemergedThe "collective representations," the "social as confidential spy forBarras. Napoleon madeconscience" (Espinas), are found nowhere but him minister of police, and althoughhe even-in personal consciences to which contingency is tually quarreled with the emperor he built upbrought by the ideal. There are therefore only an indispensable police system.Recalled duringindividuals, conditioned by social determinism, the Hundred Days, he committed his final trea-collective heredity and their free contract in son when he turned overthe provisional gov-processes of organization, which in a sense re- ernment to Louis xviii in returnfor a place insemble yetdiffer profoundly from organic the Restoration ministry. This last treason wasprocesses. A society is "an organismwhich too much for public opinionand he was soonrealizes itself by conceiving and willing itself," dismissed to die in exile. As representative ona "contractual organism." Inthe most diverse mission at Lyons with Collot d'Herbois hedrewcivilizations, which are dependent upon his- up an Instruction whichis an important docu-torical and ideological factors even more than ment in socialist history. Itis a bitter attackgeographical and ethnic, the sense of solidarity on the rich, on themerely bourgeois revolu-progresses pari passu with the senseof indi- tionary, and insists that the new republic mustviduality. The last stage in evolution will be be socially and economically egalitarian andanti-the complete union of individuality and sociality clerical. But Fouché's real importance lies in theunder the most advanced form of the social challenge his career offers to the historian ofcontract. ideas. If one man can successively serve the G. L. DUPRAT Jacobin republic, the consulate, the empireand infer-Important works: La sciencesociale contemporaine the Bourbon Restoration, the superficial (Paris 1850, 5th ed. 191o); Le mouvement positiviste ence is that these regimes werefundamentally et la conception sociologique du monde (Paris 1896); alike. The answer is that Fouché was theperfect Esquisse psychologique des peuples européens (Paris bureaucrat -not the stupid clerk of paper rou- 1903, 2nd ed. 1903); Les éléments sociologiquesde la tine usually implied by that word, but asupple morale (Paris 1905); L'évolutionnisme des idées-forces (Paris 1890, 4th ed. 1906); Morale des idées-forces manipulator of the human material of govern-(Paris 1908, 2nd ed. 19o8). such bureaucrats ment. His career suggests that Consult: Squillace, Fausto, Le dottrine sociologiche are often indispensable tomodern government. (Rome 1902), especially p. 485 -88; Sorokin, P. A., But although Fouché worked for the ninthTher- Contemporary Sociological Theories (New York 1928) midor by the same methods as for theBourbon p. 201, 210 -11, 450. Restoration, those two events were politically very different. They wereultimately determinedFOUNDATIONS. See ENDOWMENTS AND by forces quite beyond such men asFouché. FOUNDATIONS. CRANE BRINTON Consult: Madelin, L., Fouché, 2 vols. (2nded. Paris FOUR DOCTORS is the name applied to the 1903); Zweig, S., joseph Fouché, Bildniseines poli - and Italian jurists Bulgarus (died 1166), Martinus tischen Menschen (Leipsic 1930), tr. by Eden Gosia (twelfth century), Jacobus (died 1178) and Cedar Paul (London 1930). Hugo (twelfth century), all of whom were na- FOUILLÉE, ALFRED JULES ÉMILE (1838-tives of Bologna and pupils of Irnerius. They formed the second generation of glossators, so 1912),French philosopher and sociologist. Fouillée is chiefly known for his theory of ideasnamed from their essential method, the exegeti- 402 Encyclopaedia of the Social Sciences cal gloss, or note, on the individualpassages ofRechts im Mittelalter, 7 vols. (end ed. Heidelberg the newly revived law books of Justinian. These 5834-55) vol. iv, ch. xxviii; Seckel, Emil, Distinctiones glosses gradually developed into a completeglossatorum (Berlin 1911) ch. iv; Kantorowicz, H., commentary, culminating in the largely cosn-"über die Entstehung der Digestenvulgata" and "Introductiones Bulgari" in Zeitschrift der Savigny- pilatory work of Accursius. Their writingsare Stiftung, vol. xxxi (191o) 14 -88, and vol. xlix (1929) severely academic and are an unsurpassed at- 85 -93. tempt to master the entire Justinian code. The pure Romanistic tradition was handed down by FOURIER AND FOURIERISM. François Bulgarus, his pupil Johannes Bassianus and theMarie Charles Fourier (5772 -5837)was the scion latter's pupil Azo to Accursius. Only at the endof a middle class merchant family and participa- of the twelfth century did the influence ofcur-ted in the defense of Lyons against the Conven- rent practise, Germanic custom and canon lawtion troops in 5793. The bulk of his patrimony make its appearance. was destroyed during the revolution and he was A classical incident is the appearance of theforced for the greater part of his life to make his Four Doctors at the Diet of Roncaglia in 1158, living as a traveling salesman and shop clerk. He which was summoned by Frederick i to adviseproduced a series of writings which havewon on the extent of the jura regalia and which de-for him a place along with a dozen other early cided in favor of the emperor's right to tax thenineteenth century utopians in the history of Lombard cities. Until the glosses of the four have socialism. been studied systematically in pre -Accursian Nineteenth century socialism boremany manuscripts, individual characterization will re- posthumous sons to eighteenth century rational- main difficult. Jacobus and Hugo are somewhatism, but none whose legitimacy is morecom- shadowy figures; more is known of Bulgarus andpletely authenticated than Fourier's. Ara- Martinus. Bulgarus spent his life at Bolognationalist among rationalists, he rejectedcon- teaching civil law like the others but also takingtemporary society as monstrous, brushed aside part in public affairs. His treatise De iudiciis (re-consideration of the slow processes of institu- printed in Wahrmund, L., Quellen zur Geschichtetional development and asserted the possibility des römisch- kanonischen Processes im Mittelalter,of a social order governed by pure reason. He vol. iv, pt. i, Innsbruck 1925) and his notablesaw the perfect society as the final stage in a commentary on the Digest entitled De regulisprocess of historical change whose principal iuris (ed. by F. G. C. Beckhaus, Bonn 1856) are epochs after the fall from Eden aresavagery, significant. Bulgarus' chief importance, how-patriarchy, barbarism, civilization, guarantyism, ever, like that of the other three, consists in hissimple association and finally composite associa- contribution to the tradition of the school, astion or harmony. The society of his day, which his own glosses on all parts of the Corpus juris,he called civilization, he found unorganized, ir- the frequent citation of his work by Accursiusrational, the prey of caprice, force and fraud. and his prominence in the Dissensiones domino-Although his thought was at times colored by rum (ed. by G. F. Haenel, Leipsic 1834) bear materialist philosophy, he saw human reasonas witness. On controversial points he was almostthe prime mover in history. always opposed by Martinus, his rival also for It is hard to imagine anyone further removed imperial favor. Tradition exalts both his sciencefrom contemporary life than Fourier. Hewas and his character at the expense of the latter,oblivious of the possibility of utilizing to the but then it is from Bulgarus that the traditionadvantage of man the revolutionary changes in chiefly descends. The usual criticism of Mar- production technique associated with the in- tinus, a jurist of more radical tendencies, anddustrial revolution. In the huge volume of his of his followers, the Gosiani, is that of too liberalwriting there is scarcely any mention of the equity at the expense of legality. For that veryFrench Revolution, the conquests of Napoleon, reason Martinus was praised by Hostiensis thethe Restoration, the revolution of 183o or any canonist. As the champion of living needs againstother of the epoch making events through the dead letter of legality and as the forerunnerwhich he lived. The key to his often penetrating of the liberal ideas embodied in subsequent law,criticism of the economic order is that he was an Martinus stands out as a more interesting figureeconomist in the sense of one who economizes. than his opponent. The waste involved in a competitive organiza- F. DE ZULUETA tion of the distributive system appalled him, and Consult: Savigny, F. K. von, Geschichte des römischen he worked out in great detail the savings possible Four Doctors-Fourier and Fourierism 403 through community kitchens, common livingFourier succeeded in gathering about him a quarters and cooperative buying. number of ardent disciples who popularized his Remote from worldly considerations, Fourierideas. By far the most significant of these was deduces his plan of a future society from firstVictor Considérant, who not only wrote volumi- principles derived from a complex and detailednously for the movement but also founded a pha- analysis of human nature. He proceeds from alanx in Texas. Fourierism came to fullest frui- first approximation, which divides the passionstion in the United States, where Albert Brisbane constituting human nature into the senses; thedisseminated the idea and the "Furyites," as affectivepassions,whichdeterminesocial they were called, organized a number of colonies. groups and combination; and the distributive Brook Farm was the most famous and the North passions, which lead to certain classifications andAmerican at Red Bank, New Jersey, probably distinctions between groups, to higher and the least unsuccessful. All were, however, only higher approximations laying bare human mo- very rough approximations of the phalanx. The tives in all their detail. Once human nature hasdiversification of employment and the adapta- been thus analyzed it becomes clear to Fouriertion of the task to the individual inclination were that the passions, if perfectly expressed, lead to a never carried very far, and the life of all the certain division and combination of humanenterprises was too short to permit of a thor- activity natural to a perfectly harmonious so-oughgoing application of Fourier's essential ciety. Human desires, needs and interests are principles. determined at birth, and there is no reason to While Fourier's school lacked the cohesion suppose that human nature changes from age toand the personalities of the Saint - Simonian age. The qualities of man are as definiteand group, its influence has in many ways been unalterable as those of a physical object. Historybroader and more lasting. There still exists a exhibits no process of individual adaptation tosmall but active Fourierist group in France. The the environment. The problem which Fourierphalanx was essentially a cooperative conception sets himself is the adaptation of society and theand Fourier may be called the father of coopera- environment to the individual. The fact thattion. His disciple Godin established at Guise contemporary society is so poorly adapted to the a cooperative familistère which is a Meccafor all free expression of human desires he sees as the those who are interested in the cooperative move- root evil from whence come all woes. ment. Moreover, Fourier's demonstration of the The fundamental unit of the harmoniouswastes of the competitive order and of the society he desired to create is the phalanxpossibility of joyous labor is perpetuated in the (phalanstère), whose structure, size and function-body of socialist dogma, and his bitter criticism ing Fourier deduced from his analysis of theof the prevailing marriage system has become a passions. Within the phalanx, which is com-standard reproach against capitalist society. posed of 162o people cultivating some 5000 Some ideas of Fourier were similar to those of acres of land, each individualfollows his im-Owen, and the two enjoyed simultaneous popu- pulses or passions completely and in so doinglarity in the United States. But Fourier was in- discovers himself to be acting not only in hisclined to see in Owen's estimate of 3000 as the own interest but also in the interestof the com-number of members for an ideal community munity and of society as a whole. This happydistinct evidence of a faulty analysis of the result is made possible by the action of adiversification and distribution of human pas- benevolent deity, whose universe has so dis-sions. While both Fourier and Owen looked to tributed qualities among individuals and withinan abolition of the difference between townand individuals has so diversified the passions that to country, Fourier's ideal was an agrarian- handi- act by impulse is to act rationally and rightly incraft economy, Owen's a combination of agri- the ultimate and absolute sense of these terms.culture and factory manufacture. Fourier en- Once the laws of this universe are understood,visaged human nature as determined at birth; reason has no further function andthought be-the essence of Owen's thought was environ- comes "a disease of the flesh.""The passionsmentalist.Fouriercriticizedtheegalitarian are the work of the eternal Geometer; ...He hascharacter of Owen's proposals; his own were not created them uselessly; they have a purpose;based on his view of individual differences. and it is necessary to determine this by fixedThen too the voluntarism of Fourier's scheme rules." contrasts strongly with the socialist paternalism After working in isolation until about i815of Owen's scheme. While Fourier is distinctly 404 Encyclopaedia of the Social Sciences nearer the anarchists than Owen, his originalitystrikes of Besseges and the Grand'Combe in makes it difficult to describe his ideas as an-1882 cost him eight months' imprisonment. He archism or even to classify him, in Kropotkin'swas a municipal councilor of Paris from 1894 to phrase, as an anarchist -communist. While he 1898 and a member of the Chamber of Deputies was a critic of the capitalist order, the Saint -from 1898 to 1902. From 1905 until his death he Simonian attack on inheritance struck him asdirectedthe Revuesocialisteand occupied revolutionary. He defended interest and profitschairs in the Conservatoire National des Arts et as distributive incomes, and he even promisedMétiers and the École Polytechnique. high returns to those willing to invest in a trial Fournière's chief importance was asa theorist. phalanx. He had read deeply in Fourier and Saint -Simon There is, despite a great deal of the fantasticand recognized their influence; as apologist for a and ridiculous and a verbiage so luxuriant as tosociety which "liberates man from the domina- seem at times that of a madman, a curious mo-tion of others without subjecting him to collec- dernity and foresight in Fourier's thought. Thetive property" he continued the theories of importance of a study of individual aptitudesProudhon. Socialism, he contended, is not and and inclinations in order to find the proper placecannot be a dogma. Born of the eighteenth in the economic mechanism for each smackscentury, it is intimately related to democracy, strongly of personnel investigation and manage-which is the political as socialism is the economic ment. The insistence on the necessity of self -contract. He saw socialism as the enlargement expression has a strangely familiar ring. Theand fulfilment of democracy and cited Marx and ideal phalanx, described as a vast building inEngels to prove that it has its origins in demo- which food is prepared and delivered from com-cratic thought. Fourniére maintained that the mon kitchens and eaten in common halls, inhistorical materialism of Marx, under whose in- which services for all are performed by groups offluence he remained for a long time, distorted specialists, in which purchases of all necessitiesmoral and political problems, and he desired to may be made on the premises, is not far re-modify it by Proudhon's conception of justice moved from the modern metropolitan apart-as the dynamic force making for socialism. He ment hotel. retained the appeal to the class struggle,visualiz - EDWARD S. MASON ing the growth of socialism through trade unions See: UTOPIAS; COMMUNISTIC SETTLEMENTS; BROOK and the cooperative movement but differed from FARM; COOPERATION; RATIONALISM; SOCIALISM; Marx, for example, in his beliefs that capitalist SAINT -SIMON AND SAINT- SIMONIANISM; OWEN AND concentration would not be completed (the OWENISM. middle class growing rather than disintegrating) Works: Oeuvres complètes, 6 vols. (Paris 1841 -48). and that economic crises were becoming less Consult: Bourgin, Hubert, Fourier (Paris 1905); Con- frequent. Especially after the elections of 5906 sidérant, Victor, La destinée sociale, 2 vols. (4th ed. he proclaimed the necessity of cooperation be- Paris1851); Gide,C.,Introduction to Fourier's Oeuvreschoisies(Paris1890);Wessels,Werner, tween workers and the middle class. Charles Fourier als Vorläufer der modernen Genossen- PAUL LOUIS schaftsbewegung (Bergisch -Gladbach 1929); Louvan- Works: L'âme de demain (Paris 1895, rev. ed. 1902); cour, Henri, De Henri de Saint Simon á Charles La règne de Louis -Philippe 1830 -48, Histoire socialiste, Fourier (Chartres 1913); Ryazanov, D., Explanatory vol. viii (Paris 1906); L'idéalisme social (Paris 1898); Notes to his edition of the Communist Manifesto, tr. Essai sur l'individualisme (Paris 1901, 2nd ed. 1908); from the Russian by E. and C. Paul (London 1930). Théories socialistes au xtxe siècle (Paris 1904); L'indi- vidu,l'associationetl'état(Paris1907); La crise FOURNIÈRE, EUGÈNE (1857- 1914), French. socialiste (Paris 1908). socialist. Fourni ere was at an early age a journey- Consult: Louis, Paul, Les étapes du socialisme (Paris man jeweler and later a proof reader; he had no 5903) p. 277 -79; Weill, G. J., Histoire du mouvement formal education but was led by intellectual social en France 1852 -1924 (3rd ed. Paris 1924). curiosity to extensive reading and study. After collaborating with Jules Guesde on Egalité,FOVILLE, ALFRED DE (1842 -1913), French organ of the Labor party, he swung toward economist and statistician. Foville studied at the Benoît Malon and the "integralists." He created École Polytechnique, held various posts in the a sensation at the third workers' congress in Conseil d'État and in the department of finance, Marseille in 1879 by denouncing Louis Blanclectured on economics in the Conservatoire des for his opposition to the Paris Commune. HisArts et Métiers and at the École des Sciences militant socialism and trade unionism in thePolitiques, became member of the Académie des Fourier and Fourierism - Fox 405 Sciences Morales et Politiques in 1896 and wasthat it had attained in Germany through the appointed permanent secretary of this academygenius of Mommsen The distinction of Fowler's in 1909. He combined scholarship with remark-work was due to a rare combination of vivid able ability of lucid presentation of carefullyimagination and quick intuition with unweary- chosen material. In the study "Les variations des ing research and the logical estimate of evidence. prix en France depuis un demi -siècle" (in theThe materials of learning were fused in his Economiste française, 1874 -78) he utilized themind until they shone. Hence his most learned practise of French custom authorities of calcu-work possesses freshness and warmth, unchilled lating the values of imports and exports twice, by any pedantry. Fowler's most important con- once at the moment of entry, according tothetributions lie in the field of Roman religion. prices prevailing in the preceding year, andThe conventional classical scholar had been again at the end of the year, according to theentirely ignorant of real Roman religion, and prices of the current year. The two sets of figuresit is not too much to say that it was Fowler's were used by Foville to compile achain index ofwritings on the subject that disclosed a new price variations; helpful though it is, the in-world of thought and experience to English dex is subject to criticism in some respects. Instudents. He was one of the first to apply the the Études... surla propriété foncière: le morcelle- new science of anthropology to the study of ment (Paris 1885) he attempted to strike abalanceclassical world; and by his far reaching research between the advantages and disadvantages at-and his creative imagination working on the tending the division of landed property. Afterfossil relics of old Roman ritual he was able becoming director of the mint he devoted his at-to endow them with life and spirit and to reveal tention to the problem of money, edited Rap-a strange religious mentality unfamiliar tothe ports du directeur des monnaies etmédailles au modern mind. ministre des finances, 1896 -1899 (4 vols., Paris LEWIS RICHARD FARNELL 1897 -1900) and wrote La monnaie (Paris 1907),Important works: Julius Caesar and the Foundation of an excellent introduction tothe study of money the Roman Imperial System (London 1892); The City State of the Greeks and Romans (London 1893); including a discussion of the relation between Roman Festivals of the Period of the Republic (London the quantity of money and variations in the price 1899); The Religious Experience of the Roman People level. Foville made important contributions to (London 1911); Roman Essays and Interpretations the organization of statistics in France. He di- (Oxford 1920). rected and presented the results of the valuable Enquête sur les conditions de l'habitation en France FOX, CHARLES JAMES (1749- 1806), Eng- (2 vols., Paris 1894-99). When commissioned to lish statesman. He was the son of Henry Fox, reorganize the statistical service of the Depart-the first Lord Holland, a politician who made a ment of Finance in 1877 he initiatedthe publica- fortune as paymaster general and became the tion of the Bulletin de statistique et de législationmost unpopular man in England. Fox was comparée, which he edited until 1893 and whichbrought up in luxury and extravagance and he has been continued since by this department. entered Parliament at the age of nineteen, a self - His compendious La France économique (Paris willed and dissipated young man and a violent 1887 -90) is still useful as a source book of statis- Tory. He served as a junior minister under tical information for this period and those pre-North but in 1774 joined the opposition to the ceding it. Foville frequently contributed to theAmerican war, coming under the influence of Bulletin of the International Institute of Statis-Burke. In the next few years he made himself tics, the Journal of the Société de Statistiquede one of the leaders of the campaignfor peace and Paris and to the Journal of the RoyalStatistical democratic reform. After the fall of North in Society. 1782 Rockingham formed a government in FRANÇOIS SIMIAND which Fox and Shelburne were secretaries of state. The two secretariesquarreled,their FOWLER, WILLIAM WARDE (1847- 1921), mutual suspicions being reenforced by definite English historian and scholar. In 1872Fowlerdifferences of opinion, for Fox was much more was elected to a fellowship atLincoln College, anxious than Shelburne to reduce the king's Oxford, which he held for nearly half a century.power. When Rockingham died afew months He was one of the early band of scholarsandafterwards, the king made Shelburne prime teachers who succeeded in raising the studyofminister and Fox resigned. The next year he Roman history to the same high level inOxfordtook a fatal step. Allying himself with North in 406 Encyclopaedia of the Social Sciences the hope of forming a government that wouldFOX, GEORGE (1624 -91), English Quaker. check the king's power he lost for some time theFox isgenerally considered the founder of popular confidence which had been his chiefQuakerism. He belonged to a mystical move- strength. Although the coalition defeated thement dating from the Middle Ages and existing government on the peace it retained power only strongly among the religious sects of the Com- a short time, falling on its India Bill, againstmonwealth period in England. What character- which the king had mobilized the opposition.ized Fox was his hatred of priests of any kind Fox was out of office, except for a few months at and his belief in the voice of God, the "inner the end of his life, for the rest of his career. Inlight" in all men. Church worship was abomi- opposition he behaved sometimes factiously andnable to him. His belief that God was in each in- recklessly, as in his attitude to the Regency Billdividual led directly to his antipathy to "inter- and to Pitt's wise commercial policy. But he re- mediaries," to his opposition to war and slavery deemed his reputation by his brave and power-and to his schemes for social reform. His pro- ful stand against domestic repression during thenouncement in favor of the freeing of slaves after French wars and by his wise and liberal pleas for a period of service started an agitation among moderation. The first French war he regarded asthe Quakers which led eventually to complete a war against liberty; this war was ended withemancipation. His sufferings in prison enabled the Peace of Amiens, and the war that followedhim to appreciate the need for prison reform, the rupture of that peace was of a differentespecially the classification and separation of character. Fox's quarrel with Pitt in this secondcriminals. He advocated the establishment of war was based chiefly on Pitt's methods, for hemental hospitals and special homes for the af- held that Napoleon could not be fought success-flicted and disabled and urged "those that could fully by bribing the sovereigns of Europe to re-work to work" (A Warning to All the Merchants sist him. Pitt's death in 18o6 brought Fox intoin London, London 1658). He had a finer esti- power for a few months. He tried to make peacemate of human nature than the Calvinists of his with Napoleon but failed. On the other hand, hetime and saw clearly the evils of seventeenth succeeded in putting an end to the British slavecentury English law, which rated property higher trade. This was a signal exhibition of his per- than human life. His social ideas seem as modern sonal power, for the obstacles that had bafflednow as they were then. Pitt for so long had not been removed by Pitt's In a political sense Fox mirrors a new and sig- death. nificant movement among the lower classes. To Fox was the first great Liberal leader in Eng-the Quakers the Puritan revolution in both its lish politics. The best illustration of his temperpolitical and its religious phases constituted was to be found in his admirable saying that hemerely a successful attempt on the part of the wished to make the people of Ireland the garri-landed gentry dominating Parliament to remove son of Ireland. He believed in peace, in self -the grievances which under a variety of forms government, in liberty of speech, in religiousthey had hitherto suffered at the hands of a tyran- toleration, and he inspired a small but powerfulnical oligarchy in state and church. Fox, once a element in the aristocracy with his generousshepherd and a shoe apprentice, spoke for a ideas. He had the eighteenth century dislike forgroup which tended in the main to be indiffer- compulsion, but he was not a pedant, for he sup-ent to the claims of monarchy and Parliament. ported the proposal to fix a minimum wage inHe knew of a good with which the magistrates of agriculture in 1795 rather than let the laborersthe time were not concerned. His faith in the in- sink into complete dependence on charity. Hener light led to an individualistic political doc- was the ablest debater of his age and a man oftrine with regard to the claims of formal author- great personal charm. ity. The law in general must be "witnessed" to JOHN LAWRENCE HAMMOND by the voice of God in everyone; only then did Consult: Trevelyan, G. O., Early History of Charleslaw obtain validity. This he contended led to James Fox (London í88o), The American Revolution, order not anarchy, because the laws were built 3 vols. (new ad. London 1907 -09), and George theupon the social conscience and thereby obtained Third and Charles Fox, 2 vols. (London 1912 -14); obedience. Compulsion that neglected con- Memorials and Correspondence of Charles James Fox, science was therefore wrong. Although aware of ed. by John Russell, 4 vols. (London 1853-57);the danger inherent in such anti -authoritarian Russell, John, The Life and Tinges of Charles James Fox, 3 vols. (London 1859 -66); Drinkwater, John,views Cromwell was deeply impressed by Fox's Charles James Fox (London 1928). sincerity as manifested in several interviews be- Fox-France 407 tween the two men, and largely because of this 1889); Kurs ugolovnago prava (Textbook of criminal personal sympathy he was more indulgent than law) (St. Petersburg 189o, znd ed. 1893). he might otherwise have been toward the Consult: Nabokoff, Wladimir, in Internationale Krimi- Quakers. nalistische Vereinigung, Mitteilungen, vol. xxi (1914) 389-92; Wesnitsch, M. R., "Foinitsky, I. F. (Lehre PHILIP S. BELASCO von der Strafe ...)" in Zeitschrift für die gesamte Consult: Jones, R. M., George Fox, Seeker and Friend Strafrechtswissenschaft, vol. x (1890) 447 -56; Slios- (New York 193o); New Appreciations of George Fox, berg, H., "Das Objekt der Strafe" in Zeitschrift für ed. by J. R. Harris (London 1925); Braithwaite, W. C., die gesamte Strafrechtswissenschaft,vol.xi(1891) The Beginnings of Quakerism (London 1912) ch. ii; 701 -09. Belasco, P. S., Authority in Church and State (London 1928) pt. i; Gooch, G. P., English Democratic Ideas in the Seventeenth Century (znd ed. Cambridge, Eng. FRANCE, ANATOLE (Jacques Anatole Thi- 1927) p. 228 -38, and Political Thought in Englandbault) (1844-1924), French critic and novelist. from Bacon to Halifax (London 1914) p. 152-57. After a respectable but undistinguished career as a poet France was appointed literary critic of FOYNITSKY, IVAN YAKOVLEVICH (1847-the Temps and between 1880 and 1892 wrote the 1913), Russian criminologist. After studyinggraceful and academic essays which are gathered criminal law, criminal procedure and penologytogether in the four volumes of La vie littéraire at St. Petersburg, Berlin, Vienna, Leipsic and(1888 -2). His critical attitude has been termed Paris, Foynitsky became judge of the Senat (im-one of Pyrrhonism; a skeptic, an eternal doubter, perial supreme court) and professor at the Uni-he declared himself a "son of the eighteenth versity of St. Petersburg. There he organized ancentury" opposing with pessimistic irony both institute and museum of criminology and wasthe Catholic royalism of Brunetière and the the first in Russia to give a course in penal insti- sociological positivism of Zola. Turning, toward tutions. As founder and president of the Russianfifty, to prose fiction he continued to direct his section of the International Union of Criminalscorn, although always indulgent and light of Law from 1897 to 1904 he worked for a reformtouch, at all institutions and parties. His novels, of the fundamental conceptions of criminal lawdiscursive and pleasantly sparkling, were when and criminal procedure in accordance with mod-they were not works of fancy chiefly autobio- em sociological criminology. He was a membergraphical vehicles whose characters were the of the commission which drew up the Russianmouthpieces for the author's opinions. Speaking criminal code of 1903. This code, reflecting innow as the abbé Coignard and now as M. Ber- the main classical criminological theory and con- geret, France attacked the Catholic church and taining a few concessions to modern criminalthe army, but also the more democratic move- science, such as conditional liberation and indi-ments including the French Revolution. The vidualization of punishment, was never opera- upshot of this phase of his social thinking was tive in its entirety. His individual contributionthat man "is naturally a very wicked animal" to the code was concerned with the penal systemruled only by force and that all proposed changes and with the crimes against property. To himof social institutions are consequently "futile." the function of punishment was both to improve During the turbulent days of the Dreyfus case, and to repress the criminal; but as punishmentshowever, Anatole France underwent a notable involved in repression were costly to both the conversion. He became acutely conscious of the offender and the state, he advocated that theerror or political crime which government and most economical punishments be meted out. Hearmy sought to defend. He saw the issue as was a decided opponent of exile as a mode ofextending beyond race feeling and he joined punishment. His works marked by erudition andZola and the other "Dreyfusards" in the fight by cautious utilization of the newer ideas in theof "socialism and freedom of thought" against field contain the first extensive and systematic"Catholic theocracy and bourgeois authorita- discussions in Russia of Anglo- American lawrians," becoming finally a member of the So- and penology. cialist party. His later writings were deeply M. CHUBINSKY colored by this change of attitude. L'affaire Important works: Ssilka na zapade (Exile in western Crainquebille (190I) was a moving study of social Europe) (St. Petersburg 1881); Kurs ugolovnago sudo- injustice. The brilliant allegory of L'ile des pen- proizvodstva (Textbook on criminal procedure), z vols. (St. Petersburg 1884 -97; vol. i, znd ed. 1896);gouins (5908) contained a satirical summation Uchenie o nakazanii y svyazi s turmovedeniem (Punish- of human history with its endless cycles of ment and prison administration)(St.Petersburgwholesale murder and theft, culminating in a 408 Encyclopaedia of the Social Sciences thin disguise of the Dreyfus case. It is significantconsular government. His great prestige, due to that the great crisis in the affairs of the penguins his integrity and culture, now increased rapidly. is shown as the outcome of their institutionalIn 1814 he was placed at the head of a dictator- set up. ship established for the purpose of protecting France's social tracts possessed eloquence andParaguay from the imperialistic ambitions of the worldly wisdom rather than originality. Typicalneighboring countries; soon afterward he was are the speeches and papers collected in Versmade dictator for life. His regime was an era of les temps meilleurs (1906), and the L'église et lapaternal absolutism. He controlled the entire république (1904) written during the agitationgovernment and energetically crushed all the over the new anticlerical laws. His beliefs seemedattempted rebellions fostered by the foreign ene- to issue from the complex needs of his tempera-mies of Paraguay -a task made easier by the fact ment rather than from a well integrated socialthat the population, trained in the severe disci- philosophy. His attitude during the World War,pline of the missions, was accustomed to obey. for example, was at first one of intense patri- Historians' judgments of his achievements otism, then of disillusionment and finally, justhave varied widely. It cannot be denied, how- before his death, of espousal of Russian com-ever, that at a crucial period in the history of munism. He was at heart a skeptic and a dil-Paraguay he succeeded in maintaining its inde- ettante, whose passion for individual freedompendence against the imperialism of Buenos threw him upon the popular side. He loved toAires and Brazil. To achieve his purpose he dwell chiefly upon human foibles, as did hisimposed upon the country a policy of political favorite masters Rabelais and Montaigne; inand economic isolation which went to the extent doing this he employed his wit and his lucidof prohibiting emigration. His economic pro- style with telling effect upon the various socialgram was important in that it brought about a emergencies of his time. fuller exploitation of the soil, an increase in MATTHEW JOSEPHSON cattle raising and a diversification of industry in Works: Oeuvres complètes illustrées, ed. by Léon Carias order to supply the home market. During his and Gérard Le Prat, vols. i -xx, xxii (Paris 1925 -31),regime great importance was attached to educa- tr. by Frederick Chapman and others, 39 vols. (Lon- tion. Nevertheless, under his rule Paraguay lost don 1908 -28). contact with the rest of the world and entered Consult: Brandes, G. M. C., Anatole France (London on a period of stagnation. 1908); Lemaître, Jules, Les contemporains, second JOSg OTS Y CAPDEQUI series (12th ed. Paris 189o) p. 83 -114; Gaffiot, Mau- rice, Les théories d'Anatole France sur l'organisationConsult: Báez, Cecilio, Ensayo sobre el Doctor Francia sociale de son temps (Paris 1928); Jacob, Jean, "Les y la dictadura en Sudamérica (Asunción 1910), with idées sociales d'Anatole France" in Grande revue,bibliography; Opisso, Alfredo, Los fantasmas de la vol. cxxiii (1927) 248 -71; Smith, Helen B., The Skep- historia, el Doctor Francia (Barcelona 1916). ticism of Anatole France (Paris 1927). FRANCIS JOSEPH I (183o- 1916), emperor of FRANCHISE. See SUFFRAGE. Austria and king of Hungary. Francis Joseph was, as he called himself, the last monarch of the FRANCHISES. See PUBLIC UTILITIES; COR-old school. With the exception of the last few PORATION. years, when his forces were already waning, he exercised more personal power in the domestic FRANCIA, JOSÉ GASPAR RODRIGUEZand foreign policy of his empire than any other (1766 -1840), Paraguayan statesman. Franciamonarch in recent times. In spite of his well de- studied at the University of Córdoba del Tucu-veloped sense of duty and extreme bureaucratic mán, where he received the degree of doctor ofdiligence his mental gifts were not equal to the theology in 1785. After a short career as profes-enormous task of maintaining the social and sor of theology he turned to the practise of law.political equilibrium of fifty -two million people Francis stood out as a political personalitydivided among a dozen nationalities, most of from the very beginning of the struggle for anwhich had irredentist tendencies. The old con- independent Paraguay. He was a member of theception of the empire as a family fideicommis- junta which acquired control of the countrysum of the Hapsburgs continued almost un- when Paraguay declared its independence inaltered until the end in spite of certain constitu- 1811, and two years later he became one of thetional forms. During the seven decades of his two consuls at the head of the newly organizedlong rule there was no real constructive policy France-Francis Xavier 409 either in the field of the agrarian problems or in Austria in 1907, but the crisis became even more that of the nationality struggles, although theseacute due to the antagonism between the popu- were two major issues which ultimately dead-lar parliament in Austria and the feudal one in locked the very mechanism of the state and ac-Hungary. In this way the conviction of the em- celerated the clash with the absolutism of Russia.peror, "this realm cannot be ruled constitu- The gravity of the southern Slav problem be-tionally," was justified by the last events of his came especially acute after the frivolous occupa- empire, disintegrating because there was no tion in 1878 of Bosnia and Herzegovina and theplace for the growing national consciousness of creation of the Albanian buffer state. Four dif-its various peoples. Thus the personal tragedy of ferent socio- political systems may be distin-Francis Joseph's life -his wife had been mur- guishedinFrancisJoseph'sgovernmentaldered, his brother executed, and his son had com- methods. The first period was the bloody sup-mitted suicide -became more pathetic with the pression of the achievements of the Revolutionfinal collapse of his empire. of 1848 and the restoration of the mediaeval OSCAR JASZI autocracy in a close alliance with the pope in the Consult: Steed, H. W., The Hapsburg Monarchy (4th Concordat of 1855. The second period was an ed. London 1919); Szilassy, G. von, Der Untergang experiment with constitutionalism when in 1859 der Donau -Monarchie (Berlin 1921); Bibl, V., Der Zer- Austria was badly defeated on the Italian battle-fall Osterreichs, 2 vols. (Vienna 1922 -24); Redlich, J., Emperor Francis Joseph of Austria (New York 1929); fields. In 186o the emperor issued the so- called Glaise von Horstenau, E., Die Katastrcphe (Vienna October diploma, which meant a rupture with 1929); Chlumecky, L. von, Erzherzog Franz Ferdi- the Germanizing centralism and an essay to gain nands Wirken und Wollen (Berlin 1929); Jászi, O., The the more active cooperation of the feudal no- Dissolution of the Habsburg Monarchy (Chicago 1929). bility. The resistance of Hungary, however, brought about in a few months an entirely newFRANCIS XAVIER (1506 -52), Christian mis- course with the so- called February patent, signi-sionary to India and the Far East. Francis Xavier fying the continuation of the German bureau-was born in Navarre of mixed Basque and Span- cratic centralization, combined with the curiaish blood. He was a student of arts and theology system, which gave a certain participation inat the University of Paris for about twelve years power to the landed estates and the bourgeoisieand while there, in 1534, he became a member of the cities. This system, appropriately calledof the original group under the leadership of "provincial diets, strengthened by a few at-Ignatius Loyola which founded the Society of torneys and manufacturers," lasted until the in-Jesus. From 1536 to 1540 he remained in Italy troduction of the third system, the dualistic con-as secretary to the society while it was taking stitution established in 1867 as a result of theshape and winning the approval of Pope Paul iii. defeat of the Austrian army by the Prussians. OnIn 1540 at Loyola's direction and in response to the basis of a very artificial electoral law thisa request from John III, king of Portugal, Fran- system gave the leadership in Austria to thecis Xavier left Rome and reached Goa in 2542 German bourgeoisie and bureaucracy and into inaugurate the Jesuit mission in the new Por- Hungary to the feudal nobility. In this way twotuguese possessions in the East. The remaining privileged nations were created, with whom two ten years of his life were spent in almost inces- minor partners participated in the form of asant religious work and travel. In Goa, among broader territorial autonomy: the Croats in the newly converted Paravas, or pearl fishermen, Croatia and the Poles in Galicia. But dualismof the south coast of India, at Malacca, in the led more and more to pan- Slavic currents whoseEast Indies and again in India he sought to raise danger was enhanced by the irredentism of thethe moral level of the Christians, to win new Italians and the Rumanians. Even the privilegedgroups of adherents to his faith and to lay the nations became passionate enemies in the longfoundations of the future missionary activities run and the more clear sighted statesmen of theof the Jesuits. During his sojourn in Japan from monarchy convinced the emperor of the neces- 1549 to 1551 he founded a Christianmission sity for remolding the constitution. In this fourthwhich was soon to achieve great popularity and period Francis Joseph in spite of his rigidly mili- the reaction from which was to be the chief fac- taristic and aristocratic personality became thetor in closing Japan to the foreigner in the protagonist of universal suffrage (Burgsozialis- seventeenth century. He also became the fore- mus) as a result of his conflict with the Magyarrunner of modern Christian enterprise in China oligarchy. Universal suffrage was attained inand died during an attempt to reopen Christian Oro Encyclopaedia of the Social Sciences missions from an island off the south coast. Hisoutlived its function, would yield to the reign unwavering devotion, extraordinary enduranceof the Holy Ghost. The profound impression and proselytizing fervor had a profound effect created by his apocalyptic visions as they rever- in molding the activities of succeeding genera-berated through France and Italy is indicative tions of Christians in their culture contacts withof the restless, expectant temper of the time. the East. What Joachim did was to sanctify by a philoso- K. S. LATOURETTE phy of history a return to the Gospels already begun by sporadic lay movements in search of Consult: Cros, J. M., St. François de Xavier, sa vie et ses lettres, 2 vols. (Toulouse 1900); Brou, A., Saint an authority for their aversion to ecclesiastical François Xavier, 2 vols. (2nd ed. Paris 1922); Robert-wealth and luxury. At the turn of the thirteenth son, E. A., Francis Xavier (London 193o). century Italy and France were overrun by a number of sects or confraternities-----the Walden- FRANCISCAN MOVEMENT. The Franciscan ses, the Humiliati of Milan -all professing and movement was an attempt at social and religiouspractising the doctrine that Christ enjoined corn - reformation emanating from the Franciscan or-plete renunciation of property upon the adher- der and producing its most significant effectents of His religion. during the thirteenth and fourteenth centuries. While these diverse currents helped prepare Its inception coincided with a period of wide-the age for the Franciscan movement, there is spread popular dissatisfaction with the Romanno evidence that its founder, St. Francis (1182- church, a dissatisfaction caused in large part1226), was more than vaguely aware of any of by the inadaptability of contemporary Christianthem. St. Francis has been called the "most institutions to the kaleidoscopic social changesspontaneous and unconventional genius of many of the time. While the rapid breakdown of theages." The town of Assisi, where he was born feudal system, the rise of the towns and theinto the family of the rich merchant Pietro sudden fluidity of populations were multiplyingBernardone, had early reaped its share of advan- social needs and making almost unprecedentedtage from the revival of trade. During his early demands upon the church, the secular clergy,youth Francis' romantic, sensitive nature found lying in a torpor of moral and intellectual de-ample gratification in the life of an indulged generacy, remained indifferent. Monasticismbyscion of wealth and of a popular leader of festive its very ideal of seclusion from the cares of ordi-exploits. His year's captivity in 1203 -04, as a nary life was barred from mediating between theresult of a war between Perugia and Assisi, and church and the people. Both secular clergy andhis subsequent illness mark the beginnings of one monasteries had fallen under the sway of a rigidof the great mystical conversions of the world, a aristocratic tradition: the potentates of theirconversion as inexplicable in its essence as that hierarchies received appointment, in the major-on the road to Damascus. But portents of Fran- ity of cases, by virtue of birth or station andcis' future mission came slowly. When La donnà ruled with unqualified absolutism. To the nat-povertà appeared in a vision, his troubadour's ural disaffection of the numerous clerical prole-heart vowed fidelity. In the transitional period tariat crushed beneath this structure was addedof conscious self -immolation he journeyed to that of the lay proletariat in the towns, where theRome, begged at the gate of St. Peter and upon consciousness of recently acquired freedom washis return mingled with the lepers. He began to engendering an incipient democratic spirit. Thefrequent in solitude the ruined churches and reaction gathered immense strength with thegrottoes about Assisi. In the little church of San rise of the new commerce and economic stand-Damiano, the crucifix spoke to him, "Go repair ards which came in the wake of the crusades.my church." He responded with characteristic As the church maintained a sympathetic silenceliteral obedience, and in Assisi his mason's work before this threat to its traditional teachings andmay still be seen. Before long, flinging his gar- as the Roman Curia, at first surreptitiously, thenments at the feet of his angry and disappointed openly, began to traffic with the bankers, thefather, he severed the last ties of the past. Prob- conviction rapidly grew that the current insti-ably in 1209 while listening to the mass in the tutions for the transmission of Christ's preceptsminiature chapel of the Portiuncula he heard the were outworn. In the last decade of the twelfth verses from St. Matthew x: 7 -10 which gave him century Joachim of Flora preached the immi-his definitive commission: "And as ye go, preach, nent approach of a new age, that of the Eternalsaying, The kingdom of heaven is at hand. Heal Gospel, in which the church militant, havingthe sick, cleanse the lepers, raise the dead, cast Francis Xavier-Franciscan Movement 411 out devils; freely ye have received, freely give.Francis spread a message as unformalized, as Provide neither gold, nor silver, nor brass in yourindividual and at the same time as universal as purses; nor scrip for your journey, neither twothat of the primitive Christian apostle. This coats, neither shoes, nor yet staves; for the work-message he uttered in the market place; before man is worthy of his meat." Upon the apostolicthe sultan, whom he visited in 1219; as the commission Francis founded his life. He be-legend relates, to Frederick II, the Holy Roman gan to preach among the people and dis-emperor. The number of his professed follow- ciples flocked to him -nobles, plowmen, pro-ers, magical as was its growth, gives but partial fessional men, representatives of all classes will- indication of the effect of his work. Not the ingly submissive to the spell of Francis' passion-least important element in his almost unparal- ate conviction. The profound humility whichleled influence in erasing the stigma from pov- accompanied his conversion prompted him toerty was the poetic halo with which, by the seek forthwith the sanction of the Holy See; in example of his own life, he was able to surround I2I0 he received at Rome Innocent inn's oralthe life of the poor. The figure of the Poverello approval of an order founded on rules no more drawn by mystical love into intimate communion definite than the simple passage from St. Mat-with "Brother Sun" and "Brother Fire" made thew. But in its very lack of organization thehis age aware of the long buried beauties of primitive Franciscan order dissolved the protestnature and of the idyllic splendor of the simple against the aristocratic and parasitical tendencies life; and the saint who had once loved the trou- of the church. It had neither hierarchy, nor atbadours brought the romance of chivalry to the first even novitiate; its purpose was not detach-masses in his following, whom he called the ment from society, but unwearied absorption inminstrels of the Lord. Turning his eyes toward alleviating the misery of the distressed; it im-the reorientation and reform of the individual, posed absolute poverty not only upon individualFrancis had no thought of destroying existing members but, in contrast with the monasticinstitutions. The democracy which he repre- rule, upon the order as a corporate institution.sented could not be attained by depriving others Means of sustenance came as voluntary contri- of privilege: peace was its condition. "We are sent butions from the recipients of its services; when to succor the clergy for the salvation of souls," these were withheld, the Franciscan might beg,quotes Francis' first biographer, Brother Leo, "for the workman is worthy of his meat." in the Mirror of Perfection; " ... cover their By the end of the first decade of Francis'slips, and supply their many defects, and apostolate, the order already numbered severalwhen ye have done this be ye therefore your- thousand brothers, drawn chiefly from Italy and selves the more humble." southern France. Although this spontaneous The church on its side perceived the advan- growth can be explained in part as the expres-tage of sponsoring a movement which, while sion of the current revolt, it represents still moreoffering no threat to the ecclesiastical structure, the popular response to a movement transcend-was at the same time capable of producing reli- ing the limitations of mere protest. Francis re-gious regeneration, of arresting social and politi- discovered the Christian religion as an individualcal dissension and of shouldering the formidable experience in which all might participate. What- burden of Christian charity. Chiefly through the ever social or political implications that religioninitiative of Cardinal Ugolino of Ostia (later held he transmitted to the masses, not as theoriesGregory Ix) and Popes Innocent Hi and Hono - or as corollaries or even as duties, but as meansrius ttt the order began to be subjected, very to the attainment of the final individual joy, theearly in its history, to a process of systematic true imitation of Christ. Thus poverty becameadaptation to the needs of the church. Their task for Francis a treasure rather than a renunciation,was facilitated by Francis' lack of concern with the indispensable prerequisite for freedom frommatters of law and organization. As the natural the inconsequential and the vilifying. "If we hadconsequences of growth made it imperative that property," he once said, "we should need armsthe amorphous Franciscan order be provided to defend ourselves, for thence arise disputes andwith definite administrative machinery, control lawsuits, wherefore ... we be minded to possess gradually passed to more practical men like Peter naught of worldly goods." In extracting the da Cataneo, to whom in izzo Francis humbly re- promised reward of the Christian life from thelinquished his official leadership, and Brother empyrean heights to which it had been elevatedElias, who succeeded Peter the following year. by the gradual evolution of Catholic dogmaMeanwhile the example of the Dominicans, 412 Encyclopaedia of the Social Sciences founded in 1216 for the purpose of preaching the ture and constituted as the official legend of the orthodox creed among the heretics, had given thesaint the one which St. Bonaventura completed church the embryonic model of a highly organ-in that year. ized order of friars, combining mobility with The compromise of Francis' precept of pov- centralized control. Deviation from the originalerty was not accomplished without a struggle. system of government, according to which theThe internal history of the Franciscan order is rules and decisions were made by annual popu- one of a continuous effort, constantly thwarted lar chapters attended by all the brothers on thebut never abandoned, on the part of certain principle of pure democracy, began as early asgroups to retain intact the standard of absolute 1221. By the definitive constitution the chapterspoverty bequeathed by St. Francis. Fluid fac- consisted of provincial ministers, each with histions roused to spasmodic outbursts of fervor socius, one custos elected from each custody (di- under the influence of a series of great leaders, vision within the province) and one discretusthese groups came to be called Spirituals or Zeal- elected by the provincial chapters. In its solici-ots, in contrast with the Moderates, who after tude to render the order powerful and influen-the expulsion of John of Parma from the gener- tial, the church, conjointly with Brother Eliasalate in 1257 were always dominant. Through and later minister generals, progressively atten-the Spirituals the mystical, apocalyptic elements uated the mandate of absolute poverty by ain primitive Franciscanism were kept alive. Dur- series of tortuous compromises. Two new rulesing the thirteenth century they welded the Fran- supplanted the simple formula of 1209: the firstciscan tradition with Joachism and, undaunted in 1221; the second, for which Ugolino wasby a contradictory reality, proclaimed that St. probably largely responsible, in 1223. The omis- Francis had initiated the age of the Eternal sion from these rules of the Gospel preceptGospel -the age of the spirit and of freedom, the to take nothing by the way and of the severeage without class or social distinction, without injunction to labor agonized Francis, and shortlyproperty. Although the reflection of their ideals before his death in1226 he composed thewas caught and retained in a distorted form by famous Testament enjoining upon his followersthe Moderates, the inevitable tendency of the the strict observance of the primitive rule. ButSpirituals was to destroy themselves by batter- the process of institutionalization went on anding against institutions which were stronger be- with it the inevitable adulteration of Francis'cause they were more practical. The first open principles. Before Francis' death the order hadbreach between the two factions came after the already assumed international proportions, withdeath of St. Bonaventura in 1274, and a number chapters in France, Germany, Hungary andof great Zealots were brought to the front: An- England. Within less than half a century it wasgelo da Clareno, Ubertino da Casale, Pierre Jean to reckon thirty -four provinces, seventeenCisal-Olivi of Provence. But in Provence the insur- pine and seventeen Transalpine; and a mem-gents succumbed in 1318 and subsequently in bership of over 200,000, a figure never beforethe fire of the Inquisition; in Italy the bull equaled by any order in the history of the church.Sancta romana suppressed Angelo's followers In recognition of the earthly needs of this great about the same time, driving them into a ster- and growing body, Ugolino (now pope) in 1230 ileisolation from society which inreality officially dispensed the order from St. Francis'directly contravened the spirit of St. Francis' embarrassing will, confirming the rule of 1223reform. The tangible impact of Franciscanism and creating a new avenue for evasion by theon the thirteenth and fourteenth centuries is to decree that the friars, although forbidden cor-be discovered not in the controversies of the porate property, might nevertheless receive gifts Zealots but in the work of those friars who re- through trustees. Fifteen years later Innocent iv mained sufficiently unpreoccupied with the rigid provided that friars might have recourse toenforcement of an ideal at cross purposes with money -the thing which Francis "did aboveall civilization to mingle with the world and take execrate" -not only for necessities but for con-their part in the concerns of secular life. venience; and that they might assume the virtual Francis Thompson's characterization of the ownership of houses and land by formally vest-Franciscans as the Salvation Army of the Middle ing their titles in the Holy See. The full extentAges is not without significance. Throughout the of the order's divergence from its founder wasentire history of the movement one distinguish- indicated when the chapter of 1266 authorizeding quality dependent upon the example and the destruction of all previous Franciscan litera-precepts of the founder retained its vitality. The Franciscan Movement 413 Franciscans were preeminently the apostles ofthat of the Dominican in the realm of education. the masses and in particular of the urban masses.St. Francis had looked upon learning as anti- They founded hospitals and leper houses; theypathetic to the true imitation of the lowly Christ, introduced works of public utility, such as waterbut by the latter half of the thirteenth century supplies. The persistence of the original im-the Franciscan order had come to represent a pulse to relief work in the towns is indicated asChristian utopia for some of the finest minds late as the fifteenth and sixteenth centuries whenof the time, and St. Bonaventura, the "Seraphic the order participated in the establishment of the Doctor," who was minister general from 1257 to montes pietatis, or municipal loan institutions of1274, could declare: "I confess before God that Italy. While these institutions implicitly clashed it is this which has made me most of all to love not only with St. Francis' prohibition of money the life of St. Francis, that it is like the begin- but with the traditional teachings on interest,ning and the consummation of the church, which their functional importance in relieving the fi- first began from simple fishermen and then ad- nancial straits of the needy won the sympathyvanced to the most famous and most learned of the Franciscans, who became their principaldoctors." Adam Marsh, Alexander of Hales, protagonists against the more orthodox and, atRoger Bacon, Duns Scotus and William of Ock- least in this case, more doctrinaire Dominicans. ham were Franciscans. Under the influence of Many historians have also attached great weightthe intellectuals within the order and of the to the significance of the Third Order of St.Dominican example the Franciscans perfected Francis in the growth of the towns. Probablyan elaborate educational organization, including owing its constitution largely to Ugolino, thisadvanced schools in the university towns -Ox- order had been established before Francis' deathford, Paris, Cambridge and Bologna -and sub- to supplement the First Order, to which mensidiary schools located in their priories. Like professing the absolute poverty of Francis were those of the Dominicans these institutions were eligible, and the Second Order, or Order of St.flung open to the public, and particularly during Clare, which recruited women on the same basis.the thirteenth century won such prestige that It was a brotherhood of laymen released fromthey exercised a virtual monopoly of general any mandate of poverty, either personal or cor- education. porate, but enjoined to live lives of simplicity But the Franciscans struck deeper than the and Christian charity. Their obligations in-superstratum of culture -philosophy, science, cluded abstention from oaths and from the useeducational organization. Francis, embodying in of arms. Since oath taking and military servicehis own life the deep poetry of the Gospels, were essential elements in the feudal system, the adding to the religious inspiration an extraor- inference seems logically just that the Thirddinary sensitivity to natural beauty and a su- Order contributed to the breakdown of that sys-perlative capacity for seizing upon the concrete tem and gave corresponding impetus to theimage, has been generally accepted, especially growth of the communes. But in reality the his- through his Canticle of the Sun, as the creator of tory of the Third Order is enshrouded in mys-the vernacular religious poetry of Italy; and the tery and it is difficult to judge to what extent itimpulse which moved him extended to a long performed functions distinct from those of theline of Franciscan poets, of whom the best other religious guilds which seem to have beenknown are perhaps Jacopone da Todi and rife in most centers of industry at the time. ItsThomas of Celano. It was through St. Francis territorialand numerical extent cannot bethat Cimabue and Giotto and through them fixed even approximately, although it is knownthat the nascent Florentine school of painters to have flourished in the towns of Umbria andlearned the deep poetic significance of Christi- Tuscany and in the Rhenish cities. anity; while the tomb of the Poverello at Assisi - In certain spheres the influence of the Fran-a monument, like so many of the works of his ciscans coalesced with that of the Dominicans.followers, built in exact contradiction to his No less than the Black Friars the Grey Friarsideals and yet testifying to the vitality of those were the confessors of kings and still moreideals- became the model of a new architecture the confessors of queens; no less than the Blackin Italy. Of more direct social significance were Friars they helped, by the example of their ownthe contributions made by the Franciscans to representative constitution, to propagate the ideathe cultural life of the masses in the towns. of representative government in affairs of state.Traveling swiftly from place to place, cosmo- But perhaps their influence is least distinct frompolitan in their outlook, they ranked with the 414 Encyclopaedia of the Social Sciences merchants as disseminators of information, dis-fection. The Franciscan who combined in great- coveries, alien customs and standards of life.est degree a capacity for systematic thought with Freed, unlike the merchants, from the eagerunwavering fidelity to the idea of evangelical quest of personal gain, having the inestimablepoverty was the Zealot Pierre Jean Olivi, who advantage of the religious entrée in an age whendeveloped the doctrine of the "poor use" and all culture was still widely regarded as a kind ofwhose speculations on egoism strongly suggest Plotinian emanation from Christianity, their in-Tolstoy. The doctrine, ending in the dictum that fluence was correspondingly more universal andnot only economic activity but any endeavor more popular. It was the friars who developedwhich brought satisfaction to the ego was sin, the art of popular preaching, and whereas thewould have condoned no life but that of the Dominicans concentrated on matters of faithman bereft of possessions and surviving by par- and dogma the sermons of the Franciscans were taking of the bounty of the Lord. All these chiefly occupied with the details of daily life -thinkers were in varying degrees guilty of dis- with morals, the obligations of Christian charitytorting Francis' simple, unformalized views on and even matters of dress. A picture of thir- begging. To him begging was no more than the teenth century German life might be drawn from substitute device which God provided when the the sermons of Berthold of Ratisbon. In thebrethren could not work. But his followers ele- early history of miracle plays the name of thevated this device into a rational principle and order constantly reappears, and their continuedfortified it by elaborate logic; in so doing they interest in the popular drama is manifested asprovided a much exploited refuge for the host of late as the sixteenth century when they becameidlers who were to help destroy the influence of the sole directors and organizers of the Coventrythe order. plays. The principal political connotation of the The Franciscans made various attempts toFranciscan movement was one which the age elaborate the economic aspects of St. Francis'was hardly prepared to develop into a body of way of life into a body of formal speculation.formal doctrine. That democratic spirit which When compared with the contemporary work ofthe movement released in the masses everywhere the great Dominican Aquinas, who was attempt- -the vivid sense of human equality and of the ing to bridge the gap between the traditionalsignificance of the individual -necessarily re- doctrines inherited from the church fathersmained an intangible force affecting the outlook and the new conditions precipitated by the re-of men but debarred from integral expression. vival of commerce, their highly idealistic andNevertheless, in the history of Catholic abso- ethical system left little impress on the mainlutism the Franciscan movement stands as the currents of thought of the time. Some, like An-first powerful assertion of the rights of the indi- thony of Padua, were carried by their zeal intovidual against church authoritarianism in the vehement condemnation of all money or mate-long series of explosions which led to the final rial rewards considered as quid pro quo for eco-fulmination of the Reformation. The heretical nomic activity and came to regard all who en-basis on which the Franciscans had been founded joyed the goods of this world as belonging to theremained for more than a century merely im- devil. Systematic thinkers like Alexander ofplicit. But when in 1323 John xxu sought to Hales and St. Bonaventura approached moredemolish that basis by officially pronouncing the closely the church fathers, and while assumingdoctrine of evangelical poverty to be heresy, the that property was a consequence of sin empha-order, precipitately abandoning its policy of sub- sized the Christian duty of redistributing sur-mission to compromise and subterfuge, united pluses among the poor. The most distinctivein self- assertion and presented the spectacle of a characteristic which pervades Franciscan eco-recognized institution of the church flinging nomic speculation as a whole is its justification ofback at the pope his own anathema -heretic. It mendicancy. Even St. Bonaventura, who clearlywas this controversy which inspired thepolitical perceived the dangers of the practise and whowritings of the famous Franciscan William of declared during his generalate, "It has come to Ockham in which he developed his theory of the this, that the wayfarer fears to meet a friar as helimitation of the powers of the papacy through fears a robber," could not escape the conclusionthe church body, thereby joining Marsiglio of that economic industry was the virtue of the god-Padua in laying the foundations for modern less and that man was justified in begging whentheories of sovereignty. work interfered with his pursuit of Christian per- The Franciscan revolt against John was the Franciscan Movement-Franck 415 flare of a spirit which had already lost much of 533-623; Macdonell, A., The Sons of Francis (London its power to translate itself into reality. Decline1902); Little, A. G., Studies in English Franciscan History (Manchester 1917), and The Grey Friars in was rapid during the fourteenth century, accel- Oxford (Oxford 1892); Hutton, E., The Franciscans erated by external conditions, such as the Black in England (London 1926); Mandonnet, Pierre, Les Death, during which over ioo,000 Franciscans règles et le gouvernement de l'ordo de poenitentia, in lost their lives, but due still more to the gradualOpuscules de critique historique, vol. i, pt. iv (Parts 19oz); Coulton, G. G., Five Centuries of Religious moral corruption of the friars themselves. In History, vols. i -ii (Cambridge, Eng. 1923 -27) vol. ii; England, Chaucer, Gower, the author of Piers theHefele, Herman, Die Bettelorden und das religiöse Plowman, Wycliffe and the Lollards castigated Volksleben Ober- und Mittelitaliens im xzzr. Jahrhun- their vices: their idleness, their ubiquitous beg- dert, Beiträge zur Kulturgeschichte des Mittelalters ging, their hypocrisy; and on the continent thereund der Renaissance, vol. ix (Leipsic 1910); Felder, H., Die Ideale des heiligen Franziskus von Assisi (and is the same abundant evidence of the withdrawaled. Paderborn 1924), tr. by B. Bittle (New York of public approval. Internal schisms, periodic 1925); Dubois, L. L., St. Francis of Assisi, Social Re- reforms and attempts to recapture the primitive former (Washington 5904); Gebhart, E., L'Italie mys- spirit of the order continued down to the Refor- tique (7th ed. Paris 1911), tr. by E. M. Hulme as Mystics and Heretics in Italy (New York 1922); Al- mation. During the fourteenth century a line phandéry, P., Les idées morales chez les hétérodoxes began to be drawn between the Observants, who latins au début du xzrre siècle (Paris 1903); Davison, under Bernardino of Siena became for a time Ellen S., Forerunners of St. Francis (Boston 1927); the most vital religious force in Italy, and their Cuthbert, Father, The Romanticism of St. Francis laxer brethren the Conventionals. In the face of (New York 1915); Felder, H., Geschichte der wissen- schaftlichen Studien im Franziskanerorden bis um die repeated failures to reconcile the two groups, theMittedes 13.Jahrhundert (Freiburg i. Br. 1904); Thode, church separated them in 1517 into independentH., Franz von Assisi und die Anfänge der Kunst der organizations; since that time the Observants Renaissance in Italien (2nd ed. Berlin 1904); Gillet, have been by far the more numerous of the two. L., Histoire artistique des ordres mendiants (Paris 1912); Ozanam, A. F., Poêtes franciscains en Italie au xzzze In the succeeding years the Observants were in siècle (Paris 1852), tr. by A. E. Neilen and N. C. Craig their turn confronted with a rapid succession of(New York 1914); Glaser, Friedrich, Die franziska- schismatic reformers, of whom the most impor- nische Bewegung, Münchener volkswirtschaftliche Stu - tant were the Capuchins. But by the same token dien, vol. lix (Stuttgart 5903); Tocco, Felice, La quistione della povertà nel secolo xzv. (Naples s95o); that each successive reform made for increased Weber, Maurice, Les origines des monts -de -piété (Rix - severity of discipline, it made for increased iso-heim 1920); Gilson, Etienne, La philosophie de Saint lation. Since the fourteenth century the historyBonaventure, Études de philosophie médiévale, no. iv of the Franciscans has been that of an order(Paris 1924). progressively losing contact with secular life, For extended bibliographies: Little, A. G., A Guide toFranciscan Studies (London 1920);Robinson, retreating from the apostolic ideal of service inFather Paschal, A Short Introduction to Franciscan the world and ending in virtual conformity to Literature (New York 1907); Salter, E. G., "Sources the old monastic pattern. After that century its for the Biography of St. Francis of Assisi" in Specu- membership dwindled to a fraction of the enor-lum, vol. v (1930) 388-450. mous figure it reckoned at its height.Neverthe- less, down to the present time it has, in general, FRANCK, SEBASTIAN (1499-1543), Ger- attracted more recruits than any other religiousman mystic. At first a Catholic priest, then a order of the church; and it has remained pre-Lutheran preacher, Franck renounced all formal eminently the order of the poor. religion in 1528 and spent the remaining fifteen HELEN SULLIVAN years of his restless life as a writer and printer. His aversion to organized churches is explained See: RELIGIOUS ORDERS; MONASTICISM; ASCETICISM; COMMUNISM; CHRISTIANITY; RELIGIOUS INSTITUTIONS; by his conviction that only the "invisible word," DOMINICANS. the "spirit of God," can give power and light Consult: Cuthbert, Father, Life of St. Francis of Assisito man. It was to the "invisible spiritual church" (New York 1912); Sabatier, Paul, Vie de S. François that Franck aspired in his intense individualism. d'Assise (Paris 1894), tr. by L. S. Houghton (New By virtue of his uncompromising demands for York 1894); Salvatorelli, Luigi, Vita di San Francesco d' Assisi (Bari 1926), tr. by Eric Sutton (New Yorkfreedom of conscience Franck is to be regarded 1928); Gratien, Père, Histoire de la fondation et de as one of the first champions of the idea oftoler- l'évolution de l'ordre des frères mineurs au xlize siècleance. But to exalt him into a path breaker for (Paris 1928); Muzzey, D. S., The Spiritual Franciscans the modern era, as many scholars have done, is (New York 1907); Ehrle, Franz, "Die Spiritualen" in to overrate him. The otherworldly and mystical Archiv für Litteratur- and Kirchengeschichte, vol.i (1885) 509 -69, vol. ii (1886) 106 -64, and vol. iii (1887) set of his mind prevented him from attaining 416 Encyclopaedia of the Social. Sciences to any positive view of the concrete realities of Francke was the first to direct the attention of life or from formulating a definite social pro-philanthropic workers to the need for providing gram. Although he did in passing recommendfor the educational as well as for the physical community of goods, fundamentally he was in-welfare of the poor, and schools patterned after different to the needs of the masses and evenhis model were established in various parts of acquiesced in the smothering of such move- Germany. His primary educational aim was reli- ments as the Peasants' Revolt of 1524-25. Ongious and in this connection he was the first to the other hand, he was as antagonistic to im-emphasize the principle of the education of the perial authority as to democracy. The most thatwill, but he also pointed out the importance of can be said is that the critical attitude towardthe need for training better and more useful the social institutions and spiritual tendenciescitizens for the state. The example of his schools of his time which Franck expressed in his writ- as well as the activities of his pupils and disciples ings, especially the Chronica, Zeitbuch und Ge-thus had a marked influence on the subsequent schichtsbibel (Strasbourg 1531), with its supple- organization of the Prussian public school sys- ment Weltbuch (Tübingen 1534), and the Para-tem under Frederick William I and Frederick ix. doxa (Ulm 1534; new ed. by H. Ziegler, JeanHis influence was also significant in the Real - 1909), helped to pave the way for the Aufklärung. schulen movement started by his disciple Hecker; In the section of the Chronica known as thethrough his seminarium praeceptorum and his Ketzerkronik is contained the essence of Franck's seminarium selectum praeceptorum he may be con- philosophy of history, that the heretics of everysidered the founder of teachers' training schools. age have been Christs. The Franckische Stiftungen, the outgrowth of KARL VÖLKER the organizations started by Francke, still occupy Consult: Hegler, A., Geist und Schrift bei Sebastiana prominent place among German educational Franck (Freiburg i. Br. 1892); Reimann, A., Sebastian institutions and form in themselves almost a Franck als Geschichtsphilosoph: Ein moderner Denker suburb of the city of Halle. im 16 .Jahrhundert (Berlin 1921); Oncken, H., "Sebas- tian Franck als Historiker" in Historische Zeitschrift, KOPPEL S. PINSON n.s., vol. xlvi (1899) 385-435; Stadelmann, Rudolf, Consult: Kramer, Gustav, August Hermann Francke, Vom Geist des ausgehenden Mittelalters, Studien zur 2 vols. (Halle 188o -82); Otto, August, August Her - Geschichte der Weltanschauung von Nicolaus Cusanus mann Francke, Die pädagogischen Klassiker, vols. ix- bis Sebastian Franck, Deutsche Vierteljahrsschrift x, 2 vols. (Halle 1902 -04); Geschichte der Erziehung, für Literaturwissenschaft und Geistesgeschichte, vol. ed. by K. A. Schmid, 5 vols. (Stuttgart 1884 -1902) xv (Halle 1929). vol. iv, pt i, p. 187 -302; Sommer, Feodor, August Hermann Franke und seine Stiftungen (Halle 1927); FRANCKE, AUGUST HERMANN (1663 -Weiske, Karl, August Hermann Franckes Pädagogik 1727), German religious leader and educator. (Halle1927), and August Hermann Franke, der Francke, with Philipp Jakob Spener, was the deutschen Seelsorger (Halle 1927). foremost leader of the German religious awaken- ing known as Pietism. While Spener may beFRANCKE, ERNST (1852- 192I), German considered the theorist of the movement, it wasjournalist and social reformer. After studying Francke with his tremendous energy and re-philosophy, natural science and economics in markable powers of organization who broughtStrasbourg, Göttingen and Leipsic, Francke into being a host of institutions that gave con-went to St. Petersburg in 1876 as a private tutor. crete expression to the Pietist ideals of livingIn 1877 he began a journalistic apprenticeship faith and practical piety. In 1692 Francke camein Nuremberg as editor of the Fränkischer Ku- as preacher to Glaucha, at that time a poorrier, at that time a liberal democratic paper. suburb of Halle, and a few years later becameFour years later he became editor in chief of associated with the newly founded University ofthe Münchener neueste Nachrichten and in twelve Halle. His interest in the welfare of the loweryears made it a leading daily. He was publisher classes as well as in general educational im-of the weekly Soziale Praxis from 1897 to 1921, provement led him to the organization of a groupgeneral secretary from 1901 to 1913 and later of institutions which comprised a charity school,president of the Gesellschaft für Soziale Re- an orphan asylum, a Pädagogium for wealthierform and a member of the provisional federal pupils, a German school, a Latin school and aeconomic council from 192o to 1921. Francke's Gynäceum for the education of girls. At the timeachievements were seldom original, yet they of his death these institutions had zzoo pupilswere creative. Through his well informed and with 171 teachers and eight inspectors. lucid writings he greatly influenced German Franck-Frank 417 pre -war social politics, and his practicalwisdomof a varied diet and proper exercise. He consid- enabled him to find common ground for the ered the education of youth by the state, pointing administrative officials and labor leaders. In theout the need of well lighted and properly venti- society for social reform, a forum for the dis-lated school buildings with good benches and cussion of socio- political problems, Franckethe value of supervised exercise and frequent gained the confidence of the labor unions andbathing. He recommended the teaching of sex often succeeded in prompting social reformershygiene and of human anatomy and saw the and labor leaders of different political tendenciesnecessity for proper entertainment. In his com- to common action. With the exception of a fewmunity program he advocated that the state leaders of industry like Albert Ballin, Wilhelmsupervise the construction of dwelling houses, Merton, Richard Roesike and Franz Brandtsprovide good water supplies, dispose of filth, employers distrusted Francke until the revolu-accomplish civic cleanliness by a corps of medi- tion, but he was supported by such scholars ascal police, shelter the aged and supervise burial. Brentano, Sombart and Schmoller. FranckeIf public health practises resulting from modern made the Sociale Praxis unique; in this organknowledge of the infectious diseases and immu- all tendencies were allowed free expression, al-nology be added, the program of public hygiene though the editor held the journal fundamen-which Frank outlined might serve with few tally to a consistent attitude on social reform.changes today. He worked successfully in the international field; W. W. FORD the International Union for Protective LaborConsult: Frank's autobiography, Biographie des D. Legislation and the post -war International La-Johann Peter Frank (Vienna x8oz); Seiler, Hugo, bour Organization were results of his efforts.Peter Frank (Dresden 1895); Doll, K., in Natur- In all his fields of work he had the close confi- wissenschaftlicher Verein, Karlsruhe, Verhandlungen, dence of the former Prussian minister of trade, vol. xxii (19o8 -o9) 3-85. Baron von Berlepsch. His great achievement was no single work, whether book orinstitution, butFRANK, LUDWIG (1874- 1914), German so- Iay in the fact that he was confidant and medi- cialist politician. Frank was born in Baden of ator to forces that could not find a way inim-Jewish parentage. Early in his career he became perial Germany to practical cooperation fora member of the radical wing of theSocial social reform. Democratic party. In 1904 he started a socialist LUDWIG HEYDE youth movement. As a member of the Baden Consult: Heyde, Ludwig, "Ernst Francke" in SozialeLandtag and later in the Reichstag he swung his Praxis, vol. xxx (1921) cols. 1331 -34. party to opportunist tactics aimed at democrati- zation. He became the soul of the so- called great FRANK, JOHANN PETER (1745- 1821), Aus-Left block of Baden, in which the Social Demo- trian physician and writer on public hygiene.cratic party allied with the liberals went so far Frank, who was a professor of medicine andas to approve the budget of the grandduke's director of hospitals at Pavia and at Vienna, isgovernment. Despite opposition in his party, best known for his System einer vollständigenespecially from the older elements, he sought to medizinischen Polizey (4 vols., Mannheim 1777-repeat these tactics in imperial politics. In his 88). In it he offered the first system of publicfight against the plutocratic Prussian three -class hygiene by a German speaking physician whichfranchise he attempted to win the Social Demo- discussed comprehensively the mutual respon-crats in the Reichstag to active cooperation. To sibilities of the state and the individual in refer-win Alsace- Lorraine for Germany and wipe out ence to health. Frankformulated a program forthe menace of a French war of revenge he in- the care of the individual from before birth toduced the imperial government to grant univer- death. He recommended that the physical con-sal suffrage to these provinces in 1911. When all dition of women at marriageable age be guarded,south Germany had universal suffrage, he ar- discussed marriage as an institution and pro- gued, it could not long be withheld from Prussia posed a tax on bachelors to discourage celibacy.and the victory of democracy there would, he When dealing with the care of the pregnanthoped, make certain European peace. He had woman he warned against the harmresultinglong been in friendly contact with the French from overindulgence in alcohol. In his treatment Social Democracy and was with Jaurès the in- of the care and instruction of children in thestigator and leader of the socialist peace demon- first seven years of life he emphasized the valuestrations in Berne at Easter, 1913, and in Basel 418 Encyclopaedia of the Social Sciences at Easter, 1914. When neither the democratiza- izer and a lively journalist, contributingnumer- tion of Prussia nor the clearing of the Europeanous articles on practical questions to such horizon seemed to be imminent, he finally fa-journals as the Neue Zeit, Gleichheit, Bataille, vored pressure upon the Prussian governmentEre nouvelle and the Jahrbuch für Sozialwissen- by means of a political general strike. When theschaft und Sozialpolitik. World War, the prevention of which he had ROBERT BRAUN looked upon as his life task, broke out he entered Consult: Rersö Krajcsi, Frankel Led, a pdrizsi commun the army as a volunteer. A week before a French magyar vezére (Budapest 1919); Brügel, Ludwig, bullet ended his life in Lorraine he explained Geschichte derösterreichischenSozialdemokratie, 5 his action on the ground that "the international vols. (Vienna 1922 -25); Mason, Edward S., The Paris Commune (New York 193o). ideal will still, for a long time, be kept in the background by the reality of a national labor FRANKEL, ZECHARIAS (1801 -75), German- movement. Instead of a general strike, we areJewish religious leader and scholar. Born in the waging a war for the Prussian franchise." Withold ghetto of Prague, Frankel obtained a thor- the death of Frank the German Social Demo-ough Hebrew education at the Yeshiba of R. cratic party lost the most statesmanlike person-Bezalel Ronsperg. In 1825 he went to the Uni- ality of the younger generation. versity of Budapest. He was one of the first Jews GUSTAV MAYER trained in secular fields to serve as a rabbi in Consult: Frank, L., Aufsätze, Reden and Briefe, ed. Bohemia. After filling several rabbinical posts in by H. Wachenheim (Berlin 1924). Töplitz and Dresden he declined in 1843 the chief rabbinate of Berlin -a position never since FRANKEL, LEÓ (1844 -96), Hungarian Jewishfilled because of the equivocal character of the socialist. At the age of twenty he emigrated toPrussian government's reply to his demands for Germany, where he earned his livelihood as afull legal recognition of the Jewish communities goldsmith and became a socialist. In 1867 heand the abandonment of state support of Chris- settled in France. There he took a prominenttian missionary activities among Jews. In 1854 part in organizing the Lyons section of the Firsthe became president of the new theological sem- International. He was sentenced to two monthsinary in Breslau. in prison during the Franco- Prussian War and He was the outstanding intellectual leader of was liberated on the downfall of Napoleon III.conservative Jewry in Germany and exercised At the organization of the Commune of Paris hegreat influence over the younger generation of was elected to the Central Committee and therabbis and Jewish scholars throughout central Labor Committee (délégué au travail), where heEurope. During the stormy days of reform in was active especially in reorganizing abandonedthe forties he rejected the Hamburg prayer book, industrial plants. He was responsible for thespectacularly left the rabbinical assembly in ordinance of May 3, 1871, against night work in Frankfort and insisted in general upon preserv- bakeries, the first instance of such a measure. Oning traditional observances, Hebrew prayers and the fall of the commune he escaped to London,the hopes of a restoration to Palestine through where he acted as Austrian secretary of thea personal Messiah. He laid down a program of International. From 1876 to 1883 he was inpreserving "positive- historical Judaism" in prac- Hungary editing a socialist weekly, the Arbeiter- tical life while permitting relatively free research Wochenchronik, and was the first real organizerin post -Biblical sources. In defense of his theo- of the Hungarian General Labor party, alogical view against both extreme orthodoxy and socialist movement. He was jailed by the Viennareform he issued the Zeitschrift für die religiösen and Budapest police for his participation in the Interessen des Judentums (Berlin 1844 -46). Later Paris Commune, although the French govern-he edited the prominent scholarly periodical, ment had not brought legal action against him.Monatsschrift far Geschichte and Wissenschaft While representing Hungary at the Socialistdes Judentums, which he edited from its estab- Congress in Ghent in 1877 he was ordered out oflishment in 1851 until 1867. Frankel's studies Belgium. He passed most of his remaining yearsin jurisprudence introduced the comparative in Paris. Frankel was a friend and staunch fol-method into the investigation of Talmudic law. lower of Marx and in 1889 was a member of theTheir main thesis was that Talmudic law was presidium of the Paris socialist conference whichindependent of Roman law, although Frankel led to the establishment of the Second Inter- admitted that certain similarities might flow from national. He was a gifted speaker, a good organ-a common source. The historical school in con- Frank-Franking 419 temporary German jurisprudence strongly ap- In the later seventeenth and earlier eighteenth pealed to him. His book Die Eidesleistung bei dencenturies abuses of the franking privilege be- Juden (Dresden 1840, znd ed. 1847) was a sig-came notorious. Members of Parliament fre- nificant contribution to the efforts to abolish the quently received from their constituents batches oath more judaico throughout Germany and inof letters to be readdressed under their signa- France. His important investigations into thetures. Private individuals forged the names and methodology of the Talmud and the dependenceimitated the seals of the privileged for their own of the Greek and Aramaic versions of the Bibleuse, and the selling of counterfeit franks devel- on Palestinian traditions are still of considerableoped into a regular business. Newspapers being scholarly value. entitled to be sent post free, people wrote their SALO BARON messages on them in "invisible ink" or even by Important works: Vorstudien zur Septuaginta (Leipsic dotting letters or pricking through them. Re- 1841); Der gerichtliche Beweis nach mosaisch- talmu-peated warnings and investigations had little dischem Rechte (Berlin 1846); Uber den Einfluss dereffect. palaestinischen Exegese auf die alexandrinische Her- Until the accession of George n1 all postal meneutic (Leipsic 585i); Darkhe ha- Mischnah (Leipsic 1859, new ed. Warsaw 1923); Mebo ha- Yerushalmi revenues accrued directly to the sovereign and (Breslau 1870). all postal regulations took the form of warrants Consult: Kaufmann, D., in Monatsschrift für Ge- issued in his name. In 1763, however, the reve- schichte and Wissenschaft des Judentums, vol. xxvnues were surrendered in exchange for a fixed (5876) 1z -26, and articles by M. Brann, A. Kisch, J. sum from the Civil List and were thereafter Eschelbacher, M. Güdemann, L. Treitel, and L. Dobschütz in vol. xlv (19o1) 193 -216, 227 -78, 336- paid into the Consolidated, or as it was then 52, 558-62, giving full bibliography of Frankel'swrit-called the Aggregate, Fund; and, inasmuch as ing; Rabbinowitz, S. P., Rabbi Zechariah Frankelpostage could no longer be remitted without (Warsaw 5898-5902), in Hebrew; Deutsch, G., Ginz - authority of Parliament, an act was passed which berg, L., and Kohler, K., in Menorah, vol. xxxi (5905)for the first time placed franking on the basis 329 -66. not of a concession granted by the crown but FRANKING. Derived from the French franc,of a right conferred by statute. The opportunity this term has been used for upwards of threewas seized to impose restrictions and penalties hundred years to denote the right of sendingwhich, it was hoped, would curb abuses and by letters, documents, newspapers and packagesso doing appreciably improve the postal finances, through the mails free of charge. Properly, itbut the new regulations proved almost as in- does not apply to the carriage of matter whicheffective as those previously set forth in warrants a government as such sends out, but isreserved of the crown. for the free transmission of mail for the benefit In 1837 Sir Rowland Hill made an unanswer- of private individuals or corporations or of legis-able plea for the suppression of the system in a lators and other officials when sending outwidely circulated pamphlet entitled Post Office communications or documents not required toReform, and in 1840 Parliament when providing be dispatched in the performance of duty. for a uniform penny rate for letters throughout So far as the records show, franking as thusthe United Kingdom put an end to franking in defined was an invention of Cromwellian Eng-every form except for correspondence emanating land. The Council of State in 1652 gave ordersfrom or addressed to government departments that the letters of all members of Parliament, or their local officials on the service of the state. of all officials and of all other persons acting inAll later attempts of members of Parliament to a public capacity should be carriedfree; and inreinstate the former pernicious system have the following year the people to whom the posts failed. had been farmed agreed to carry free also all The United States has never suffered as seri- letters addressed to parliamentary members.ously from the franking evil as did England, Following the Restoration an act of Parliamentbut on the other hand has not arrived at any in 1693 authorized the free carriage during thefull solution of the problem. The practise origi- current parliamentary session of all letters fromnated in an act of the Continental Congress in and to the king, the great officers of state andJuly, 1775, establishing the Constitutional Post members of Parliament. The practise estab-Office and extending the franking privilege to lished itself impregnably and for more than amembers of Congress and army officers. An- hundred years was continued with no expressother form early taken was that of free exchanges parliamentary authority at all. of newspapers by their editors as a means of 420 Encyclopaedia of the Social Sciences promoting communication between differentCongress and speeches and other documents states and localities in the period of the Con-sent out by them; (3) country newspapers within federation and after. As the number of news-the county of their publication; and (4) books, papers grew in the earlier nineteenth century,pamphlets and other reading matter in raised the burden upon the post office increased. Pro-characters for the use of the blind. During the posals to abolish free exchanges were resistedfiscal year ending June 3o, 193o, the total num- as "unconstitutional" and subversive of "theber of pieces handled free was 767,145,388, strongest bulwark of free government." from which a revenue of $11,037,152 would In reenacting earlier legislation in 1792 Con-have been derived had postage been paid. Con- gress sought to keep the franking privilegegressmen franked about 35,000000 pieces equiv- within bounds. Despite all efforts, however, italent to $718,000 in revenue; other persons expanded steadily during the next half -century,franked 6,987,761 pieces, which would have and minor government officials, ex- presidents,yielded $154,545. But the privilege, while inde- their widows, signers of the Declaration of Inde-fensible in principle and subject to gross abuse pendence and other groups of prominent citi-in practise, is accountable to only a limited zens were added to the list. Along with post freeextent for the unfavorable balances shown by distribution of documents by the governmentthe postal business in the United States. itself these privileges cut heavily into postal rev- FREDERIC A. 00G enues, although never until very recently were See: POSTAL SERVICE; LEGISLATIVE ASSEMBLIES; CAM- accounts kept in such a manner that the precise PAIGN, POLITICAL; GOVERNMENT REPORTING. extent of the burden could be known. Consult: Roper, D. C., The United States Post Office An act of March 3, 1845, imposed some re-(New York 1917); Rich, W. E., The History of the strictions, but another of March 3, 1863, while United States Post Office to the Year 1829, Harvard Economic Studies,vol.xxvii (Cambridge, Mass. tightening up in connection with executive and 1924); Leech, D. D. T., The Post Office Department administrative franking authorized members ofof the United States of America (Washington 1879) Congress not only to send their correspondencep. 28 -29; United States, Post Office Department, post free at all times but also similarly to dis- Annual Reports of the Postmaster General, published since 1823; Marshall, C. F. D., The British Post Office tribute "seeds, roots, and cuttings" in connec-from Its Beginnings to the End of 1925 (London 1926); tion with the work of the Department of Agri- Murray, Evelyn, The Post Office (London 1927) p. culture. By act of January 31, 1873, franking was 25 -26; Hemmeon, J. C., The History of theBritish indeed abolished, but the sequel was less fortu-Post Office, Harvard Economic Studies, vol. vii (Cam- nate than in England under the act of 1840. bridge, Mass. 1912), especially p. 139 -72; Lewins, William, Her Majesty's Mails (2nd ed. London 1865); The American congressman could not reconcileJoyce, Herbert, The History of the Post Office from himself to the loss of so valuable a privilege, and Its Establishment Down to 1836 (London 1893); Hill, from 1875 onward special acts revived it notRowland and G. B., The Life of Sir Rowland Hill, only as applying to senators and representatives 2 vols. (London 188o). but for the benefit of ex- congressmen (for nine months after the close of their terms), congress- FRANKLIN, BENJAMIN (1706 -90), Ameri- men -elect and other groups both officialandcan statesman and scientist.Franklin was born non -official. Possession of the right inits presentin Boston of English ancestors, and there he broad form by members of Congress materially learned the printer's trade under his brother on affects the conduct of business in the two houses,the New England Courant. At the age of seven- especially by the injection of speeches (not al-teen he went to Philadelphia, where in 1730he ways, however, actually delivered orally)in-became sole owner of the Pennsylvania Gazette, tended primarily for later distribution amongwhich he edited until 1748. During these early the member's constituents; it also figures inyears he read widely, learnedFrench, Italian, political campaigns, since much of the frankedSpanish and Latin and by constant practise per- material sent out is designed, directly or indi-fected a simple and lucid style of writing. With a rectly, to win votes. passion for improving himself and the commu- Under existing laws postal matter from whichnity, he founded a debating club, the Junto, pre- no revenue is derived falls into fourcategories:pared annually Poor Richard's Almanac (1732- (I) correspondence carried on and publications 57), which made him famous at home andabroad, distributed under the penalty privilege by de-founded the Philadelphia library, the American partments and establishments of the nationalPhilosophical Society and an academy which government; (2) correspondence of members oflater became the University of Pennsylvania. Franking-Franklin 421 With the same conscious deliberation he fash-ened. Upon his return to America in 1775 Frank- ioned a religion by deciding that whereas a ma-lin was elected to the Second Continental Con- terialistic theory of the universe might be true,gress and served on many committees,including it would be more "useful" to believe in Godthe committee to draft the Declaration of Inde- and the immortality of the soul and to practisependence. In 1776 at the age of seventy he was the useful virtues, which turned out to be thir-sent to France as representative of the Congress teen in number. In 1748 he retired from activeand remained there in that capacity until 1785. business with the intention of devoting his lifeHe was of incalculable assistance to the colonies to science, which fascinated him more than any during the war. In France, according to John other subject. During the next six years, making Adams, his fame was "more universal than that experiments with "an electric tube" and withof Leibnitz or Newton, Frederick or Voltaire" "Musschenbroek's wonderful bottle" (Leyden(Works, vol. i, Boston 1856, p. 660). He was jar), he "established the essential phenomena ofchiefly responsible for keeping the French gov- the condenser." The identity of lightning and ernment well disposed toward the colonial cause electricity was demonstrated in France in 1752and for obtaining the financial assistance without by methods suggested by Franklin, who laterwhich the revolutionary war could scarcely have confirmed it by his famous kite experiment (onbeen brought to a successful conclusion. He took this disputed subject, see Jernegan, M. W., ina leading part in negotiating the treatiesof 1773 New England Quarterly, vol. i, 1928, p. 180 -96). and 1778. After his return to America in 1785 After these six years of leisure Franklin washe was made president of the Executive Council drawn into politics. In 1754 he attended theof Pennsylvania and in 1787 served in the Con- Albany Congress and drafted a Plan of Union,stitutional Convention, where he exercised a which the Congress adopted but which was re-great influence in composing quarrels and took jected by the colonial governments because ita leading part in framing thecompromise be- had in it "too much prerogative" and by thetween the large and the small states on the ques- English government because it contained tootion of representation in the House of Represen- much of "the democratic." In 1757 he went totatives. His last public act was to sign a petition England to press the claims of the Pennsylvaniafor the abolition of slavery. Assembly to tax the proprietary estates. He re- Franklin was fortunate in being by tempera- mained there five years and found life so agree-ment and character in harmony with his age. able that he was loath to return. In 176o he He accepted easily and expressed without effort published The Interest of Great Britain Consid- all the characteristic notions of the Enlighten- ered (Boston), to which was appended a paperment. He was fortunate also in enjoying awider written in 5751, "Observations concerning theexperience than falls to the lot of most great Increase of Mankind," which anticipated somemen. Rising from poverty to affluence,he lived of the ideas of Malthus on population. It is sup-on every social level and wasequally at home posed that these papers had some influence inwith kitchen girls and kings. He lived for twenty - deciding Great Britain to take Canada instead offive years abroad, either in England or France, Guadeloupe from France in 1763. From 1764 toand came to know personally or by correspond- other 1775 Franklin wasagain in England as agent ofence more men of distinction than any the Pennsylvania Assembly (after 1768 he wasman of his time. All thisexperience he easily also the agent of Georgia and after 1770 of Mas-assimilated without being warped by it. His sachusetts). During the early years his influenceamazing success in practical affairs and in assim- was conciliatory; he wasregarded in America asilating experience was perhaps the result of his too English and in England as tooAmerican indisposition to take life with infinite zest and yet his views of the controversy. But his residencewith humorous detachment. Apart from his sci- in England gradually abated his admirationforentific experiments his activities seem to have the English government and strengthened his been the result of outward pressure rather than American sympathies, and after 177o his influ-of inner impulse. In all of his dealings with men ence was rather to embitter than to composetheand affairs one feels that Franklin was never quarrel. By procuring and sending to Bostonwholly committed. Nature alone met him on certain private letters of Governor Hutchinsonequal terms; she alone enlisted in the solution of Massachusetts he did much to make the dis-of her problems the full powers of his mind. pute irreconcilable. As his bias changed hisviews CARL BECKER of American rights were extended and strength- Works: The best editions of Franklin's collected works 422 Encyclopaedia of the SocialSciences are those of John Bigelow, io vols. (New York 1887- 88), and A. H. Smyth, io vols. (New York 19(35 -o7). literature by pressure of conservative politicians The Autobiography, completed by selections from his and reactionary clergy. correspondence, has been edited by John Bigelow, 3 M. WOZNIACK vols. (Philadelphia 1868, 2nd ed. 1879). Consult: Ivan Franko, ed. by I. Lakyza and others Consult: Parton, James, Life and Times of Benjamin (Kiev 1926). Franklin, z vols. (New York 1864); Morse, J. T., Jr., Benjamin Franklin (Boston 1889); Ford, P. L., TheFRANTZ, KONSTANTIN (1817 -91), Ger- Many -Sided Franklin (New York 1899); Bruce, W. C., Benjamin Franklin, Self Revealed, 2 vols. (New York man publicist and political theorist. Frantz 1917); Faÿ, Bernard, Franklin, the Apostle of Modern steered an independent course between rational- Times (Boston 1929); The Amazing Benjamin Franklin, ism and the various systems of German idealism ed. by J. Henry Smythe (New York 1929); McMaster, and romanticism, all of which influenced him, J. B., Benjamin Franklin as a Man of Letters (Boston as did Comte, the French socialists, List and 1887); Wetzel, W. A., Benjamin Franklin as an Econo- mist (Baltimore 1895); Stifler, James M., The Religion Marlo. At first a Prussian patriot like Bismarck, of Benjamin Franklin (New York 1925); Eiselen, Frantz later advocated a Christian pan- German Malcolm R., Franklin's Political Theories (New York federalism, to be founded on a synthesis of 1928). liberalism and socialism, and fought the German Reich created by Bismarck. His numerous writ- FRANKO, IVAN (1856- 1916), Ukrainian writerings, containing a strange mixture of political and national leader. Franko was born of a peas- realism and utopianism, often of prophetic ant family in Galicia. He studied at the univer-character, exercised no effect after 1866 but ex- sity in Lemberg and even in his student yearsperienced a renaissance after the World War, identified himself with the ideal of social andespecially in democratic and pacifist circles, al- political liberation of the Ukrainian masses. Un-though Frantz was neither democrat nor paci- der the influence of Drahomanov he formulatedfist. He opposed the nationality principle be- a socialist program based on a combination ofcause of its relation to the doctrine of natural anarchic syndicalism and agrarian federalismrights, but he saw might as the core of politics and was soon recognized as the intellectual leaderand added to Montesquieu's list of three state of the Galician workmen's movement. powers a fourth, the military. He criticized all He displayed a wide literary and political activ- parties in Germany, most of all the Liberals ity unchecked even by frequent imprisonments:because of their atomizing political and capital- he founded the first Ukrainian socialist publica-istic economic attitude, and attacked the system tion in Galicia, wrote a handbook on politicalas the reign of the bourse (reign of the Jews). economy based on Chernyshevsky, Mill andFor the Conservatives as a party he cared Marx, translated parts of Marx' Das Kapital, pop-little, although his teachings were conservative ularized the principles of socialism, helped tothroughout. He advocated a "true" national draw up the first program of Galician socialistseconomy, empirically grounded, to investigate and aided in the development of the Polish Socialthe interaction of economic branches and socio- Democratic party. Franko, however, was enough political institutions. An early advocate of the of a realist to be interested more in possibilitiescooperative system, he proposed to develop of immediate political reform than in discussionmediaeval institutions along modern lines. He of remote forms of the social order and devotedconsidered the state as a product of nature and much time to the organization of all democraticof history but in the main as the work of man elements in Galicia, Polish as well as Ukrainian.with the attendant moral qualities of good and With Pavlik he founded the Ukrainian Radicalbad. The state was to be built up pyramidically party in189o, which besides preparing theof the different professions and social and politi- ground for Ukrainian Social Democracy con-calunions.Constitutionalism, bureaucratic - solidated the peasants into an independent po-absolutistic centralism and particularism were litical force that had a far reaching effect on theequally rejected by Frantz. political and cultural development of the Ukrain- In world politics Frantz again advocated ian nation. federalism. To check the political and economic Franko's influence transcended the realm ofimperialism of the United States and Russia, politics. His position as poet of the Ukrainianwhich he regarded as the only really great renaissance is second only to that of Shevchenko.powers by reason of their natural resources, he He also attained fame as a scholar and critic butdesired to make the German Bund (Germany was barred from a professorship of Ukrainianand Austria -Hungary) the basis of a central Franklin-Fraternal Orders 423 European federation toward which Englandsecrecy, ritualism, symbolism and sociability. would incline, and which, Frantz believed,The true prototypes of the modern fraternal could develop into a Kantian league of nations. order were thus certain secret societies patterned KURT BORRIES after Freemasonry which emphasized their be- nevolent features. Such include the Independent Important works: Die Naturlehre des Staates (Leipsic 5870); Der Nationalliberalismus und die 3udenherr-Order of Odd Fellows, the United Ancient schaft (Munich 1874); Literarisch- politische Aufsätze Order of Druids and the Ancient Order of For- (Munich 1876); Der Föderalismus als das leitende esters introduced into the United States in 5859, Prinzip für die sociale, staatliche und internationale 5830 and 1832 respectively and the Improved Organisation (Mainz 1879; abridged ed. with title Deutschland und der Föderalismus, Stuttgart 1921); Order of Red Men, the oldest beneficiary society Weltpolitik (Chemnitz 1882 -83). of distinctly. American origin. A few of these Consult: Stamm, Eugen, Konstantin Frantz, vols. i -ii early societies later adopted those insurance fea- (Heidelberg 5907 and Stuttgart 193o); Martin, Leni,tures which have converted them into true fra- Konstantin Frantz als Staatsphilosoph und Verfas-ternal societies; nevertheless, of the nearly two sungspolitiker (Köln 5928); Häne, Max, Die Staats- hundred orders furnishing life insurance as a ideen des Konstantin Frantz (Gladbach -Rheydt 1929); Coker, F. W., Organismic Theories of theState, main feature in 1931 only some half dozen ante- Columbia University, Studies in History, Economics date 1860. and Public Law, vol. xxxviii, no. 2 (New York 191o). The phenomenal growth of fraternal orders throughout the English speaking world since the FRATERNAL INSURANCE. See FRATERNAL middle of the last century has been associated ORDERS; INSURANCE. with the development of democratic institutions and the consequent freedom to form voluntary FRATERNAL ORDERS. This term as com-associations for the promotion of common inter- monly used designates a variety of associationsests. Many orders have been based on a con- which combine secrecy and sociability with fi-sciousness of kind arising from occupational, nancial cooperation in meeting one or moreofmoral, racial or religious similarities. Many have the contingencies of life. In its widest connota-existed in connection with skilled trade unions; tion it includes both secret and non - secretsocialmany have limited their membership to particu- and benevolent societies, ranging from locallar national or religious groups. Of the two hun- working men's mutual benefit associations todred largest orders operating in the United States such national and international secret societiesin 1931, one third recruit from immigrant racial as the Freemasons andthe Loyal Order ofelements; those among the Poles, Jews, Slovaks, Moose, in which beneficiary features are sub- Czechs, Croats and French - Canadians are espe- ordinate to the appeals of good fellowship andcially numerous, while a dozen other immigrant ceremonialism. Concurrently with the prolifera- groups have one or more societies. Nearly one tion of fraternal orders has occurred the growthsixth of them have the word Catholic in their of secret college Greek letter fraternities and ofnames, indicating that the opposition of the Ro- such attenuated non -secret bodies as the Rota-man Catholic church to secret societies does not rians and the Boy Scouts. But as usually definedextend to fraternal orders. The Knights of Co- in American law a fraternal order is a voluntary lumbus, for example, has become one of the association for mutual benefit, organized under largest orders both in membership and assets. a lodge system withrepresentative governmentMany societies formed for specific political, re- and making provision for payment of death andform or religious purposes have included sick, other benefits. It combines certain features offuneral or certain other benefits among their the older friendly society with certain features ofattractions. Of the considerable number of patri- the secret society typified by Freemasonry. Theotic and political societies formed about the English friendly societies, dating from the six-middle of the last century the Order of United teenth century, became during the nineteenthAmerican Mechanics, the American Protestant century important working class agenciesin pro-Association and the Brotherhood of the Union viding for sickness, old age and funeral expense;have paid such benefits. After the Civil War their principles were carried over into thecertain trade unions, influenced by the increas- United States and the British colonies to becomeing popularity of the secret fraternal orders, the basic elements in the modern fraternal soci- adopted the lodge form of organization. In addi- ety. From the Masonic movement thefraternaltion there existed thousands of mutual assess- order derived ideas of organization, government, ment associations, especially among Negroes and 424 Encyclopaedia of the Social Sciences special labor groups; most of them were of shortthough it has been estimated that, of the 3500 duration, and little is known of them. mutual assessment associations formed during The order which seems to have served asthe period between 187o and 19ro, fully 3000 a new model for fraternal societies in Americafailed after an average life of fifteen years, was the Ancient Order of United Workmen,the ideal of mutual aid and the social values of Jefferson Lodge Number r, founded in ¡868 atfraternity so harmonized with the democratic Meadville, Pennsylvania, by a Mason namedaspirations of the day that fraternal insurance John Jordan Upchurch. Designed originally asitself survived. a social and defensive organization for working Reform proved extremely difficult, however, men, it began after its first year to pay a sub-because of the general ignorance of insurance stantial death benefit by means of an assessmentprinciples on the part of the rank and file and of one dollar per local lodge member upon eachthe vigorous opposition of the older members death. From this levy funeral expenses wereand of many of those in office. The first reforms paid and the remainder, up to and not to exceedattempted to relate assessments to age by such $2000, was given to the deceased's family ormeans as the so- called step rate, whereby the heirs. This life insurance or death benefit featurepremiums advance with age or by age classes in its various forms together with the popular(five -year age groups). At first increases in rates prejudice against regular life insurance compa-were sometimes denied by the courts as viola- nies and the fact that ordinary insurance was nottions of the original contract, but in 1915 the readily available to members of the middle andUnited States Supreme Court in Royal Arcanum lower classes led to a rapid expansion of fraternalV. Green (237 U. S . 53 r ) guaranteed considerable orders. When during the seventies more thandiscretion to the fraternal orders in the revision sixty old line companies failed amidst extensiveof their rates. The National Fraternal Congress, evidence of deceit and corruption, there devel-founded in 1886 to promote sound actuarial oped an almost fantastic belief in the financialpractises, drew up a uniform bill in x892 and a legerdemain of the assessment principle and anmortality table in 1899, the enactment of which unreasoning opposition to the value of accumu- it urged. It was opposed in this by the Associated lating reserves to offset the increasing mortality Fraternities of America (1901 -13). Nevertheless, of age. As a result the public was grievously ex- the conference of fraternal orders and insurance ploited by wildcat commercial assessment com-commissioners held at Mobile, Alabama, in 19r0 panies and ill starred fraternal orders. adopted a uniform fraternal code establishing Inevitably the uniform levy or assessmentminimum actuarial standards; and this code, proved workable only during the early years ofslightly modified in New York in 1912, has since a society, while the membership was increasingbeen enacted in most states .It has given the at a rapid rate and the majority of members were insurance commissioners considerable supervi- still young and their mortality low. As the aver- sory powers, checked the formation of orders age age of the membership increased and it waswith rates below the safety level and helped to no longer possible to maintain the early percent-educate the public in the requirements of sound age rate of growth, the death rate and hence theinsurance. The Fraternal Congress has continued number of assessments rose sharply. Since thisto advocate state supervision, periodic revalua- threw a disproportionate financial burden on thetion of assets and liabilities, better selection younger members, recruiting became steadilyof members and enlargement of insurance privi- more difficult and withdrawals were stimulated leges.Ithas encouraged the formation of by the constant formation of new societies offer-juvenile departments for the insurance of chil- ing lower rates and as a rule promises of addi-dren under sixteen and the modification of those tional benefits. Many flourishing orders becamelaws which allow only certain blood relations to insolvent; some merged; all were compelled tobe named as beneficiaries in a fraternal insur- make radical alterations in their financial opera-ance contract. tions. By the late eighties the leaders of the As a whole the fraternal insurance business movement saw that the only salvation lay in the has made steady progress during the past two de- adoption of sound actuarial methods. The neg-cades toward a sounder actuarial basis, although lect of the simple fact that the insurance riskit is true that much of it is still sold at an inade- increases with age would have been even morequate price. The movement cannot be said, disastrous if it had not been for the rise in thehowever, to be holding its own. Many orders are average longevity of the population. But evenstill struggling with reorganization problems. Fraternal Orders-Fraternizing 425 The advancement of rates results in numerouslen steadily from slightly above one third of the withdrawals and adult membership has steadilynational total to less than one fifteenth. diminished in recent years. On January 1, 1931, FRANK H. HANKINS the Zoo leading orders reported an adult mem- See: FRIENDLY SOCIETIES; MUTUAL AID SOCIETIES; bership of 8,198,000, organized into 114,890 SECRET SOCIETIES; PATRIOTIC SOCIETIES; MASONRY; lodges, showing a net decline for the year of CLUBS; CLUBS, POLITICAL; WORKINGMEN'S CLUBS; BENEFITS, TRADE UNION; SOCIAL INSURANCE; LIFE 378,000 members and 1331 lodges. This decline INSURANCE; WELFARE WORK, INDUSTRIAL; CHAMBERS has been partly offset by the rapid increase in OF COMMERCE; SERVICE; WOMEN'S ORGANIZATIONS; juvenile members during the past decade, their BOYS' AND GIRLS' CLUBS; RELIGIOUS ORDERS; CHARITY. number being 976,400 in 1931. About one third Consult: Basye, Walter, History and Operation of Fra- of these orders had uninsured members aggre- ternal Insurance (Rochester, N. Y. 2919); A Dictionary gating 533,700. While only thirty -five were of Secret and Other Societies, compiled by Arthur Preuss (St. Louis 1924); Merz, Charles, The Great granting sick and accident benefits, all but four American Band Wagon (New York 1928) ch. iii; Ellis, were selling one or more typesof life insurance. C. E., An Authentic History of the Benevolent and The fraternal society has thus tended to becomeProtective Order of Elks (Chicago191o);Irons, a mutual insurance company. Thomas, A Brief Story of Early Odd Fellowship (Philadelphia 1925); Knight, C. K., "Fraternal Life The two major appeals of the order, sociability Insurance" in American Academy of Political and and financial aid, have been weakened by recent Social Science, Annals, vol. cxxx (1927) 97 -102; Daw- social changes. Rapid urbanization, with its son, M. M., Assessment Life Insurance (New York manifold attractions and distractions, has all but 1896); United States, Bureau of Labor Statistics, destroyed the spirit of neighborhood and com- "Beneficial Activities of American Trade Unions" by F. E. Parker, Bulletin, no. 465 (1928) ch. ii, and "Care munal solidarity. The pleasures of lodge nightof Aged Persons in the United States," by F. E. and the lodge sociable have been dimmed by the Parker, Bulletin, no. 489 (1929) ch. viii; National In- automobile, the motion picture and the radio. As dustrial Conference Board, Experience with Mutual alien elements have become assimilated they Benefit Associations in the United States, Research have felt less keenly the need of fraternization Report no. 65 (New York 1923). See also Proceedings of the National Fraternal Congress (annually, Chicago and mutual aid. The force of the religious motive 1886 -1913), Proceedings of the National Fraternal has also been weakened in an atmosphere of free- Congress of America published in Minneapolis an- dom, democracy and improved material welfare.nually since 1914, and the annual statistical supple- Political and economic relations have becomement to the Fraternal Monitor (Rochester). more impersonal, thus atrophying thespirit of mutual helpfulness, and the increasing complex- FRATERNIZING may be either a spontaneous ity of social organization has made personal as-movement or a method of political action. As a sistance to fellow members more difficult. method fraternizing consists in making friendly The chief difficulties of the orders, however,overtures directly to opponents in the hope of appear to be financial. While increasing propor- breaking down their resistance. Since these over- tion of the public insists upon complete security tures are made by those who are openly identi- for its insurance investments, the repeated rais-fied with a cause, fraternizing differs from those ing of rates by the orders during the long periodforms of propaganda whose success depends on of reorganization has lessened confidence in their concealing the affiliation of the propagandist. methods. Many of the societies have placed solic- Fraternizing is restricted to face to face rela- iting agents in the field to assist in the conver-tions, while propaganda may be transmitted sion of old contracts into new ones and to securethrough secondary channels of communication. the new business that formerly came to themSince the initiative is taken for the express pur- through the personal contacts of their members.pose of modifying the attitudesof the enemy, These new methods are not yet efficient and eco-fraternizing is distinguished from the friendly nomical, and the costs of new business are fur- approaches of the deserter or the spy. ther increased by a large percentage of lapses Spontaneous fraternizing often occurs among during the first year. Consequently the net ratescontending armies or corps. Soldiers work out of the fraternal orders are no more attractive a system of arrangements with theirantagonists than those of some of the old line companies.for the exchange of commodities between the The future of the orders, which thus depends on lines or even for the suspension of hostilities their capacity to compete with the regular in-during times of sleep or play. This tendency is surance companies, is not promising.Since 1910particularly marked where the issue involved in the insurance annually written by them has fal-the war does not penetrate to the rank and file. 426 Encyclopaedia of the Social Sciences Where the war is considered an upper class in- the forms of personal intercourse are informal terest, as in dynastic wars or civil wars aimedand democratic, the employers with genial per- chiefly at the offices, there is much fraternizing, sonalities have often proved very successful in as in many South American revolutions and inmaintaining personal rather than categorical re- the wars of the late Roman Republic. With thelations with their men. establishment of the conception of the national It is important to take account of certain state fraternizing abates. The emergence of in-important limitations upon fraternizing as a ternationalism in the masses, as in the form ofweapon. Unless one's own side is thoroughly proletarian class consciousness, opens the way dependable, contact may prove to be a boomer- to fraternizing. ang, as was alleged to be the case at some points Such friendly intercourse has no place in thewhere German troops were permitted to mingle strategy of fraternizing except as simple mindedwith Russian revolutionary troops on the eastern sincerity may be exploited for the spread of de-front. It is a very sound impulse which leads the featism. During the World War the Austro-true sectarian to eschew too great intimacies Hungarian command took great precautions towith the rest of the world. Among the true be- avoid friendly contact between southern Slays,lievers mutual reenforcement is provided by the Italians and kinsmen across the lines. But partconstant reiteration of dogmas, arguments, plans of the strategy of Caporetto was to allow social-and slogans and by the growth of emotional ist and other unreliable elements to build upattachments within the group. Mass confronta- friendly intercourse with the Italian troops, whotion of the opponent occurs but rarely, and were already suffering from war weariness andfraternizing as a campaign of attrition upon the bitter resentment against the iron disciplinarymorale of the enemy had best be conducted by policy of the Italian high command; just beforemen of fixed purpose. the offensive began, loyal troops were rushed to The strength of fraternizing lies in the power- the front line. Spontaneous fraternizing may be ful appeal which it makes to deep, non -rational tolerated if one's own forces are better fed andmotives of the human personality. When ap- better equipped than the enemy. Some of theproached with respect or treated as moral beings fraternizing on the German -Russian front wasmen tend to play the role imputed to them. By intended to depress and to demoralize the Rus-stressing the common symbol of "brother, corn - sian soldiers . Disaffected elements may be soughtrade, fellow man" emotional identifications are out on the other side, as when the Germanseffectively mediated. Since fraternizing is car- approached the Irish. ried out face to face, advantage is taken of the A conquering general has sometimes used frat-fact that in primary relations many opportunities ernizing to reduce bloodshed in consolidatingare given for emotional interests to arise and for his victory and also in diminishing the possi-friendships to develop. Moreover, there is al- bility that resentments will produce an earlyways the possibility that friendly yet firm criti- revival of resistance. Caesar was able to remove cism of a ruling regime by an apostle of change the army of Pompey in Spain by means of adroit may bring to expression slumbering hatreds in manoeuvres and fraternizing and to hasten east-the breasts of its adherents. And not the least ward to deal with Pompey himself, reasonablyadvantage of fraternizing lies in the repercussion insured against revolt. when it fails to win a favorable response from Fraternizing is particularly prominent during the other side. Any denial of response to friendly civil disturbances, like Putsche, coups d'état and overtures activates powerful hostile impulses, strikes, since many common bonds unite theespecially if the enemy has followed up his rebuff antagonists. Differences of language, tradition,by "atrocities" against those who made the ac- aspiration, physiognomy and dress are at a mini- tual overtures. mum and a network of intimate personal con- In applying the method several technical con- nections cuts across the battle array. It will be siderations should be borne in mind. If oppo- remembered that in the critical days of the 1917nents can be dealt with in isolation from their revolution the Bolshevist demonstrators werefaction, the chances of success are best. The notably successful in winning over many of thepoliceman or the guardsman may be approached soldiers who were ordered out to suppress them.when he is away from the support of his envi- Employers have often fraternized with their em- ronment, and much may be done to activate his ployees in the hope of breaking up an incipientdoubts and to destroy his impression that the strike movement. In the United States, whereenemy is inhuman. In war it has not infre- Fraternizing-Fraud 427 quently proved possible to win over prisonersfraud, which has had various meanings in dif- by generous treatment and then permit them toferent legal systems. The essence of fraud is not escape back to their comrades. It is advanta- so much the falsehood it involves as the delib- geous to have personal friendships establishederate desire to enrich oneself at the expense of in advance of overt conflict. This is one of theone whose confidence has first been gained. incidental advantages of boring from within as Socially if not morally the objection to deliberate practised by the communists and other revolu-deceit is that it adds a serious obstacle to social tionists. And it is important to establish confi- adjustment, since it falsifies any estimate of what dence by consistently avoiding unfriendly acts.one's associates will do and makes it impossible HAROLD D. LASSWELL to depend upon their conduct. See: PROPAGANDA; WAR; MILITARY DESERTION; REVO- In all the very ancient bodies of law, the LUTION; COUP D'ETAT; STRIKE; GENERAL STRIKE. cuneiform, the Hebrew and the Greek law, frauds in sales, especially in the market, were FRAUD. There is no inherent reason why inthe subject of legal regulation through market primitive societies falsehood should be sociallycommissioners or otherwise. But there is no reprehensible. That the duty not to mislead isevidence that any general doctrine of fraud was not fundamental is apparent from the presenceever attained. Of the two terms for fraud in in the folklore of almost every people of aGreek the one, apate, seems to have meant the "trickster" cycle, as the Jacob cycle of the Olddisappointment of expectation and the other, Testament, the coyote stories in North America dolos, probably meant a lure or bait. At any rate or the mediaeval Eulenspiegel tales. It is onlythey are used for legitimate ruses in warfare when deception is practised for profit and results as well as for deceit in the modern sense and in wealth, power and rank, rewards which ought there is no conscious paradox in the phrase to be obtained by merit or by divine favor, thateuprepes apate, "a fine deceit." In Athens "fraud it becomes an obvious evil. upon the people" was applied politically to mis- Thus it is recognized as a vice before its spe- lead the ecclesia by false statements. cial association with commercial dealings. There In Roman law three different aspects of fraud is ample room for deception in an economy thatwere dealt with from relatively early times, ap- rests entirely upon barter, but obviously theparently from the time of Cicero. One, as in the possibility increases as soon as a credit systemother ancient bodies of law, was connected with is established. There is now also the factor ofsales whether of land or of chattels and came the dishonest promise, the undertaking that isunder the jurisdiction of the aediles. Another not meant to be kept. Of course the developmentwas withdrawal from the reach of creditors of of modes of security guards against deceptionproperty which should be used to pay them; to some extent but it can never be entirely eradi-and the third consisted in inducing others by cated. A certain amount of deception comes tocraft to act to their prejudice. be treated as an inevitable adjunct of business, The latter was the general notion of fraud, as a normal risk which must be reckonedinthe concept of dolus. In a characteristically Ro- estimating costs and market prices. In nothingman fashion an action of dolus was first estab- have the practise and the profession of Euro-lished as a penal suit sounding in heavy dam-. peans been further apart than in their attitudeages, next a defense was allowed to claims toward business honesty; no element of Euro-founded upon dolus and finally dolus became a pean culture has seemed more to justify the reason for rescission and for a restitution of the repute of hypocrisy in which Europeans havestatus quo. To this were added in later times been generally held by oriental nations. The half independent criminal penalties. The clear cut cynical maxim, " Business is business," expresses and frequently repeated description that dolus the difference between business and ordinaryis found whenever a present or future situation social morality, although the point at which the is different from what anyone pretends it is or line is drawn must inevitably be difficult andwill be, aliud simulatum, aliud actum, provided delicate. Deceit may be objectionable but nota formula flexible enough for all purposes and "hard" bargains, and between "hard" bargainsdifferentiated it from those various types of un- and "sharp" bargains and between the latterfair dealing in which the oppressive character and downright fraud distinction is not too clearmight be due to accident or misfortune without except perhaps at their extremes. In popularbeing thereby less in need of redress. The latter usage the word deceit is probably preferable togroup of situations, best typified by "fraud on 428 Encyclopaedia of the Social Sciences creditors," were those in which the term fraudof common law was soon limited enough. On (fraus) was properly applied, but by a not un-the other hand, the Chancery soon declared usual shift of terminology this word has dis-itself the particular enemy of fraud and tried to placed dolus, except in technical legal usage, inunderstand it as broadly as the Romans under- most languages derived from Latin. Yet thestood dolus. One may even say that it went Roman and English specifications for fraud, forfurther, since in applying rules of "conscience" instance, are notably different. it soon included mistake, extortion and even The Germanic tribal customs hardly allowednegligence. Fraud in its legal aspects was soon for a theory of fraud. A man had what he wasdifferentiated into various types: one which clever or powerful enough to win, and marketswould justify the intervention of the Court of were little different from tournaments inwhich Chancery to allow the rescission of a transaction, cunning took the place of skill in arms. Theanother which might be pleaded in a court of church attempted to protect the weaker of thecommon law as a defense, a third upon which parties in a bargain, but even the schoolmenan action of damages for deceit could be based did not emancipate themselves from the notion(indeed, one of the most famous of the common of a bargain as a contest of wits and the canonlaw actions, that of assumpsit, was based upon law had nothing to add to the concept of dolosthe idea that an unfulfilled promise for which which the revived Roman law made familiar.there had been a consideration was a "deceit ") Indeed the natural economy of the Middle Agesand lastly a fourth, which might be the basis gave few opportunities for fraud exceptfor theof criminal prosecution. All these were tech- cruder forms of overreaching. In sales guildnically differentiated, but except in equity the responsibility and pride of achievement oftennotion that fraud demanded a knowingly false compensated for the want of warranties of qual-and intentionally deceptive statement became ity. As for the highly important feudal transfersvery nearly the essence of the term. of land, the chief business of the Middle Ages, Modern frauds especially have assumed a wide these were hedged in by so many conditions andrange. But the legal remedies under modern forms that ingenious turns were likely enoughcodes, however much these may differ in their to be effective: Chaucer's Sergeant couldmakeconcepts of fraud, still remain either rescission, fee tail fee simple and vice versa. action for damages or penal measures. But there Mohammedan law, which may well be a di-is a growing tendency for legislation to be pre- rect development of a Levantine commonlaw, ventive rather than punitive and for reliance to however much determined by the Koran andbe placed upon public administrative agencies the Bible, amalgamated the concept of usuryand private business bureaus. The economic (riba) with that of overreaching, or rather treatedeffects of fraud would be relatively slight if overreaching as a form of usury, i.e. of interest,there were any probability that a general con- which was as strictly forbidden by the imamstact of consumer and producer could be re- as it was by the mediaevalchurch. It does notestablished. As it is, the needs of a competitive appear, however, that otherforms of fraud weresystem do not tend to scrupulous accuracy of specifically noted. statement. Overproduction and over -readiness to England was economically a backward coun- purchase on credit are two elements of no con- try until well into Tudor times. Itis not sur-temptible importance in the existing tendency prising therefore that the rule of caveat emptor, to unbalance the entire modern economy. The i.e.the notion thatin the market one isestablishment of higher and more rigorous stand- entitled to get what one takes pains about andards, since a complete elimination of every as- no more, was so firmlyembedded that it re-pect of fraud is not to be expected, would not sisted even the growth of equity and the naturalmerely stiffen the moral tone of commerce but law of the eighteenth century. However, theremight have real and beneficial results on prac- was no lack of power onthe part of the courtstical economics. to deal effectively and drasticallywith all types MAX RADIN of fraud. As early as Bracton in the thirteenth See: BUSINESS ETHICS; CAVEAT EMPTOR; SALES; USURY; century, when a man was induced toseal an ADULTERATION; ADVERTISING; BUCKET SHOPS; CON- instrument which was wholly different from that SUMER PROTECTION; JUST PRICE; BLUE SKY LAWS; which he thought he was sealing it could be AUDITING; TRADE ASSOCIATIONS; DURESS. made legally void. Still, if the power was not Consult: Westermarck, E. A., The Origin and Develop- lacking, the practise in the technicalized courtsment of the Moral Ideas, z vols. (2nd ed. London Fraud-Frauds, Statute of 429 1912 -17) vol. ii, p. 72 -136; Green, T. H., Prolegomena aside a verdict was undeveloped. The statute to Ethics, ed. by A. C. Bradley (5th ed. Oxford 1906), was probably useful in checking existing evils. which may be taken as an example of ethical treatises Thayer and Stephen agree that it operated to all of which deal with fraud to some extent; Weber, Max, "Die protestantische Ethik und der Geist deslimit the power of the jury and to reduce the Kapitalismus" in his Gesammelte Aufsätze zur Re- effectiveness of perjury. ligions- Soziologie, 3 vols. (2nd ed. Tübingen 1922 -23) The method of preventing fraud and perjury vol. i, tr. by T. Parsons (London 1930) ch. ii; Pernice, that was adopted in section 4 was to provide that A., Labeo, 2 vols. (2nd ed. Halle 1895- 1900); Pollock, Frederick, The Law of Torts (12th ed. London 1923); no action should be brought to enforce certain Williston, Samuel, The Law of Contracts, 5vols. classes of agreements unless the terms of the (New York 1920 -22) vol. iii, bk. vii, ch. xli; Kerr, agreement were evidenced by a written memo- W. W., Fraud and Mistake, ed. by S. E. Williamsrandum signed by the party against whom en- (6th ed. London 1929); Tawney, R. H., Religion andforcement was sought. The classes included the Rise of Capitalism (London 1926)p.36 -55; Kohler, Josef, Treue und Glauben im Verkehr (Berlin were: suretyship and guaranty, agreements in 1893); Enneccerus- Kipp -Wolff, A., Lehrbuch des bür- consideration of marriage, agreements for the gerlichen Rechts, 3 vols. (6th -12th eds. Marburg 1928-transfer of any interest in land and agreements 30) vol. i,pt.i,sects. 192-93; Saleilles, Raymond, that were not to be performed within one year. De la déclaration de volonté (Paris 1901); Baudry- Lacantinerie, G., and Barde, L. J., Traité théoriqueBy the terms of section 17 contracts for the sale et pratique de droit civil, vol. xii (3rd ed. Paris 1906) of goods, wares and merchandise of the value of p. 142 -61; Planiol, Marcel, "Dol civil et dol criminel" £to or more were made unenforceable unless in Revue critique de la législation et de jurisprudence, there had been a part payment, the giving of vol. xxii (1893) 545 -73, 649 -63; Binding, Karl, Die Normen und ihre Ubertretung, 4 vols. (2nd ed. Leip- earnest, or the receipt and acceptance of a part sic 1914 -19) vol. iii, p. 1069 -81; Radin, Max, The of the goods. Lawful Pursuit of Gain (Boston 1931). Opinions have greatly differed as to the func- tioning of the statute. The confident expectations FRAUDS, STATUTE OF. The statute ofof its authors are indicated in Lord Notting- frauds was enacted by Parliament in 1677, theham's statement that "every line was worth a twenty -ninth year of Charles ii, and purported subsidy." The disillusionment of his successors to be "An Act for Prevention of Frauds and Per-after two centuries of experience is seen in a re- juries." It contained twenty -five sections dealingtort by Smith: "Every line has cost a subsidy, for with the making of wills and contracts and withit is universally admitted that no enactment of the creation of estates and trusts in land. It was any legislature ever became the subject of so probably drafted in part by Lord Nottinghammuch litigation" (The Law of Contracts, 7th A- but was criticized and amended by a committeemerican ed., Philadelphia 1885, p. 74). This flood of judges and others, including Lord Chief Jus- of litigation has not decreased, until now such tice North. Some of its sections have been re- cases in the appellate courts alone can be num- placed by statutes under other names; but two ofbered in the tens of thousands. Its meaning and them -sections 4 and 17 -have become deeplyoperation can now be determined only by a com- embedded in Anglo- American property andparative study of these many cases. L. J. Buck- commercial law. The provisions of section 4ley has said: "It is now two centuries too late to have been reenacted without much change in allascertain the meaning of section 4 by applying of the states; the provisions of section 17 wereone's own mind independently to the interpreta- reenacted with some changes in two thirds of thetion of its language. Our task is a much more states and are incorporated in the Uniform Saleshumble one; it is to see how that section has Act codifying the law applicable to the sale ofbeen expounded in decisions and how the deci- goods. Lord Tenterden's Act in 1828 supple-sions apply to the present case" [Hanau v. Ehr- mented the original statute by making oral prom-lich, 2 K.B. ío56 (t9i t)]. The task may be more ises unenforceable for the purpose of renewinghumble, but it is also more difficult. debts barred by the statute of limitations (9 Geo. The margin of merit in the statute is not ca- Iv, c. 14). pable of perfect demonstration. It may prevent The need felt for this legislation in 1677 grew the bringing or the winning of fraudulent suits; out of such facts as these: informal contracts had how many no one can say. It may cause contracts become enforceable, the rules of evidence wereto be reduced to writing that otherwise would embryonic, parties in interest were disqualifiednot have been, thus avoiding litigation due to from testifying, the courts had lost much of theirmisunderstanding and forgetfulness -a matter earlier control over the jury and the power to setof mere speculation. In 1821 a South Carolina 43o Encyclopaedia of the Social Sciences judge thus estimated its value: "But for the salu- his relationship to the Guelphs. The beginning tary influence of this statute thousands wouldof his reign was marked by the general reaction tumble into ruin by having their estates taken against the mysticism of the period of Bernard of from them to answer for the debts, defaults, andClairvaux which had influenced the preceding miscarriages of others" [Leland y. Creyon, iemperor to participate in the ill fated second McCord Ioo (1821)]. Blackstone called the stat- crusade. Under Frederick I the secular character ute "a great and necessary security to privateof the German government was restored, al- property "; and Kenyon, "one of the wisest laws though largely based on the cooperation of in our Statute Book" [i East 194 (i800)]. Moreworldly aristocratic bishops. His method of progressive jurists, such as Mansfield, Stephen,government, the attempt to restore German in- Pollock, Salmond and Holdsworth, have believed fluence in northern Italy and his claim of im- that the statute has outlived its usefulness. perial superiority over the papalauthority The weightiest evidence against the statute isbrought him into conflict with Pope Alexander the mass of litigation itself. In the appealed cases,III and the cities of Lombardy, which after a at least, victory for the defendant seems the papal schism of eighteen years ended in a com- triumph of injustice; while victory for the plain- promise in the peace of Venice with the pope in tiff, the more frequent result, portrays the ap- I177 and the peace of Constance with the Lom- parent circumvention of the statute by the court.bardic cities in 1183. The result was the ac- An examination of a thousand guaranty casesknowledgment of the legitimate pope and of the shows that in about three out of four the statuteLombardic League, the power of which Fred-. is held not to prevent enforcement. The devious erick checked in his later years by establishing reasoning by which this result is reached and thean immediate administration of Tuscany and resultant narrowing of the statute are enlight-Romagna. In Germany he endeavored to base ening. the power of the German kingship on an en- The strongest evidence in favor of the statutelarged and more bureaucratically governed lies in the fact that it has actually survived; itsduchy of Swabia, which should be the largest chief provisions have been voluntarily reenacted duchy in the realm. Hence his struggle with his in all of the states and there is no agitation for itscousin Henry the Lion, duke of Saxony and repeal. Similar requirements have been extendedBavaria, which ended in the dismemberment of to new classes of cases, such as oral promises tothe Guelphic fiefs in I180. Generally speaking, renew a barred debt, the ratification after major-the development of feudalism in Germany was ity of a promise made as an infant, and promises completed during Frederick's reign; and in the to pay a commission to a real estate agent. third crusade, in which the emperor perished, ARTHUR L. CORBIN the international fame of the empire reached its See:EVIDENCE; FRAUD; LAND TRANSFER; WILLS; highest point. CONTRACT. WALTHER HOLTZMANN Consult: Holdsworth, W. S., A History of English Law, Consult: Giesebrecht, W. von, Geschichte der deutschen 9 vols. (3rd ed. London 1922 -24) vol. vi, p. 379 -97; Kaiserzeit,6vols.(Leipsic1881 -95)vols.v -vi; Street, T. A., The Foundations of Legal Liability, 3 Simonsfeld, H., Jahrbücher des deutschen Reiches unter vols. (New York 1906) vol. ii, chs. xix -xx; Costigan, Friedrich z, vol. i- (Leipsic 1908- ); Carlyle, R. W. G. P., "Interpretation of the Statute of Frauds" in and A. J., A History of Mediaeval Political Theory in Illinois Law Review, vol. xiv (1919) I -42; Costigan, the West, vols. i -v (Edinburgh 1903 -28) vol. iv, pt. iv, G. P., "The Date and Authorship of the Statute of ch.i.For two opposite views on the politics of Frederick I see Hampe, K., Deutsche Kaisergeschichte Frauds" in Harvard Law Review, vol. xxvi (1912 -13) in der Zeit der Salier and Staufer (6th ed. Leipsic 329 -46; Hening, C. D., "The Original Drafts of the1929); Below, Georg von, Die italienische Kaiser - Statute of Frauds (29 Car. II, c. 3) and Their Authors" politik des deutschen Mittelalters mit besonderem Hin- in University of Pennsylvania Law Review, vol. lxiblick auf die Politik Friedrich Barbarossas (Munich (1913) 283 -316; Stephen, J.F., and Pollock,F., "Section Seventeen of the Statute of Frauds" in Law 1927). Quarterly Review, vol.i (1885)I -24; also editorial "notes" in Law Quarterly Review, vol. xxix (1913)FREDERICK II (1194- 1250), Holy Roman 247, and vol. xliii (1927) 1 -3. emperor and king of Sicily and Jerusalem. Frederick combined in a remarkable way the FREDERICK I(Frederick Barbarossa)(c. political tradition of the Sicilian Normans, in- 1125 -90), Holy Roman emperor. Frederick suc-herited from his maternal ancestors, with the ceeded his father as duke of Swabia in 1147 and imperial claims of the Hohenstaufen family; became emperor in 1152, owing his election to and by his exalted position he gave enhanced Frauds, Statute of-Frederick II 43' prestige to the Roman, Greek, Arab, Frenchstimulus, brought valuable material to western and Provençal cultural tendencies which heEurope from the Arabic, Greek and Hebrew. embodied and promoted. He abandoned theThe pompous learned prose style of Frederick's exercise of the imperial power in northernLatin letters of state had a far reaching influ- Europe to his sons Henry and Conrad andence. As head of the Sicilian poetic school he devoted himself primarily to the administrationintroduced the vulgar Italian into poetry. His of his Mediterranean domains. In the ordi-interest in the arts (in castle building, sculpture, nances of his constitutions of Melfi in 1231collections of ancient statuary, coins) had con- Frederick took the decisive step from the feudalsiderable influence on the Renaissance, for order of the Middle Ages to the modern state. whose enlightened despots, eager for knowledge He developed a rigidly centralized royal powerand rejoicing in art, he became the admired and in which the feudal nobility was displaced byimitated model. a bureaucracy that suppressed all autonomy and KARL HAMPE was made up of jurists schooled in the Roman Consult:Kantorowicz, Ernst, Kaiser Friedrich 1z. law and trained in the newly founded state (Berlin 1927); Hampe, Karl, "Kaiser Friedrich it." university of Naples. He employed Arabian in Historische Zeitschrift, vol. lxxxiii (1899) 1 -42, and mercenaries in his army and modernized the Kaiser Friedrich inder Auffassung der Nachwelt (Stuttgart 1925); Carlyle, R. W. and A. J., A History judicial system by the introduction of inquestsof Mediaeval Political Theory in the West, vols. i -v and the abolition of the ordeal and the rack. (Edinburgh 1903 -28) vol. v, p. 187 -317; Niese, Hans, He curbed clerical influence and advocated the"Zur Geschichte des geistigen Lebens am Hofe reform of the secularized church, rationalizedKaiser Friedrichs u." in Historische Zeitschrift, vol. the administration in its economic, hygienic,cviii (1912) 473-540; Kampers, Franz, Kaiser Frie- drich rr., der Wegbereiter der Renaissance (Bielefeld educational and social branches, and organized 1929); Haskins, Charles Homer, Studies in Mediaeval an elaborate financial system with land and pollCulture (Oxford 1929) ch. vi, and Studies in the His- taxes, customs duties and public control of tory of Mediaeval Science (2nd ed. Cambridge, Mass. the grain monopolies. True, the absolute sov- 1927) chs. xii -xiv. ereign power was still surrounded with the mystic halo of an oriental, Byzantine monarchFREDERICK II (Frederick the Great) (1712- and protected by laws against high treason and86), king of Prussia. Frederick made Prussia one heresy, yet it acted not only as the source butof the great powers of Europe and the rival of also as the servant of the law. To the meta-Austria for the control of Germany. In his en- physical Augustinian conception of the founda-thusiastic youth he was won to the cause of tion of sovereign authority Frederick addedrationalism and Enlightenment, which was just another conception, one that was based uponthen mounting to its zenith, and becoming the natural law and the purely secular character offriend of its major prophet, Voltaire, he wrote the state. in French the Anti -Machiavel (Copenhagen The court of Frederick with its mingling of1740; English translation London 1741), an in- Arab, Jewish and Christian scholars became an dignant rebuttal of Machiavelli's Prince. How- important center for the diffusion of orientalever, on mounting the throne in 174o he at and classical learning. The range and intensityonce accepted the raison d'état, the heart of of his own cultural activities are astonishing.Machiavelli's doctrine, as his guiding political Under the influence of Aristotle and his Arabicprinciple and throughout his reign treated the commentators, notably Averroes, he developedstate as a sovereign entity whose essence was a conception of the universe which, beingpower and which existed by and for itself alone. founded independently of allreligions uponIt was this concept which enabled him to de- the reasonableness of nature alone, shook thescribe himself with conviction and fervor as very foundations of Christianity and caused"the first servant of my state." Enlightened him for a long time to be looked upon as the despotism as practised by him was directed pri- Antichrist. His eager quest for truth in themarily toward improvements in the administra- natural sciences and mathematics led him away tion, the finances, the law and the army with the from vain book learning to observation andsole view of giving greater vigor to the govern- experiment especially productive in ornithologyment. Not that the humanitarian motif, insep- and gave a decided impetus to the growingarable from the movement of Enlightenment, empiricism of his century. The labors of the had no part in his legislative activity -acts like translator, which but lately had received freshthe abolition of torture in all but a few cases, 432 Encyclopaedia of the Social Sciences such as treason, and the proclamation in 1740,alists in their need of individual instances made the first to be issued in Europe, of a practicallyhim a German hero despite himself. unconditional religious toleration, patently bear FERDINAND SCHEVILL the humanitarian stamp. None the less he regu- Works: Oeuvres de Frédéric le Grand, ed. by J. D. E. larly put his humanitarian promptings aside Preuss, 31 vols. (Berlin 1846 -57); Politische Corre- whenever they ran counter to solemn considera- spondenz Friedrichs des Grossen, vols.i -xlii (Berlin 1879- 1931); Preussische Staatsschriften aus der Re- tions of state. gierungszeit Friedrichs zr., ed. by J. G. Droysen and The criterion of state supremacy applied to M. Duncker, 3 vols. (Berlin 1877 -92). economics made him a devotee of the bullion Consult: Koser, Reinhold, Friedrich der Grosse als doctrine of the mercantilists and the camer- Kronprinz (Stuttgart 1886), and König Friedrich der alists. Desiring a favorable balance of trade he Grosse, z vols. (3rd ed. Stuttgart 1904 -05); Küntzel, G., "Die drei grossen Hohenzollern" in Meister der prohibited as much as possible the importationPolitik, ed. by E. Marcks and K. von Müller, 3 vols. of manufactured goods and in order to bring a (Stuttgart 1922 -23) vol. ii, p. 105- -273; Meinecke, F., native industry to life granted subsidies withDie Idee der Staatsräson in der neunen Geschichte (2nd amazing lavishness for so thrifty a monarch.ed. Munich 1925) bk. ii,ch. v; Oncken, Wilhelm, Again, in the case of products which PrussiaDas Zeitalter Friedrichs des Grossen, z vols. (Berlin 1881 -8z); Carlyle, Thomas, History of Friedrich ti. of did not grow, such as tobacco and coffee, hePrussia, 6 vols. (London 1905); Tuttle, Herbert, His- created state monopolies in order to regulate tory of Prussia under Frederic the Great, 3 vols. (Bos- consumption and garner the profits for the na-ton 1888 -96); Schmoller, Gustav, "Studien über die tional treasury. A more attractive feature of hiswirtschaftliche Politik Friedrichs des Grossen ... 1680 bis 1786" in SchmollersYahrbuch, vol. viii (1884) policy of insistent economic regulation was the 1-6s, 345-421,999-5091, pt. i tr. by W. J. Ashley as initiative he showed in building roads, digging The Mercantile System and Its Historical Significance canals and draining swamps. By this last action (New York 1896). much new land was won for settlement by col- onists. His educational legislation too does notFREDERICK WILLIAM, (The Great Elector) suggest an addiction to startling innovations.(1620 -88), elector of Brandenburg. In 1640 True, the Schulordnung of 1763 went beyondFrederick William succeeded to the throne the practise of the age in providing a modicumof an impoverished country menaced by im- of schooling for the country people; but it was perial, Swedish, Dutch, Spanish and Polish accurately suited to the needs of peasants des-forces. In 1648 the great powers which domi- tined to remain peasants. The Schulordnungnated the helpless empire as well as Branden- should be regarded as an integral part of hisburg forced the elector, in the Peace of West- social policy, which was conservatism itself in-phalia, to surrender his right to inherit the asmuch as it aimed to keep unchanged in theirimportant Baltic port of Stettin. Painfully aware respective positions the two main classes of thisof a defenseless ruler's lack of rights amidst still feudal state, the peasant serfs who tilledsuperior military powers, he was unable, until the soil and the Junkers who owned it. At dinnerthe Northern War fought between Sweden and with Voltaire the king talked like a philosopherPoland from 1655 to 1660, to achieve a decisive who was ready to reshape the world; but onsuccess and win the sovereignty of Prussia. This retiring to his cabinet he issued orders for hishe accomplished by opportunistically utilizing enlarged and prospering Prussia indicative ofthe changing phases of the war and by raising the greatest respect for the principle of histori-an army without the consent of the estates of cal continuity. Prussia or Cleve. With his attention riveted on the greatness of He never surrendered the authority won in the Prussian state Frederick was wholly indiffer-the war. After bitter conflicts, which he some- ent to the movement of German nationalismtimes decided by the use of force, he wrenched which came to birth in his lifetime. The emo-new constitutions from the estates of Cleve in tional and romantic character of the German1661 and Prussia in 1663 as he had done from nationalism of the Sturm and Drang periodthe estates of Brandenburg in 1653. These con- elicited from Frederick, the child of an earlier,stitutions granted him above all a standing army rationalist age, a double measure of contempt.as an assurance of his political independence. The situation is not without keen irony, forHe constantly increased the size of his army, Frederick by successfully resisting a world ofand henceforth it was the chief concern of his enemies in the Seven Years' War fostered theadministration. He gradually created "provin- nationalism which he disliked, while the nation-cial domain boards" (provinzielle Kammern) and Frederick II-Free Love 433 a central domain board for the exploitation ofment of Prussia as an institution ordained by the large domanial possessions which he hadGod, a "kingdom of work" bound by duty and redeemed from pawn. For the administration ofconscious of its responsibility, with experienced the army and the imposts commissariat depart-and incorruptible officials and an exemplary, ments (Commissariatsbehörden) were founded, economical and provident administration. His which limited the power of the estates and took energetic mercantilism (the furthering of manu- over social welfare activities and such mattersfactures, especially wool) produced seven mil- relating to commerce and industry as the con-lion thaler of annual revenue, of which five struction of the Spree canal and the admissionmillions were used for the army of 83,000 sol- of the Huguenots. The elector laid the cornerdiers. By introducing compulsory military serv- stone of the Prussian bureaucratic state, de-ice among the nobility he established a body of stroyed the antiquated coregency of the estates,officers devoted to the state, prepared for sacri- established the principle of religious tolerancefice and imbued with a sense of group honor. and united his territories under a rule which was By regular conscription of recruits, beginning in absolute de facto if not de jure. 1733, he taught the masses to accept the idea of Since Sweden retained Stettin in 166o onlya permanent armed force. His welfare work through French influence, the elector repeat-among the recruits was a social policy which edly participated in attempts to break the he-later resulted in the emancipation of the peas- gemony of Louis xiv after 1667. In 1675 heants. The moral level of the country was raised drove the Swedes out of the March of Branden-through the founding of public schools based burg but was compelled to relinquish Stettin inon religious principles. Criminal procedure was 1679. Infuriated by Austria's supposed treasonreformed with the aid of Cocceji. The welfare of and by its withholding of Liegnitz, Brieg andthe bourgeoisie was promoted. Official positions, Wohlau in Silesia, promised him in 1675, andeven the highest, were filled on the basis of despite hesitations caused by his national con- merit and the administrations of municipalities science, he entered into an alliance with Francewere purged of dishonesty and inefficiency, so at the time it took Strasbourg, hoping to win that by severity and example the people might Stettin with French aid. A firm Protestant, hehe trained in the fear of God, in duty, in dili- withdrew from France after the repeal of thegence and in simplicity of life. In his foreign Edict of Nantes in 1685. He sought contact withpolicy Frederick William was successful only at the coalition headed by William 111 of Orangefirst when at the end of the War of the Spanish which aimed to establish a European balance ofSuccession and the Northern War he gained power, to protect Protestantism and to realizeLingen -Mörs and Stettin. He was unable ever the ideal of religious tolerance. For the sake ofto attain his principal objects, which were to win these goals he was forced to forego his particularrespect as a ruler and establish himself as the aspirations for Stettin and Silesia. The electorrightful inheritor of Berg. Nevertheless, he cre- approached but never quite attained the positionated the basis for Prussia's later position as a of a great European power. Although the ma-great European power under Frederick u. jority of his subjects saw in his state merely a GEORG KUNTZEL restriction of their liberty, he died convinced Consult: Küntzel, Georg, "Die drei grossen Hohen- that his attempt to found a truly spiritual state zollern" in Meister der Politik, ed. by Erich Marcks serving the ideal of religious tolerance corre- and K. A. L. A. von Müller, 3 vols. (Stuttgart 1922- sponded with the progressive ideas of Bodin, 23) vol. ii, p. 105 -273; Seile, Götz von, "Zur Kritik Friedrich Wilhelms 1." in Forschungen zur branden- Leibnitz and Samuel von Pufendorf. burgischen and preussischen Geschichte, vol. xxxviii GEORG KUNTZEL (1926) 56 -76; Droysen, J. G., Friedrich Wilhelm 1., Consult: Küntzel, Georg, Die drei grossen Hohenzollern Geschichte der preussischen Politik, no. iv, pts. ii -iii, und der Aufstieg Preussens im 17. und 18. Jahrhundert 2 vols. ( Leipsic 1869). (Stuttgart 1922), reprinted in Meister der Politik, ed. by E. Marcks and K. A. von Müller, 3 vols. (Stutt- FREE LOVE. The term is applied, usually in a gart 1922 -23) vol. ii, p. 105 -80; Hensell, G., Das pro - testantische Moment in der Aussenpolitik des grossen reprobatory sense, to sexual unions in which so- Kurfürsten von 1672 bis 1688 (Borna -Leipsic 1927). cial, legal and religious sanctions are dispensed with, but it more particularly denotes the delib- FREDERICK WILLIAM I (1688 -1740), kingerate and reasoned repudiation of those sanc- of Prussia. Reigning from 1713 to 1740 Fred-tions in theory and in practise. Although the erick William established the absolutist govern-term and the principle apply logically to every 434 Encyclopaedia of the Social Sciences degree of the relation between man and woman, gency may in fact be said to have its origin in the however transient and casual, they are usuallyProtestant Reformation and the rise of Puritan- understood as having reference to continuousism. As the German jurist Christian Thornasius sexual association differing little in substanceobserved: "Among all civilised peoples, and in from marriage except by the absence and rejec-all times, until the date of the Lutheran Refor- tion of legal or religious conditions imposed bymation, concubinage was permitted, and even to the external authority of society. The issue raiseda certain extent legally recognised, and was an by free love as a doctrine is how far, if at all, theinstitution involving no dishonour" (Bloch, ch. claim of that external social authority to layxi). The controversy concerning the doctrine of down and enforce the terms and conditions offree love developed in both Protestant and the personal relation and agreement betweenCatholic countries but it has been most acute in man and woman is justified on grounds of equitythose of Puritan tradition. The fact that the and social necessity or expediency. strict enforcement of coercive sanctions was gen- The adequate appreciation of that issue in-erally lacking for so long seems to show that they volves a consideration of the causes and motives do not discharge a function as indispensable to which have led to the social control of marriage.social order as is sometimes represented by ad- The history of marriage institutions shows that vocates. Unions unconditioned by legal sanc- social and traditional control of marriage, neces- tions were recognized in Rome and continued to sitated in its earliest form by the rule of exog- be recognized by the church as regards the lower amy, has in its further development been deter- classes, among whom indeed down to the pres- mined for the most part by economic considera- ent time legal sanctions are in many parts of tions, such as the respective contributions of the Europe commonly dispensed with. Other usages partners, provisions for the upbringing of off-dating from pagan times, such as handfasting in spring and finally the transmission of propertyScotland and the "island custom" of Portland, and social office. Non -economic considerationshave also survived the influence of religious co- have played but a small part in its development.ercion; and common law marriages in America, The religious grounds which bulk so large at thewhich are juridically equivalent to the Roman present day in the traditional conception of these usus, represent a like concession to general extra - social claims are of very recent cultural originChristian usage. Among the upper classes even and have in reality done little more than lend after the Reformation legal and religious sanc- the weighty support of religious and moral sanc- tions were often dispensed with where social and tions to social regulations already established byeconomic interests were not involved, and it was economic factors. The Roman religious cere-not until the fall of feudal power in the last years mony, out of which the Christian marriage con-of the eighteenth and the beginning of the nine- secration developed, was but a confirmation ofteenth century that outward conformity of the the civic contract. aristocratic classes to Puritan standards became From these historical considerations it appears general. The quip that marriage was invented that the claim of modern society to impose itsduring the reign of Queen Victoria is not so sanctions on the personal relation between manwildly paradoxical as it sounds. and woman derives in a far greater measure from Concurrently with the intensified stringency the authority of established tradition as suchand coercive legal and social enforcement of the than from considerations arising out of actualsanctions on sexual union, the criticism of their existing conditions. Hence the recurring chal- validity from the point of view of rational stand- lenge directed against that traditional authorityards and of equity became more pronounced. and the contention that the grounds of equityThose criticisms, adumbrated in the eighteenth or social expediency corresponding to actualcentury by Goethe, received full formulation conditions are alone valid grounds for society'sduring the period of the romantic revival by such claims to intervene in a contract which iswriters as Godwin in England and at a much viewed as purely personal. later period by adherents of the pre -Raphaelite That challenge has not become formulatedmovement, notably Ruskin. The doctrine of free until relatively modern times. One reason forlove has formed a prominent part of every so- this is that only within modern times has thecialistic or communistic scheme of social reform claim to impose coercive social sanctions on allfrom the time of Fourier and Saint -Simon and sexual associations been stringently enforced byindeed even from that of Plato. The rationaliza- legal measures and social pressure. That strin- tion of social organization in general carries with Free Love 435 it as a corollary the rationalization of sex rela- vidual freedom which every form of association tions. In Soviet Russia the social sanctions ofimplies. sexual association are confined to requiring the By far the larger proportion of the opposition notification of its conclusion and its dissolution,to doctrines of free love and to criticisms of co- economic responsibility for children, however,ercive marriage rests on appeal to authoritarian being unaffected by the separation of the par-and dogmatic religious tradition. If those grounds ents. Notwithstanding a degree of legal freedombe excluded, the issue resolves itself into the which does not even place any obstacle on polyg-question of how far the contract resulting in the amy, sexual associations are said to be nowiseassociation of man and woman is a purely per- looser or more disorderly than under the oldsonal one and how far interests other than those conditions. It is curious to note that some non- of the contracting parties are involved. Society, Russian communities are said to refuse to giverepresented by the state, has the right to inter- official notification of otherwise orderly unionsvene as regards the latter but not as regards the and that in their case Soviet authorities havepurely personal aspect of the relation. The view some trouble in enforcing even that minimum ofthat it is a function of the state to protect its state regulation. members against themselves has here little rele- While the dominant note of the early roman-vance for in this instance, under existing condi- tic advocates of free love, such as Shelley andtions, the action of the state has exactly the op- George Sand, was the idea of freedom as an ele-posite effect. In no aspect of life are disastrous ment of individual happiness, the emphasis ofmistakes more frequent than in regard to the more mature and considered defenses of the doc-sexual relation, yet the action of the state as at trine is laid upon the suffering and evil resultingpresent carried out places every obstacle in the from coercive authoritarian moral standards inway of rectifying such mistakes and, far from regard both to their direct effects upon marriedprotecting the individual, prevents him from partners and to their indirect effects upon sexual protecting himself. State interference is power- life in general. The indissolubility, absolute orless to remedy the intimate personal difficulties relative, of marriage, the penalties on unmarriedattaching to the association, and its scope is thus motherhood, the disabilities of illegitimacy, are limited to the protection of social interests ex- evils not adequately compensated for by anytending beyond those of the contracting parties. benefit they may be said to promote. The coer- The nature of these interests depends upon cive moral restrictions, the general attitudesocial conditions. Marriage institutions, as above toward sex, the censorships, the disastrous mis- noted, have developed in relation to those condi- management of puberty, which are accountedtions and have in general changed with them. aids to the safeguarding of coercive marriage,Dogmatic and authoritarian religious tradition bear likewise no proportion to that professed ob-has imparted fixity to regulations which call for ject. The testimony of cultural history tends tocontinual adaptation. Many of the economic show that not only are great evil and sufferingfactors which once conditioned the development produced by the coercive enforcement of strin-of marriage institutions no longer operate at the gent sexual codes, but that the effect of such co-present day in the same manner as when the ercion on loose conduct and unwholesome sexual form of those institutions became invested with manifestations is not proportionately appreci-moral sanctity. The importance of the family as able. an economic and segregated social unit for the The freedom which modern criticism of co-transmission of property and social status has ercive marriage has in view is not the promotiondiminished. Parental claims have in consequence of individual happiness by license, but the abate-become weakened, education has become in a ment of needless suffering and evil resulting larger degree socialized. Above all, the claims of from groundless and unwarranted coercion. Thewomen to equitable economic and social inde- extended freedom which it advocates is not de-pendence have challenged and sapped tradi- sired for its own sake but, on the contrary, as ational patriarchal conceptions. The personal re- means of realizing more completely the ideal oflation between man and woman has more and monogamic sexual association. Such freedommore displaced the economic motives in im- from authoritarian coercive social sanctions andportance, and even procreation cannot be said to restrictions in regard to the personal contract ofbe the first and essential motive leading to the sexual association calls for a larger measure ofassociation. This substitution of the psychologi- the self -control and reciprocal limitation of indi-cal for the economic values of the association 436 Encyclopaedia of the Social Sciences implies an enhanced importance of the personal, commerce. In the Middle Ages certain cities as opposed to the juridic and economic, relationgranted trading privileges, which amounted at and an extended basis of mutual considerationtimes to the creation of free trade zones, with making for common happiness. These changedrespect to groups of merchants, classes of com- conditions, the new orientations of modernmodities, specified periods of time or selected thought, the general decay of traditional andgeographical areas. In the period of mercantilism dogmatic authority, discount the force of manythe general movement for national economic of the common objections to doctrines of freeconsolidation behind high tariff walls threatened love. to disrupt international trade and many coun- At the same time, economic factors cannottries found it indispensable to exempt certain under existing conditions be entirely eliminated;maritime cities from the general customs regu- and so long as they are involved some measurelations. Thus Leghorn and Genoa were declared of social control is indispensable to regulate and free port towns in the sixteenth century; Naples, protect the implicated interests. Free love in theVenice, Marseille, Bayonne and Dunkirk in the full sense of the term postulates complete free-seventeenth century; Ancona, Messina, Trieste, dom from economic factors, the economic inde- Fiume and Gibraltar in the eighteenth century. pendence of women and social provisions for theThe Hanse towns Hamburg and Bremen, which upbringing of children. Such an ideal does notwere made free ports in the early years of their belong to the conditions of capitalistic societiesexistence, retained their privileges throughout as at present constituted. The aims of marriagethis period. In a system of early capitalism the reform at the present day have reference to thefree port privilege was an important factor in more limited but yet vital freedom from coercivethe development of an active carrying trade, and sanctions and controls founded upon authorita-most free ports became prominent as distrib- rian and dogmatic traditional grounds, in so faruting centers for overseas imports, serving the as these are productive of suffering which is notentire continent. adequately justified or necessitated by social With the growing industrialization of Europe requirements. in the nineteenth century the importance of the ROBERT BRIFFAULT carrying trade in the economic life of the prin- See: SEX ETHICS; MARRIAGE; CONCUBINAGE; COMMON cipal countries declined and the free port cities LAW MARRIAGE; FAMILY; WOMAN, POSITION IN became to an increasing extent trading outlets SOCIETY; PURITANISM. and inlets for the hinterland. The raison d'être Consult: Albert, Charles, L'amour libre (6th ed. Parisfor free port privileges was thus disappearing. 1910); Bloch, Iwan, Das Sexualleben unserer Zeit (Ber-At the same time governments began to resent lin 1907); Briffault, Robert, Sin and Sex (Londonthe loss of revenue entailed by the exemption of 1931); Russell, Bertrand, Marriage and Morals (Lon- don 1929); Key, Ellen, Kärleken och äkten skapetlarge areas from the customs territory; extensive (Stockholm 1903), tr. by A. G. Chater as Love andfree areas difficult to supervise offered large op- Marriage (New York 1911);Carpenter, Edward, portunities for smuggling. One by one free ports Love's Coming of Age (12th ed. London 1923); Hin-were reincorporated in the general customs ter- dus, Maurice, Humanity Uprooted (rev. ed. New York 1930) ch. viii; May, Geoffrey, Social Control of Sex ritory, so that by the end of the century free port Expression (London 1930). cities almost completely disappeared in Europe. Free ports were not, however, entirely abol- FREE PORTS AND FREE ZONES are en-ished. Some of the free port cities were per- closed free trade areas usually located in mari-mitted to retain a free zone where the business time cities within the territory of a country withof the former ports could be carried on as before. a protective tariff. Ships may enter such areas,With the subsequent development of large scale discharge and load cargoes and depart withoutshipping and international commerce free zones paying customs duties and being subjected towere established in the ports of othercountries. customs inspection. Goods may be stored, re-In the post -war period the multiplication of packed, sorted, reexported and in some instancesboundaries, the upward movement of customs manufactured free from customs formalities. Thetariffs and the general desire of countries to tariff regulations become effective only when emancipate themselves from dependence on in- such goods are conveyed to the interior of thetermediaries in world trade and to capture a slice country beyond the boundaries of the free area.of the trans- shipment trade for themselves led to The origin of free ports is closely connecteda rapid extension of the device of free zones, with the rise and development of internationalwith the result that there is at present hardly a Free Love - Free Ports and Free Zones 437 protectionist country of economic significance Free zones are usually opposed by extreme which does not provide or contemplate the pro-protectionists on the ground that they consti- vision of free zone facilities. tute a breach of the protective principle. Of The free zone is important as a device for thegreater importance is the current objection on centralization of international trade at a few focalthe ground of overexpansion of free zone facili- points. The exclusion of the zone from a coun- ties, which for the time being has outrun the try's customs area makes it the natural distrib- trading capacity of the world. Many of the newly uting point for imports intended for reexport.established free zones have not justified the ex- In this respect the free zone is superior to thependiture incurred in their equipment; and the system of refunding the import duty upon re-excessive multiplication of free zones has ren- export; the latter entails formalities which maydered more difficult the concentration of trade, prove irksome. Since the importer into afreethus impairing one of the essential advantages zone is at liberty to dispose of his goodseitherof the free zone. by reshipping them to foreign markets or by Outside of Europe free ports exist in some selling them in the domestic market he is in-Asiatic colonies of European powers. Hongkong, clined to handle larger quantities and temptedSingapore and Aden are important centers of to speculate on future demand on a largerscale; the carrying trade; that is, they serve the same this makes for an increase in the turnover of aeconomic function as did the European free ports free zone. Shipping concerns are naturally at-before the nineteenth century. Treaty ports in tracted to free zones even at some sacrifice inChina did not play the part of free ports, but rates charged for freight, because the opportu-plans for the establishment of Chinese free ports nities of securing cargoes are better. This devel-have been recently discussed. The United States opment is further reenforced by the tendencyis an outstanding example of a protective coun- toward the concentration of transoceanic traffictry which has never had free ports or free zones. in a few leading ports. The increase in tonnageRecent proposals for the establishment of free and draft of ships necessitates well equipped har- zones as a stimulus to the development of Amer- bors, which are usually provided in free zones,ican shipping came to nothing. and the increase in capital investment repre- Another device similar in purpose to the free sented by such ships calls for the acceleration ofzone is the bonded warehouse and the bonded loading and unloading operations, which is facil-manufacturing warehouse. The former is a place itated by the absence of customs inspection. where goods intended for reexport may be en- Free zones are generally equipped with spa-tered and stored free of duty unless withdrawn cious storage facilities such as warehouses andfor purposes of domestic consumption. The lat- elevators in which room is provided for sorting, ter is a building or enclosed area where imported cutting, repacking and similar operations neces-goods may be handled, altered or manufactured sary to prepare merchandise for reshipment towith or without the admixture of domestic ma- various markets. The warrants issued by suchterials and parts. warehouses enjoy general currency in the world The facilities offered by the bonding system markets and are accepted by banking houses en- are similar in kind to those offered by thefree gaged in financing international commercial traf- zones but are inferior in effectiveness. The bond- fic. Manufacturing is prohibited in most freeing system does not aid in expediting the entry zones, but even in such zones whereit is per-and clearance of shipping or the handling of mitted, for example, Hamburg, few industrialmerchandise, for shipments must undergo all plants are found. The high rentals which neces-the formalities of customs inspection before they sarily prevail in such areas would add needlesslyare allowed to proceed for storage. The require- to the cost of production, and in theleadingment of providing bonds, in some instances industrial countries the benefit derived fromdouble the amount of the duty, which are for- manufacturing in a free zone for shipment tofeited if the goods are stolen, lost, destroyed or foreign markets would not be great, for impor- fraudulently removed, increases the cost of han- tant raw materials may be imported duty free dling goods. The goods stored in the warehouses under most prevailing tariffs. Unless local rea-are under the continuous supervision of customs sons favor the establishment of somespecial authorities. The handling, sorting, mixing or industry, the industrial activities of free zonesrepacking of the stored goods is impeded by are usually confined to shipbuildingand smallrestrictive customs regulations and finally the scale auxiliaries to shipping. storing privilege itself is restricted both in point 438 Encyclopaedia of the Social Sciences of time and in the range of commodities. Thewestern states and by various factors in the in- usual limit on the storing period is three years,ternational currency situation. The price of after which goods are declared abandoned; and silver rapidly declined. The American silver perishable or dangerous commodities cannot be mines found the most lucrative outlet for their stored in bonded warehouses. product closed by what they construed as dis- SVEN HELANDER criminating legislation. As the price of silver See: PORTS AND HARBORS; SHIPPING; INTERNATIONAL continued to fall this legislation was attacked by TRADE; CUSTOMS DUTIES; DRAWBACK; PROTECTION; an increasingly well organized and acrimonious TREATY PORTS; WAREHOUSING. silver party, which by 1877 had mustered suffi- Consult: MacElwee, R. S., Ports and Terminal Facili- cient strength to swing the House in favor of the ties (2nd ed. New York 1926); Cobden, C. J., "Foreign Bland Bill calling for unlimited coinage of silver Trade Zones" in World Ports, vol. xiv (1925 -26) no. at a fixed ratio to gold. Although senatorial revi- vi,p.43-55; Helander, Sven, Die internationale Schiffahrtskrise (Jena 1928); Bellet, Daniel, "La ques- sion had seriously restricted the scope of the tion des zones et ports francs" in Revue d'économieoriginal bill, the final Bland -Allison Act of 1878, politique, vol. xxxi (1917) 197 -225; Clapp, E. J., "The by authorizing a monthly silver bullion pur- Free Port as an Instrument of World Trade" in chase of $2,000,000 to $4,000,000 and by restor- American Problems of Reconstruction, ed. by E. M. Friedman (2nd ed. New York 1918) p. 245 -66; ing in large part the legal tender value of silver, Kugler, Hellmuth, "Die Entstehung der neuen Frei - had represented a substantial gain for the infla- hafensformen" in Weltwirtschaftliches Archiv, vol. xix tionist movement. (1923) 188-219. The first convention of the Greenback -Labor party adopted an aggressive free silver resolution FREE SILVER. The fight for a bimetallic repudiating the Bland- Allison Act as an unsatis- standard found its most striking expression infactory compromise measure, and on a number the free silver movement in the United States.of occasions in the same year the Greenback - During the Civil War the large issues of cur-Labor and silver groups cooperated in passing rency and the ensuing rise of prices produced aminor measures aimed at their common an- situation in which many economic groups en-tagonist, the commercial and banking interests joyed unusual prosperity. When after 1865 theof the east. In the presidential elections of 188o government proceeded to retire the greenbacks,and1884 theGreenback -Labor candidates strenuous opposition developed and further con-voiced, incidentally, free silver sentiments, but traction was eventually countermanded. In thein neither election did the party approximate early seventies labor organizations in the eastthe strength which it had exhibited in 1878. The and after the panic of 1873 the remnants of the post -panic depression was gradually yielding to granger organizations in the west and southa period of comparative prosperity. The limited entered national politics on platforms whichcoinage of silver exerted but a slight effect. The demanded an increase in the currency. In 1878new currency tended on the whole to remain in the industrial and agrarian wings of the Green- the treasury except in periods of abnormal com- back party amalgamated and in the congressional mercial activity, when it served the useful func- and state elections of that year exerted consider-tion of supplementing the rather inelastic bank- able influence. In the following period of gen- note circulation. International bimetallic con- erally falling prices of farm products the agra-ferences, the first of which was authorized by rian districts in particular increasingly insistedlegislation of 1878, were held at intervals, but upon a currency policy which would lighten thethe prospects of a binding currency agreement burden of the farm mortgager and of the debtorbetween nations did not appreciably improve. classes in general. Agrarian distress, which had constituted one In the meantime another group of interestsof the mainsprings of earlier inflationist agita- had begun to agitate for an increase in the cur-tion, was still a palpable factor in many sections rency. Legislation enacted in 1873 and 1874 hadof the west and even more in the south, but it demonetized the silver dollar and limited thetended in general to seek relief through non- legal tender value of silver to five dollars. Thispolitical cooperation. Farmers' alliances not dis- attracted little attention at the time inasmuch assimilar in character to the earlier granges began there had been no silver in circulation for fortyto spring up and spread through the agrarian years. But almost immediately afterward thesections of the south and the northwest. But it supply of available silver was tremendously in-was not until the last year of the decade, under creased by the exploitation of new mines in thethe stimulus of a returning period of depression, Free Ports and Free Zones-Free Silver 439 that the first serious move was made toward the while keeping the free silver question well in the organization of agrarian interests on a nationalforeground, tended to dissipate its strength on scale. In that year the Southern Farmers' Al-too wide a range of issues. Its somewhat quixotic liance and the Northwestern Farmers' Allianceplatform undoubtedly alienated many potential held conventions in St. Louis and entered intoallies, and despite the surprisingly successful negotiations looking toward amalgamation. Al-showing of the Populist candidates in the elec- though this was not formally effected, both thetions of 1892 the hopes of the agrarian inflation- agrarian groups endorsed the currency views inists were still far from realization. It became in- the southern platform. creasingly apparent to the more intelligent lead- More convinced than ever that his economic ers of the movement that in order to gain a wider interests were being sacrificed by an indifferentfollowing in certain influential circles, especially government to the commercial and financialin the east, it was advisable to restrict their cur- powers of the east the farmer was once again onrency program to demands for free silver. De- the offensive. The prices of agricultural com-spite its continued appeal in many agrarian modities continued to decline, partly because ofquarters Greenbackism rested upon a most in- the opening up of rich areas of cultivation in thesecure basis. The world had experienced too far western states and in foreign countries. Eachmany disorders with irredeemable paper in the year the farm debt became more burdensome.past, and there was an underlying fear that addi- Each year the farmer became more dependenttional greenback issues might go the way of con- for his operating capital on local credit men whotinental currency in this country and the assig- charged exorbitant rates of interest. The pre-nats in France. vailing credit system had often tended to trans- Circumstances within one of the older parties fer the management of the farm into alien handswere soon to bring forth a capable leader and to and in many cases, especially throughout the give to the free silver movement an ideological south, had reduced the nominal owner to a stateintegration and a general prestige which it had of virtual peonage. For the first time in the ex-hitherto lacked. The Republicans in 189o, as a perience of the American farmer the alternativebid for the tariff votes of the senators from the of an escape from surrounding depression to thenewly admitted silver states and also to silence rich acres of an unlimited agricultural frontierthe threatening free silver group in Congress, was closed. The farmer needed currency andhad passed the Sherman Silver Purchase Act. credit and felt that it was the obligation of theAlthough this act failed almost as completely as sovereign state to provide an adequate supply.had the Bland- Allison Act to satisfy free silver This the government had failed to do. During ademands, one of its clauses, specifying that the period of rapid expansion in population and pro-Treasury certificates issued for the purchase of duction along all lines the government had virtu-silver should be redeemable in "coin," involved ally restricted its coinage to a single metallicthe succeeding Democratic administration in base, which the farmer believed was limited inendless difficulties . To interpret coin to mean supply and incapable of adjusting itself to aonly silver would have represented an acknowl- rapidly changing demand, and the banknoteedgment of the difficulty of maintaining the gold currency to a base of government bonds limitedstandard. On the other hand, it was not easy to in amount and destined to disappear with the maintain sufficient gold in the treasury reserves repayment of the public debt. to guarantee the exchangeability of the Treasury As to the exact remedy for this situation there notes with gold. The act was repealed during the was less unanimity of opinion. A number of thepanic of 1893, but Cleveland's frantic attempts remedies proposed indicate unmistakably theto preserve the treasury gold reserve against the persistent Greenbackism of many of the moststeady inflow of silver certificates already out- active leaders in the new agrarian movement asstanding involved recourse to heavy bond issues well as their intense antipathy to the national according to the terms of the Resumption Act of banking system and its bond secured currency.1875. His unswerving resolution to maintain the Free and unlimited coinage of silver was likewisegold standard and his willingness to increase still urged on the ground that the more plentifulfurther the dependence of the government on metal had by its fall in price proved itself moreNew York banking interests alienated the grow- sensitive to variations in the general price level.ing free silver section of the party. The Demo- The Populist party of 1891, which drew itscratic convention of 1896, after severely criticiz- greatest strength from the agrarian populationing Cleveland's actions, was roused to a frenzy 440 Encyclopaedia of the Social Sciences of excitement by the eloquence of Bryan, whohas shifted its emphasis from the monetary to more thoroughly than any other trained polit-the credit system. ical leader had assimilated the traditions of the HAROLD L. REED free silver movement and who in his peroration See: BIMETALLISM AND MONOMETALLISM; INFLATION fused twenty years of free silver agitation. AND DEFLATION; DEBT; AGRARIAN MOVEMENTS, sec- Despite the strength of this appeal the silver tion on UNITED STATES; FARMERS' ALLIANCE. party of 1896 labored under impossible handi- Consult: Haynes, F. E., Third Party Movements since caps. Success at the polls could not be gained the Civil War with Special Reference to Iowa (Iowa without complete victory in the agrarian sec- City 1916), and James Baird Weaver (Iowa City 1919); Buck, S. J., Agrarian Crusade, Chronicles of America tions of the country, wherein Republican tradi- series, vol. xlv (New Haven 192o); Arnett, A. M., The tions were especially strong. In the manufactur-Populist Movement in Georgia (New York 1922); ing areas a very large element undoubtedly re-Bryan, W. J.,The First Battle (Chicago1896); mained convinced that the primary issue was notHarvey, W. H., Coin's Financial School (Chicago silver but protection. The importers and the 1894); Taussig, F. W., The Silver Situation in the banking interests with international affiliations United States (3rd ed. New York 1896); Noyes, A. D., Forty Years of American Finance (New York 1909); were naturally opposed to a silver currency at a Laughlin, J. L., The History of Bimetallism in the time when virtually all European currencies United States (4th ed. New York 190o); Hepburn, A. were on a gold basis. Although Bryan was not Barton, History of Currency in the United States (rev. content to portray merely the abstract advan- ed. New York 1924). tages of the bimetallic system but charged that the country 's currency policy and the generalFREE TRADE now implies a commercial policy price decline since 1873 were the result of a de-under which commodities may pass political liberate tinkering with the country's money infrontiers without the payment of duties or under the interests particularly of the creditor classes,which duties are either charged only on com- generally over the country the international pres- modities not produced at home or offset by cor- tige of gold had created an emotional sentiment responding duties on that part of the supply hostile to free silver. 1Vluch intellectual opposi- which is produced at home. The term was used tion to the Bryan faction was caused by the Re- in other senses by earlier writers on trade. In the publican party's declaration that it would notfirst part of the seventeenth century it usually oppose bimetallism if an effective internationalreferred to the removal or drastic modification agreement among the leading countries of theof the privileges enjoyed by chartered trading world could be secured. Although the gold partycompanies, such as the Fellowship of the Mer- secured pluralities west of the Mississippi onlychant Adventurers of England or the London in Oregon, California, North Dakota, MinnesotaEast India Company. Contemporary discussion and Iowa, the silver party was defeated. Itswas constantly preoccupied with the possibility doom was sealed with the passage of the Goldof "a more open and free trade." This was the Standard Act in 1900. issue raised by the free trade bills of 1604; in The general rise in prices which began in 18971622, a year of acute industrial depression, the and continued during the next decade relievedquestion was referred to the commissioners of the distress in agricultural districts. In 5900 the trade; and again in 165o a commission under the conditions regulating the establishment in ruralchairmanship of Sir Harry Vane was instructed sections of national banks with note issuingto inquire "whether it be necessary to give way powers were liberalized. But even after 1900to a more open and free trade than that of com- silver was retained as a considerable element inpanies and societies." This concern about the the American currency system. In 1918 theprivileges of the trading companies was only a Pittman Act authorizing a huge sale of silverspecial aspect of the attack on monopolies. Such bullion to England carried a provision for the re-privileges often rested on a threefold basis: a purchase of an equal amount from Americangrant from the crown, the suppression of inter- mines; it was made effective in 192o -23. Silver nal competition and a protective trade policy. coinage lost its importance, however, as a socialWhatever may be said of the royal intention, it and political issue. In the twentieth century thecannot be denied that serious abuses arose in farmer's need for capital led to demands for practise. The opposition was vigorous and in the provision of better credit facilities and of gov- course of it the principle of economic liberty was ernment assistance in marketing. The struggle frequently asserted. Internal monopolies were between the agrarian west and the industrial east practically abolished by the Long Parliament Free Silver--Free Trade 441 and thus a step in the direction of freedom ofthe barennesse of some things in our country, trade was taken much earlier in England thanwith the fruitfulnesse and store of other coun- on the continent. But the monopolies enjoyedtries, to the ende that enterchangeably one corn - by companies engaged in foreign trade survived,monweale should live with another." Sir William because in this sphere the consequences of com-Petty adumbrated the theory of the territorial petition seemed likely to be disastrous. To in-division of labor and in 1676 laid down the rule sure a favorable balance of trade contemporarythat "each country flourisheth in the manufac- opinion considered that some degree of regula-ture of its own native commodities." But the tion was essential. mercantilists were not prepared to admit that The action dictated by the balance of tradeunregulated trade would be of mutual advan- theory gave another meaning to free trade. Intage. The earlier writers were convinced that it the last two decades of the seventeenth centurywould not insure the requisite accumulation of there was much discussion of the relative advan-treasure in coin or bullion within their country tages of prohibition and free trade, especially and their successors felt that it would not maxi- in connection with trade with France. Here free-mize employment at home. Consequently the dom meant the conversion of a prohibitory intoweight of opinion was against the removal of a moderate tariff. Davenant makes the pointrestrictions on trade. The ruling conception of clear when he writes " ... if both Kingdomsthe balance was not effectively challenged until can agree upon just and equal duties to be laidthe second part of the eighteenth century. Such on their respective commodities, a free tradefree trade ideas as found expression were essen- with France can never be dangerous to Eng-tially criticisms directed against the hardships land." The Whigs, however, for political reasonssuffered by certain interests or against the com- exploited the notion that trade with France wasmercial implications of foreign policy. Josiah necessarily harmful. Prohibition had first been Child, whose political convictions led him to ad- imposed in 1678 (29 and 3o Car. 11, C. 1) and the'vocate more liberal trade relations with France, policy was confirmed after the accession of Wil-was anxious to restrict the trade of the American liam and Mary. Bolingbroke's attempt in 1713colonies to the mother country. The regulation to include more liberal commercial clauses inof all colonial trade so as to correct adverse the Treaty of Utrecht ended in failure. Joshuabalances with foreign countries was generally Gee, a leading merchant often consulted by therecognized as desirable. For example, by paying government at that time, had no hesitation inbounties on the production of naval stores in declaring that " France, above all other nations,America it was hoped to eliminate England's is the worst for England to trade with." It isdependence on the Baltic countries for such against the background of these restrictions thatsupplies. the writings of "the Tory Free Traders," Josiah In England the natural tendency toward eco- Child, Dudley North and Charles Davenant,nomic integration was not hindered by the levy- must be read. They rightly insisted that the ing of local duties on the movement of commod- Whig contention was based on the crude con- ities. So far as the inadequate means of transport sideration of the particular balance of trade withallowed goods could be moved freely from one France and not on a more comprehensive view.part of the country to the other. There is indeed Incidentally they enunciated broad principles much complaint in the sixteenth century of the and from isolated passages it would be easy toinvasion of local markets by merchants who suggest that they were more enlightened thanoffered for sale articles made in more distant they actually were. Davenant asserts that "tradelocalities. Scotland, however, was a separate is in its nature free, finds its own channel andcountry and until the union with England in 1707 best directeth its own course." Still it would bethere were considerable restrictions on trade a great mistake to suppose that he was afree between the two countries. Severe limitations trader in the modern sense of the term. on trade with Ireland survived throughout the The idea that there is a distribution of re- eighteenth century despite William Pitt's attempt sources which makes countries interdependentin 1785 to initiate a more liberal policy. In west- was constantly expressed by mercantilistwriters.ern Europe a complicated system of duties ex- They often stated it to be a providential arrange-isted even within the boundaries of sovereign ment. Gerard Malynes declared in 16oí thatstates. In France, for example, internal economic "God caused nature to distribute her benefits,unity was not achieved until the revolution. or his blessings to severall climatessupplyingThere was a network of tolls, feudal dues and 442 Encyclopaedia of the Social Sciences provincial customs duties and even of prohibi-It was left for Adam Smith to subject the pre- tions on the movements of foodstuffs. Transportvailing commercial system to detailed criticism was consequently so costly, where it was per- in the Wealth of Nations (1776). While he shared mitted, that the peasants often allowed theirwith the physiocrats a belief in natural liberty, produce to decay rather than attempt to reachhe did not content himself with the assertion a distant market. Colbert attempted to effectof that principle. He examined all the devices some reforms in this system but without anyof the mercantilists with obvious zest. They were notable success. accused of erecting "the sneaking arts of under- The reaction in France against excessive gov- ling tradesmen" into "political maxims for the ernment regulation led to the first definite formu- conduct of a great empire." To his first readers lation of a theory of free trade. The physiocrats,his treatment of this part of the subject must in opposition to the policy of fostering manufac-have seemed a resounding challenge to existing tures, insisted that the wealth of a country arosepractise. He himself felt that the attack would from agriculture and demanded that this shouldbe resented and that "the prejudices of the pub- therefore enjoy complete freedom. In this theylic" and "the private interests of many individ- were primarily thinking of the removal of alluals" would rally to the defense of the system. restrictions on internal trade. According to their"To expect," he wrote, "that freedom of trade principles there was little or no advantage in should ever be entirely restored in Great Britain foreign trade, a view which naturally made themis as absurd as to expect that an Oceana or regard the whole mercantile system as futile. SoUtopia should ever be established in it." This they were prepared to accept the general appli- sense of practical difficulties distinguishes Adam cation of their gospel of laissez faire, laissezSmith from the physiocrats. The logical com- passer; that is, the free movement of commodi- pleteness of their system proved a stumbling - ties and persons without any regard to nationalblock to men of affairs. Adam Smith did not frontiers. The whole conception of the balance elevate the principle of laissez faire into an abso- of trade they regarded as absurd and mischie-lute doctrine. There was in his view a strong vous and they challenged the view that a countrypresumption in favor of its application to con- could gain any advantage by imposing limita-temporary commercial questions. He does not tions on trade. It is possible to explain the par-deny that an industry may be acquired sooner ticular policy advocated by the physiocrats byby the adoption of protective measures than it reference to circumstances of the time. Agri-otherwise would be; but he insists that the ex- culture was unduly cramped by the restrictionspense of such a measure is certain while the which weighed heavily on the producers. The advantage is doubtful. The interest of the people importance of the physiocrats, however, lies inas a whole, the consumers, is much more likely the fact that they went beyond the criticisms ofto be promoted by allowing capital investment details and elaborated a complete system. Theyto take its own course. Similarly the colonial envisaged a natural order of society, the opera- system seemed to Adam Smith to be a great tion of which was frustrated by the ill advisedillusion, an elaborate attempt to force capital intervention of governments. The demand for into a distant trade where it earned a smaller freedom of trade was no longer a protest from return than if it had been invested nearer home. those individuals who felt the injustice of this or His comment on the attitude toward trade with that regulation; it was the assertion of a general France is characteristic: "If those two countries, principle. however, were to consider their real interest, The reaction against the mercantile system waswithout either mercantile jealousy or national not so clearly marked in England. There wereanimosity the commerce of France might be no internal restrictions of the kind which existedmore advantageous to Great Britain than that in France and contemporaries were generallyof any other country, and for the same reason satisfied that the commercial policy pursued with that of Great Britain to France." He did not respect to Ireland and the American colonies wasshare the contempt which the physiocrats had of advantage to the country. Matthew Decker,for foreign trade. Agriculture, industry and trade who in 1744 advocated the abolition of customs were all to the national advantage provided they duties on imports and of bounties on exports,were taken up in the course of things and not exerted little or no influence on opinion. Theforced by artificial means. Any measures which exposure of the fallacy of the balance of tradeprevented each country from sharing in the nat- theory by David Hume had no immediate effect. ural distribution of the products of the world Free Trade 443 must necessarily be harmful, for there was abeen built up in the effort to find sources of fundamental economic interdependence. indirect taxation for its prosecution. The landed Adam Smith was skeptical about the influenceinterests had endeavored to safeguard their posi- of theoretical considerations in practical affairs.tion by the Corn Law of 1815, which prohibited His arguments received powerful reenforcementthe importation of foreign wheat until the price from events in the American colonies. The at-reached eighty shillings a quarter. Public dis- tempt of the mother country after 1763 to enforcetress raised the question whether if foreign food the laws of trade met with determined oppo-supplies were freely admitted an outlet might be sition. When the independence of the Unitedfound for British manufactures. One of the ban- States was recognized twenty years later the oldners at "Peterloo" in 1819 bore the words "No colonial system was badly shaken, but by that Corn Laws." A definite lead was given to opin- time British merchants were coming to see thation by the presentation of the Merchants' Peti- the superiority of their manufactures would in-tion to the House of Commons in May, 1820. sure their hold on the American market. A more It was drafted by Thomas Tooke for a group of liberal trade policy was winning general accept-London merchants and gave precise expression ance. In 1786 William Pitt succeeded whereto the leading principles of free trade. "Freedom Bolingbroke had failed. A commercial treaty wasfrom restraint," it was asserted, "is calculated negotiated with France in which prohibitiveto give the utmost extension to foreign trade, duties for the most part gave place to moderateand the best direction to the capital and industry duties. The general principle of reciprocity inof the country." The Manchester Chamber of trade and navigation was recognized. Unfortu-Commerce, which was founded that same sum- nately the outbreak of the French Revolutionmer, registered the opinion that "to indulge an put an end to this arrangement before its effectsexpectation that other countries will take the could be properly estimated. It is significant,manufactures of this kingdom without our re- however, that a crisis was provoked in the textileceiving in return such articles as they produce, areas in France which was due to the superioris delusive and injurious to our best interests" industrial position of Great Britain. As far as it(Manchester Statistical Society, Transactions, went, the experience of the years from 1786 to for December io, 1930). These declarations may 1793 served to strengthen the conviction amongbe said to have initiated a movement which British manufacturers that greater freedom ofmade steady, if slow, advance during the next trade would be to their advantage. twenty years. The almost continuous state of war in Europe The advocates of free trade had the great ad- up to 1815 violently interfered with the coursevantage that the tariff which they were attacking of trade. Great Britain and France attempted tocould not be defended on any principle. Their do economic damage to one another by means ofdifficulties arose partly from the opposition of blockades and other devices. The attitude ofvested interests but mainly from the difficulty Great Britain toward neutral shipping provokedof suggesting in the absence of the income tax the War of 1812 with the United States of Amer- (which had been repealed in 1816) means of ica. When peace was restored in Europe in 1815 obtaining revenue to compensate for any remis- each belligerent faced the question of what com-sions in indirect taxation. William Huskisson mercial policy ought to be pursued in the diffi-made the first inroad upon the system in the cult period of recovery. In Great Britain theyears 1823 to 1827. His reforms weremoderate process of industrialization had made rapid al-and commended themselves to practical business though unequal progress and the main problemmen. Several prohibitions wereremoved and was whether the post -war dislocation could beimport duties reduced. He contended that a met by finding foreign markets for manufactured maximum rate of 3o percent provided sufficient goods. But the continental countries had allprotection to native manufacturers in the hardest adopted high tariffs. In France Napoleon hadcases. The revision of the timber duties,which deliberately done so to foster manufactures. Al-had been practically prohibitive to the Baltic though the Restoration monarchy was preparedsupply, left the colonies in a preferential posi- to modify the policy of prohibition it foundtion. The principle of reciprocity was introduced vested interests so powerful that a tariff act wasinto the navigation acts. These reforms naturally passed in 1816 which confirmed a system of high raised the question of the revision of the Corn protection. Great Britain had emerged from theLaw of 1815. An attempt in 1827 to introduce a war with an unwieldy tariff system which hadsliding scale arrangement by which the import 444 Encyclopaedia of the Social Sciences duty on wheat should vary with the home pricecles to a point not exceeding 12 percent ad proved abortive; but the Wellington ministry invalorem and on manufactured articles to a point the following year successfully carried a billnot exceeding zo percent ad valorem. based on the same principle, although less favor- In 1845 Peel returned to the tariff question able to importation. It was accepted by freeand sought an extension of the income tax to traders as an improvement, and a succession ofcarry reform to another stage. He now proposed fairly good harvests prevented a vigorous agita- wholesale remissions of duties; some 430 articles, tion from arising for some years. mostly raw materials, were to be removed from Huskisson had removed many of the morethe tariff list. His approach toward a definitely unreasonable elements from the British tariff,free trade position was obvious. But the crucial but he left it a comprehensive protective system.test of protection to agriculture remained. He For ten years little progress was made in thehad revised the sliding scale in 1841 with the direction of simplification. The industrial de-twofold object of preventing speculative dealing pression which followed the financial crisis ofand of securing a remunerative price for home 1837 reopened the whole issue in a most acutegrown corn. There he had left the question de- form. There was a succession of budget deficitsspite the increasing intensity of the anti -corn and the existing tax system seemed quite inca-law agitation. The dramatic events of 1846 were pable of meeting the difficulty. The manufac-precipitated by the failure of the potato crop in turing interests indeed had largely adopted theIreland. Peel decided that circumstances de- view that the burden of indirect taxation wasmanded that the corn laws should go and he mainly responsible for the failure of industry tocarried through their repeal at the cost of all his recover. In particular they felt that the cornpolitical prospects. The administration had not laws operated to close foreign markets to theironly greatly simplified the tariff, it had given a goods. This conviction led to the foundation ofgreat impetus to the free trade movement. The the National Anti -Corn Law League in Man-principles on which rested the arguments for the chester early in 1839. Under the leadership offree import and export of goods had been widely Richard Cobden and John Bright a great cam- discussed and their complete adoption had been paign was launched which by concentration onstrongly advocated by a growing body of opin- the main issue, skill in argument and resourceful-ion. The navigation laws were repealed in 1849 ness in methods soon aroused opinion through- as a necessary corollary to the abandonment of out the country. The ground was prepared for athe corn laws. thorough application of free trade principles. While Peel had been influenced by what he But the practical steps were taken by Sirfelt to be practical considerations, W. F. Glad- Robert Peel's ministry from 1841 to 1846. Peelstone, who had been his lieutenant throughout, had the temper and outlook of an administrator.had come to the conviction that the work ought He was more concerned with the difficulties ofto be carried to such a point that the tariff would the moment than with theoretical considera-remain purely for revenue. In his budget of 1853 tions. A Committee on Import Duties, whichGladstone followed the principles that semi - reported in 1840, had drawn attention to themanufactured goods should be admitted duty fact that there were nearly twelve hundred items free and that such manufactured goods as were in the list of dutiable goods and it had suggestedretained in the tariff should not be charged more that a drastic reduction of these would "facilitatethan 10 percent ad valorem. His task was inter- the transactions of commerce, benefit the reve-rupted by the outbreak of the Crimean War and nue, diminish the cost of collection and removewas resumed and completed in 1860. the multitudinous sources of complaint and vex- But the movement had now taken on a wider ation." Peel decided to deal with the nationalsignificance. So far it had been greatly favored emergency by following these recommendations.by the trend of events in Great Britain. The Protecting himself against a possible temporaryenunciation of general principles by economists, loss of revenue by reimposing the income taxwhile it had not provided driving force, had for three years, he undertook a comprehensivehelped practical men to find justification for revision of the tariff. The general principles ofwhat they wanted and to give them a clear objec- the reforms of 1842 were the removal or relaxa-tive. The country was becoming thoroughly in- tion of prohibitory duties; the reduction of dutiesdustrialized in a world where agriculture was still on raw materials to a point not exceeding 5 per-dominant. To change the balance in Great Brit- cent ad valorem, on partially manufactured arti-ain definitely in favor of manufactures seemed Free Trade 445 highly desirable if access could be found tonation clause Great Britain secured the advan- foreign markets. Such access could best be se- tage of these rates. cured by accepting their agricultural products. The Anglo- French Commercial Treaty ush- But it was not so easy to demonstrate that other ered in a period which witnessed a general move- countries would gain from this arrangement. Ifment toward free trade. Cobden and Bright had they had industrial possibilities they might not always stressed the international aspect of their be best serving their own interests by openingcampaign. There were many writers on the con- their doors to British manufactured goods. tinent who believed that universal free trade was In France industry had made considerablewell within the realm of practical politics. Econ- progress but high protection was maintained omists considered freedom of trade as an axiom until the establishment of the Second Empire,of their science. It is true that Friedrich List although there was a growing demand from the had in his Das nationale System der politischen commercial interests for a less restrictive policy.Oekonomie (Stuttgart 1841; tr. by S. S. Lloyd, Events in Great Britain had stimulated a move- London 1885) contended that it was premature ment in favor of free trade and Frédéric Bastiatfor a country to open its doors freely to foreign had clearly expounded the teaching of the Anti -supplies before its own economic potentialities Corn Law League to his fellow countrymen.had been thoroughly explored and developed. Napoleon III had been impressed by the achieve- He accepted freedom of trade as an end; but ments of Sir Robert Peel and made some experi-he wanted each state capable of doing so to ments in reducing tariffs by decrees, but anachieve industrial maturity before adopting it. attempt to remove prohibitions by legislationinThis meant in practise a long period of protec- 1856 met with such strong opposition that it hadtion in countries which had made little industrial to be abandoned. Political considerations, how-progress. Germany was, in his view, in this cate- ever, suggested the advantage ofpressing forgory. But his teaching had no immediate effect. better relations with Great Britain and he ap- The happenings in Great Britain lent prestige proved of private consultations between Cobdento free trade opinion and the balance of interests and Rouher, the minister of commerce, with ain Germany was such that an open market for view to the negotiation of a commercial treaty.cereals was attractive, while the danger from the The emperor claimed the right to amend theimportation of cheap manufactured goods was tariff by treaty without reference to the Cham-not widely feared. Within the German Zollve- ber. Cobden on his part was averse to therein the influence of the landowners and traders principle of making concessions to particularof the north was much more powerful than that countries. In the upshot a treaty was enteredof the iron and cotton manufacturers of the upon by which France was to removeall prohi- south. At its inception in 1834 the Zollverein, bitions after October 1, 1861, and to reduce high following the lead of Prussia, whose liberal tariff duties to 3o percent ad valorem. It also concededof 1818 showed the influence of Smith's ideas, a most -favored -nation clause which was togive adopted a moderate tariff; the desire to repel Great Britain the advantage of any lower dutiesAustria and to attract the northwestern states of subsequently granted to other countries. GreatHanover and Oldenburg confirmed this policy. Britain, however, associated this treaty with theThe Zollverein was thus prepared to take its part budget of 1860, which abolished all duties onin the negotiation of the liberal commercial trea- manufactured articles and brought the numberties of the sixties. A similar movement toward of commodities retained in its tariff down tofree trade took place in Sweden, while Switzer- forty -eight. These concessions were given to allland continued its non -protectionist tariff policy. the world and completed the scheme to whichHolland by a series of reductions beginning in Gladstone had committed himself. The terms1845 and culminating in 1877 eliminated all of the treaty with France were stated in generalduties except 5 percent on manufactured goods terms. In the detailed negotiations whichfol- retained for revenue purposes. Belgium repealed lowed its ratification France agreed to duties wellits corn laws in 185o and by 1857 was practically below the maximum of 20 percent on a greata free trade country. variety of commodities. Moreover, France en- But a general system of free trade was never tered upon a number of commercial treaties with achieved in Europe. The beginnings of a reac- Belgium, the Zollverein, Italy, Switzerland and tion appeared in the seventies and became very other customs areas, in which lower duties weremarked in the eighties. Among the leading often arranged, and under the most -favored-causes must be placed the more violent expres- 446 Encyclopaedia of the Social Sciences sion of national sentiment, the growing indus-while India and the crown colonies had their trialization and the improvements in transport own systems. Chamberlain's proposals combined which brought cheap American grain to the Eu-ideas of imperial preference with those of pro- ropean markets. In each country there weretection of the home market and retaliation to special circumstances. A considerable body offorce open foreign markets. He had to admit French opinion had never been reconciled to thethat the taxation of foreign imported foodstuffs policy of Napoleon in. Step by step France re-by Great Britain would have to be an essential turned to a very definitely protective position, element in any effective scheme of imperial pref- which was finally confirmed in the Méline tarifference. The general election of 1906 was a com- of 1892. In Germany the situation was moreplete triumph for free trade principles and Great complicated. The empire continued the liberalBritain entered upon the World War with her policy of the Zollverein until 1879. The iron andtariff system unmodified. Belgium and Holland cotton manufacturers still complained very bit-.also remained essentially free trade countries up terly of the dumping of British goods. The Prus-to the World War. sian landowners were beginning to feel the effect The war brought with it a marked strengthen- of the competition of cheap transatlantic corn.ing of the protectionist position everywhere. The Bismarck was also gravely concerned about theUnited States, which in the tariff of 1913 had financial requirements of the empire. He decidedgiven some faint signs of abandoning its tradi- therefore to revise the tariff; to give a measuretional high protectionist policy and of moving of protection to manufacturers and agricultur-in the direction advocated by the strong intellec- ists which would at the same time increase thetual movement in favor of free trade, entered in yield of indirect taxes. The new tariff which1921 upon an era of increased protection. Even came into force in 188o imposed a moderateHolland and Belgium imposed certain protec- duty on a great variety of commodities, for thetionist duties, although they still remain with main purpose was to raise revenue; but duringcountries of relatively liberal tariffs. Great Brit- the discussion Bismarck had definitely expressedain imposed duties in 1915 on the importation the view that whatever the merits of the theoryof certain luxuries with a view to maintaining of free trade might be it was impossible to main- the foreign exchanges. In 1919 preference was tain it when other countries were surrounding given on practically all articles subject to existing themselves with customs barriers. customs duty if they came from any part of the The reaction was also felt in Great Britain.British Empire. Two years later safeguarding The excess of imports over exports arousedrates were applied to certain foreign goods if alarm, and it was asked whether the balance ofoffered for sale at prices below cost of production trade was not unfavorable and whether it wouldor below that at which similar goods could be not necessarily remain so as long as Great Brit- profitably manufactured in the United King- ain was a free trade country while others weredom. Empire goods were exempted from these elaborating protective tariffs. The critics of freeduties. The proposal for a more thoroughgoing trade advocated what they called fair trade, a application of protective measures was rejected in system the essential principle of which was retali- the general election of 1923, but some increased ation in tariff policy, although it also containedprotection was instituted by the Conservatives elements of empire free trade. They demandedafter their return to power in 1924. Protectionist a tariff on the manufactures of all countries whichproposals failed again in 1929. Great Britain is did not admit British goods duty free. With thestill more liberal than any other country in its revival of trade in the nineties little more wastariff policy, but the agitation for more protec- heard about fair trade. But a much more serioustion is very strong. Even many of the trade challenge to the free trade position was launchedunionists, including especially those whose par- by Joseph Chamberlain in 1903 when he opened ticular industry has suffered from foreign com- his tariff reform campaign. Suggestions had beenpetition, such as the textile workers, are moving made from time to time that the British Empiretoward protection, in opposition to the tradi- might be more closely bound together by meanstional Labour party policy of free trade. of a commercial union. The problem was a com- In other countries too the peculiar problems plicated one because of the variety of tariff poli-of the post -war years have shaken the faith of cies which existed within the empire. The Unitedmany free traders -the concern about the main- Kingdom was free trade, the self- governing do-tenance of "key industries," the natural unwill- minions had each built up a protective tariff,ingness to see industries which have developed Free Trade--Freedom of Association 447 or grown large during abnormal war years decayRise and Decline of the Free Trade Movement (2nd ed. Cambridge, Eng. 1905); Fuchs, K. J., Die Handels- in the face of strong foreign competition, the fearpolitik Englands und seiner Kolonien in den letzten of dumping due to the collapse of continentaljahrzehten (Leipsic 1893), tr. by C. H. M. Archibald currencies, the difficulty of finding an adequate(London 1905); Holland, Bernard, The Fall of Pro- revenue, the alarming increase in unemploy- tection 1840-1850 (London 1913); Bastable, C. F., ment. For all these it has been suggested in turn The Commerce of Nations (9th ed. London 1923); Ashley, Percy, Modern Tariff History (3rd ed. London that a remedy may be found by departing even 1920); Marshall, Alfred, Industry and Trade (4th ed. farther from free trade principles. The world London 5923) appendices E -F; Gerloff, W., Finanz- wide industrial depression has strengthened the und Zollpolitik des Deutschen Reiches (Jena 1913); agitation. In some cases protection is regarded Dorp, Elisabeth van, "Der Freihandelsgedanke in der dura- Welt nach dem Kriege" in Weltwirtschaftliches Ar- as a remedy for specific ills of a temporary chiv, vol. xxx (1929) 212 -40; Leubuscher, Charlotte, tion; in others it is advocated as a scientific Liberalismus und Protektionismus in der englischen method of dealing with economic factors. Wirtschaftspolitik seit dem Kriege (Jena 1927); Bosan- There is, however, a general recognition ofquet, H. D., Free Trade and Peace in the Nineteenth the fact that the heaping up of tariff walls since Century, Publications of the Institut Nobel Norwe- gien, vol. vi (Christiania 1924); Taussig, F. W., The the war has been a hindrance to economic re- Tariff History of the United States (8th ed. New York covery. Attempts have been made by theLeague 1931). of Nations and other international agencies to induce countries to adopt a more reasonableFREEDOM. See LIBERTY. policy. The International Economic Conference at Geneva in 1927 passed a resolution to the FREEDOM OF ASSEMBLY. See ASSEMBLY, effect that "the time has come to put an end to RIGHT OF. the increase in tariffs and to move in the opposite direction." The conference recommended thatFREEDOM OF ASSOCIATION. The prin- "the nations should take steps forthwith to re- ciple of freedom of association has two aspects. move or diminish those barriers thatgravely On the one hand, it involves the idea of a recog- hamper trade." Implicit in the Pan -Europenized legal right on the part of all persons to scheme, in the suggested Austro- German cus- combine for the promotion of purposes in which toms union and even in Lord Beaverbrook'sthey are interested; on the other, it includes the agitation for empire free trade is a recognition right freely to assemble for the purpose of public of the economic value of a large free trade area. meeting. But highly abnormal economic, financial and Each aspect of the principle has a long and political conditions have militated against thecomplex history behind it. Freedom of associa- lowering of customs duties, or even the stabiliz-tion has never been universally admitted as a ing of the present rate, by general agreement.legal right until the present day; and even now Impediments to trading have been multipliedit is hedged about, in most countries, with im- by the break up of great political units in Europe,portant restrictions which cut at its root. The and national animosities have blinded people toessence of the problem involved may be said to the consequences for themselves as well as forbe the fact that membership in an association their neighbors. the purposes of which conflict with those ap- J. F. REES proved by the government of a given state in- volves issues of allegiance which the state is not See: INTERNATIONAL TRADE; ECONOMIC POLICY; CO- LONIAL ECONOMIC POLICY; LIBERALISM; ECONOMICS, prepared to confront. Until quite modern times section on PHYSIOCRATS; PROTECTION; MERCANTILISM; these issues revolved round the relationship be- BALANCE OF TRADE; TARIFF; CUSTOMS DUTIES; CUS- tween church and state. Protestant states tended TOMS UNIONS; COMMERCIAL TREATIES; CORN LAWS; to limit the right of Roman Catholics freely to ANTI -CORN LAW LEAGUE. worship in their own way, on the ground that Consult: Ashley, W. J., "The Tory Origin of Free they owed allegiance to a foreign sovereign, the Trade Policy" in his Surveys, Historic and Economic (London 1900) p. 268 -303; Becker, H., Zur Entwick-pope, and hence could not be regarded as satis- lung der englischen Freihandelstheorie (Jena 1922); factory citizens of the secular community to Mayer, G., Die Freihandelslehre in Deutschland (Jena which they belonged. Roman Catholic states, as 1927); Nicholson, J. S., A Project of Empire (London France under Louis xiv, took the view that 1909); Rees, J. F., A Short Fiscal and Financial His- national unity was impaired by differing reli- tory of England, 1815 -1918 (London 1921); Armitage - Smith, G., The Free -Trade Movement and Its Results gious views; and the revocation of the Edict of (2nd ed. London 1903); Cunningham, William, The Nantes in 1685 was intended to make coincident Freedom of Association 449 right of men to assemble freely even when itCollard, Guizot, Benjamin Constant and Wil- was known that theirlawful intention wouldliam Godwin. involve illegal acts on the part of opponents. In As a matter of social philosophy it is clear other countries the law has been less generous;that no state charged with the maintenance of and conditions such as obtaining previous per-social order can admit an unlimited right to mission from the police, confining the speeches freedom of association; for that would be to made to a given language, limiting the age ortolerate the existence of bodies actively engaged character of the persons admitted, providing ain an effort to seek its own overthrow by vio- list of speakers deemed satisfactory by the au-lence. It seems therefore that the legal limit of thorities and so on have been normally opposed.free association should not be held to be ex- In the post -war period it is probable that theceeded until the body concerned ceases to pro- disturbed conditions of Europe have seen largermote its ends peacefully. This is theimplication in and more intense interference with freedomofof Mr. Justice Holmes' well known dissent assembly than in any other epoch since 1848. Abrams v. United States [250 U. S. 616 (1919)]. The outstanding names in the history of theTo illustrate: a government could hardlydo theory connected with freedom of association otherwise than interfere with such a body as the are those of Hobbesand Rousseau on one sideUlster Volunteers, who in 1913 -14 announced and, although implicitly rather thanexplicitly,their intention of resisting the applicationof the John Locke on the other. In his classic Levia-Home Rule Bill of that year by force of arms; than Hobbes argued against any permissionwho also engaged in military training andthe freely to form associations, on the ground, topurchase of military equipment to enable them of course impor- use his homely metaphor,that corporations wereto carry out their purpose. It is "like worms within the entrails of anaturaltant that the government should have no power man." In his judgment they tended todetractto judge the validity of their case; toconfuse from the allegiance men owe to the stateandexecutive and judiciary in these crucial matters should therefore be rigorously discouraged.is to destroy the possibility of freedom. Rousseau took a similar view. Since for him the It is difficult in the light of history to seethat by state embodied the general willwhich is by defi-anything has been gained in the long run nition infallible, any lesser will mustnecessarilymultiplying prohibitions upon the right of asso- be inferior in quality and hurtful inaction. Heciation. Where men feel passionately upon some it; and any therefore urged the undesirability ofassociationsobject they will combine to promote prohibition upon their effort to do so only serves on the ground thatthey interfere with the duty wholeheartedly to drive their activities into secretchannels where of the individual to give himself well be to that general will which asembodied in thetheir discovery is more difficult. It may violence actions of the state represents his bestinterest.argued, for example, that much of the nineteenth It was in accordance with Rousseau'sdoctrineof French and Russian history in the had passedcentury was due to exaggeratedsuppression of that the French National Assembly for men in 1791 the Loi de Chapelierprohibiting thethe right to form political associations; who cannot persuade a government toaccept existence of associations. impose it Locke took a different view. Whereasfor boththeir view will seek sooner or later to Prohibitions do not seem Hobbes and Rousseau the omnicompetentandupon that government. organic character of the state was essential,forto have any long run effect savethat of exacer- For while Locke its essence was that it shouldbe bothbating the temper of the disputants. atomistic and limited in function tocertainit may be true that more cautiousspirits will be specified purposes. One of these was themain- driven by fear of the law to acceptits prohibi- agreed that the statetions, that only leaves the associationoutlawed tenance of order; and he and desperate has the right of interference forthis end. Butin the possession of more daring Letter concern- minds. The history of the revolutionary move- his treatment of churches in the upon ing Toleration shows that in his view, solong as ment in Russia is a sufficient commentary an association does notthreaten the public peace, this thesis. its activi- Experience shows, however, that thereis solid the state has no right to interfere with within ties. That view is the effectivebeginning ofground for limiting the right of association liberal doctrine on the subject; a view,it maythe armed forces of the state and,although less activities of be added, which has received supportfrom men decisively, controlling the political and Spain so varied as Voltaireand Adam Smith, Royer-their members. The history of France 450 Encyclopaedia of the Social Sciences shows clearly the grave damage that results fromthat they have an equal interest in the results of allowing the army and navy to play a large partits operations. Where that result is for long in the disposition of political forces. In a lesserunequal it is certain to be challenged. Such chal- degree this is true of the civil service, althoughlenge is a threat to order; and in the effort to here it is fairly certain that a line can conven-maintain it there are few governments prepared iently be drawn between civil servants engagedto allow freedom of association to continue. in the performance of important functions and HAROLD J. LASKI those who may be regarded as no more than See: ASSOCIATION; LIBERALISM; NATURAL RIGHTS; clerks who happen to serve the state rather than CIVIL LIBERTIES; ASSEMBLY, RIGHT OF; FREEDOM OF a private employer. The influence of the first SPEECH AND OF THE PRESS; LABOR MOVEMENT; TRADE class depends for its beneficial effect almost UNIONS; CONSPIRACY, CRIMINAL; CRIMINAL SYNDI- wholly upon public confidence in its neutrality; CALISM;COMBINATIONS, INDUSTRIAL; CLUBS,POLITICAL. the influence of the second is no greater than Consult: Nourrisson, Paul, Histoire de la liberté d'asso- that of any similar group of persons engaged in ciation en France depuis 1789, 2 vols. (Paris 192o); Worms, Emile, De la liberté d'association au point de similar employment. vue du droit public eitravers les âges (Paris 1887); The modern state must decide upon three Crouzil, Lucien, La liberté d'association (Paris 5907); grave questions. How far does it propose to pro- Dicey, A. V., Introduction to the Study of the Law of tect individual freedom of contract? How farthe Constitution (8th ed. London 1915) p. 266 -79, does it propose, if at all, to limit the peaceful 497 -512; Webb, Sidney and Beatrice, The History of methods taken by industrial associations to ad- Trade Unionism (rev. ed. London 1920); Hoagland, H. E., "Association and Co- operation" in Commons, vance their interests; for instance, does it pro-J. R., and others, History of Labor in the United pose to limit freedom to strike in vital public States, z VOIS. (New York 1918) vol. i, p. 493-521; utilities? How far does it propose to declare ille-Barrault, H. E., Le droit d'association en Angleterre gal activities of industrial bodies which whether (Paris 1908); International Labour Office, Studies and Reports, ser. A., nos. 28 -32 (Geneva 1927 -30). For by reason of their purpose or their magnitudegeneral problems see: Laski, H. J., Liberty in the seek a change in the character of public policy;Modern State (New York 193o); Elliott, W. Y., The for example, a general strike to secure an eight- Pragmatic Revolt in Politics (New York 1928). hour day in industry? To the first problem it may be said briefly that the modern state con-FREEDOM OF CONTRACT is a doctrine fronts a dilemma, since it is a commonplace inwhich came into constitutional law late in the an industrial society that liberty of contract be- nineteenth century. In its name courts are called gins where equality of bargaining power begins;upon to declare invalid statutes regulating the and it is just this equality of bargaining powerconduct of business and setting bounds to its that freedom of association seems alone able todomain. It is the judicial expression of the inde- secure. In any save the most newly settled areaspendence of the economic order from the over - the individual worker able to protect himself inlordship of the state. The phrase belongs to law; an industrial sense is a sheer illusion. its meaning is an importation from common In any case the answer to this, as to the othersense and from economic thought. questions, depends upon a political philosophy As the mediaeval order gave way before the in which wide variations of opinion exist. Menimpact of business and the machine process, an will reply to them in terms of the kind of societyunplanned industrialism came into existence. they effectively want; and their effective wantsApart from the maintenance of legal institutions, will in turn depend most largely upon the dis-such as property and contract, there was little tribution of economic power in any given soci- chance for the exercise of formal social control. ety. Freedom of association, in short, raisesThe opinion came to prevail that every man issues which go to the root of the modern state.could protect himself through his right of con- Its realization is the very essence of liberty intract, that the aggregate of terms of a multitude any society. Without it no other freedom canof bargains gave order to business activity and have very much content. With it the mainte-that industrial functions were best performed by nance over any lengthy period of a social orderbeing left to the interested parties. As business distinguished by inequality is a matter of gravecame to control industry, these popular notions difficulty. This only can be said with confidence,were elaborated into an intellectual defense of that liberty of association is most easily main-its autonomy. The philosophers laid alternative tained where men are agreed about the kind offoundations in natural rights and in utilitarian- society they want. But to agree means as a ruleism; the economists constructed the theory of a Freedom of Association-Freedom of Contract 451 self -regulating industrial order; and the politicalAs separate exemplifications of the efficiency of thinkers formulated the practical philosophy ofchecks and balances law, economics, politics and laissez faire. sociology were as one, and they were in accord So long as individualism was unquestioned,with the prevailing common sense. freedom of contract was a reality rather than The American constitution offered no more a judicial doctrine. Its formal expression de-than the raw materials. The best verbal bridge manded an occasion for its assertion, a personnel by which economic thought might pass into law of judges imbued with its spirit and legal cate-was contract; but liberty of contract is to be gories to serve as receptacles for its thought. Thefound neither on the parchment nor in the minds occasion came in the second half of the nine-of the framers of the document. The strategic teenth century- economic problems were dis-word appears only in the provision denying sanc- covered; exceptions were noted to laissez faire;tion to laws "impairing the obligations of con- and regulation began to be employed to puttract." In its stead liberty had to be made to industrial matters to rights. If business was notserve. The word had once meant no more than to lose its integrity, an appeal had to be takena privilege; an exemption of a town from the from the legislature to the judiciary; the higherking's law or the right of a feudal lord to levy law had to be invoked against statutes. To thattoll upon passing traffic was a liberty. But in end the economic theory of competition had tothe English and American revolutions conscien- be converted into a doctrine of constitutionaltious men had to appeal to a higher power to law. justify a revolt against authority, and liberty was The jurists of the eighties and nineties werefreed from petty associations and glorified into ready for the constructive task. They had for-an abstract right of man. There was appended mulated their social theories just as an agrarianto the constitution shortly after its adoption a was becoming an industrial society. Theyhadprovision that no person should be deprived of experienced individual bargaining, could attest"life, liberty, or property without due process the justice in letting each man look out for him-of law." A like injunction was imposed by the self and were conscious of how America hadnation upon the states at the end of the Civil prospered under its free institutions. They didWar; the state constitutions contain the same not easily distinguish liberty and property, forself- denying ordinance. A collocation of words liberty meant the opportunity to acquire prop-so evasive and compelling was an excellent ver- erty; they saw the emerging business communitybal receptacle for current sense and reason. in terms of a pioneer society which was passing.Moreover, the usages of the constitution meant The values of a frontier democracy were to themore than its clauses; it had been drawn up fore in their minds; to them one man was aswhen men believed in the order of nature; it good as another; a first principle of governmentrecognized inalienable rights which the govern- was "equal rights to all and specialprivileges to ment could neither deny nor abridge; it was none." Their own views were confirmed by theregarded as the highest law of the land; the Su- teachings of the classical economists and by thepreme Court had been accepted as its official individualistic social theory of Herbert Spencerinterpreter; and the people had been habituated and of a William Graham Sumner who had not to the declaration of the unconstitutionality of yet discovered the folk ways. They had begunlegislative acts. the reading of law with Blackstone's Commen- Although it embodies the supreme law of the taries, in which the individual is the hero andland the constitution is not insulated against the state the villain in the piece; sampled Coke'sprevailing common sense. Almost as early as the Second Institute, which was a by- product ofCivil War the state courts were asserting that revolt against authority; learned from Cooley theman wanted no sanction in law for a natural constitutional limitations upon government; andright to bargain. By the eighties they were de- shared Maine's discovery of the cultural signifi-claring statutes unconstitutional, even though cance of the replacement of status by contract.they were unable to specify the prohibiting At the time the study of social maladjustmentclause or to reduce their arguments to formal was just beginning; analyses did not exist todoctrine. The questionable acts took away nat- oppose fact to theory and to make clear in detailural rights; added adult males, able to take care and with evidence wherein the industrial systemof themselves, to the insane, lunatics and imbe- did not work. The process of mind, especiallyciles, who made up the common law category in judicial circles, was still the way of dialectic.of persons incompetent to contract; and con- 452 Encyclopaedia of the Social Sciences travened a law higher than that made by thewithin the intendment of the due process clause legislature. [Santa Clara County v. Southern Pacific Rail- It took time, skill and even accident for theroad Co., 118 U. S. 394]. In 1890 it held that United States Supreme Court to convert a group the opportunity to earn income is a right of of constitutional ideas into a judicial laissez faire. "property," with which regulatory measures The due process clause of the Fifth Amendmentmust come to terms [Chicago, Milwaukee and endured an interpretative obscurity of threeSt. Paul Railway Co. v. Minnesota, 134 U. S. quarters of a century. The purpose of the Four-418]. In 1897 it decided that "liberty" embraced teenth Amendment was at first understood by"the right of the citizen ... to live and work the public and declared by the court to be thewhere he will; to earn his livelihood by any protection of the rights of the newly enfran-lawful calling, and for that purpose to enter into chised blacks. Freedom of contract had to winall contracts which may be proper, necessary, its province; the field was in the possession ofand essential" [Allgeyer v. Louisiana, 165 U. S. "the police power," which might be used to578]. In 1908 it declared liberty of contract to promote "public health, safety, and morals" andbe a property right. The carry over of a philoso- even "the general welfare." The justices whophy from a pioneer to an industrial society is sat during the decades following the Civil Warevident in this proposition: "The right of a were not disposed to depart from traditionalperson to sell his labor upon such terms as he interpretation and were loath to override the will deems proper is, in its essence, the same as the of erstwhile sovereign states. The police power,right of the purchaser of labor to prescribe the with the help of the concepts of "public inter- conditions upon which he will accept such labor est" and "common carrier," was employed to...." Current reason had found legal expression give the regulation of public utilities a promisingwhen the court declared: "In all such particulars start [Munn v. Illinois, 94 U. S. 113 (1877)].the employer and the employé have equality of The police power was invoked to sanction the right, and any legislation that disturbs that equal- legislative grant of a monopoly in the slaughter-ity is an arbitrary interference with the liberty ing of livestock and again to sanction the legis-of contract which no government can legally lative revocation of the grant. In the first casejustify in a free land" [Adair v. United States, the argument that the grant of the monopoly208 U. S. 161]. The habitual use of such lan- denied to persons excluded "the right to a trade"guage imposed the legal label of "a deprivation and thus abridged "the privileges and immuni- of liberty" upon social legislation and extended ties" of national citizenship was rejected by aprotection against governmental interference majority of one [Slaughter House Cases, 16from the individual to the corporation. But Wallace 36 (1873)]. In the second case the mi-the justices who elevated freedom of contract nority shifted their base to the deprivation ofto the dignity of a constitutional doctrine em- liberty "without due process of law," argued not ployed the borrowed language of economics as that the repeal was valid but that the original .well as the native verbiage of the Bill of Rights. grant had been invalid, and concurred [Butchers'To them it was an instrument of general well Union Co. v. Crescent City Co., 111 U. S. 746being in a real, even if a vanishing, society. (1884)]. This opinion, often cited as if it had The constitution brought to freedom of con- been official utterance, holds the germ of futuretract a new intellectual foundation: law speaks law. But it was eighteen years after its adoptionwith authority; a principle laid down demands before the court invoked the Fourteenth Amend- to be followed. After 1908 it was not necessary ment to insure to a Chinese laundryman "thefor justices, in its support, to argue expediency equal protection of the laws" and his right to aor to expound economic theory; it was enough trade [Yick Wo v. Hopkins, 118 U. S. 356to state the rule and to cite case and report. In (1886)]. In this period the men who did most toits statement the practical ways of competition establish judicial veto were believers in the Dec-gave way to natural rights which demanded no laration of Independence and opponents of priv- apology. In "personal liberty" and in "private ilege. They sought to keep the door open toproperty," in fact "partaking of the nature of personal opportunity. each," was "the right to make contracts for the As another generation of jurists came to theacquisition of property." A disparity in bargain- bench liberty of contract was discovered in theing power was an irrelevance; for it was "from constitution. In 1886 the Supreme Court an-the nature of things" impossible to uphold the nounced that a corporation was a "person"rights without accepting as their "necessary" Freedom of Contract 453 corollary "inequalities in fortune" [Coppage v.such as the inspection of milk, the licensing of Kansas, 236 U. S.1 (1915)]. The "very purpose" physicians, the limitation of hours of labor and of the constitution was "to prevent experimen-the provision of work accident indemnity, have tation with the fundamental rights of the indi-generally been upheld. Judicial disapproval has vidual" [Truax v. Corrigan, 257 U. S. 312usually been visited upon statutes which fix (1921)]. The long catalogue of holdings through price. In the name of public morals traffic in which a judgment of invalidity was passed uponlottery tickets, alcoholic beverages and white a price fixing statute became"constitutionalslaves has been prohibited; an attempt to outlaw principles applied as they are written" [Tysonprivate employment agencies, as socially unnec- and Brother v. Banton, 273 U. S. 418 (1927)]. essary, has been blocked by "the right to follow A powerful group in society did not want publica distinctly useful calling in an upright way" interference with private business; a respectable [Adams v. Tanner, 244 U. S. 590 (1917)]. But a body of opinion distrusted the capacity of thecatalogue of instances makes hazardous even an legislature for intelligent control. Thus, as free-approximate generalization. The decisions in dom of contract shifted its ideological base, thefavor of freedom of contract have usually come collectivism called business passed into the prov- from a divided court attended by vigorous dis- ince reserved as the rights of the individual. sent. They serve as a very insecure basis for It is impossible to indicate the scope of theprediction. doctrine by a catalogue of holdings. Freedom of The focus of criticism has been the judicial contract and the police power together make upveto of statutes passed in the interests of con- a formula of constitutionality. Inits legal termssumers and laborers. Here the notion of a nat- justices must strike the best balance they canural equality of men receives its most dramatic between the social worth of laws and the incon-challenge from a society marked by great con- veniences they impose. Judges are unlike incentration of wealth and power. The large cor- vision, experience and habit of mind, in regardporation produces soap, gasoline or textiles; it for precedent and in response to current neces-uses instruments of precision in devisingthe sity. Their intellectual awareness ranges from anminimum standards of quality which vendibility insistence that "the Constitution is not intendedmakes necessary; it employs advertising and high to embody a particular economic theory" [Loch- pressure salesmanship to force its product upon ner v. New York, 198 U. S. 45 (19oá)] to an easyan indifferent public. The consumer's miteof reading of personal views into its lines. Wheretechnical knowledge is crowded within a com- values and interests clash over a period of years,pact trade name; only if his personality is cor- no clear cut line can be drawn.Although theporate can he match scientific test with scientific provisions in the state constitutions are wordedtest and share in the terms of the bargain; his almost alike, their local interpretations differneed is the exclusion of unworthy wares from materially. The Supreme Court has vacillatedthe market. Yet statutes fixing the weight of in its devotion to the doctrine. From 1900 toloaves of bread, prohibiting the use of shoddy 1916 social legislation had hard going; from 1916in manufacture and establishing standards of to 1922 the fortunes of law broke rather evenly; chemical composition for motor oils have been from 1922 to 1930 rights were dominant andoutlawed because of the buyer's ability to look more statutes were pronounced null andvoidout for himself. than in nearly half a century preceding; in 193o The same impact of vested idea upon novel a disposition to exalt freedom oflegislation be-fact appears in a series of decisions restricting came evident. The legal basis for theregulationthe use of the devices of trade unionism. Statutes of railroads and public utilities was laid beforeprohibiting employers from discharging employ- the concept of property came to have judicial ees because of membership in labororganizations life, but due process has been used to justifyhave been pronounced invalid; the employment judicial review of the acts of administrative com- of the secondary boycott in the unionization of missions. The antitrust acts, in which contracta shop has been forbidden; the officialsof a labor in restraint of trade is forbidden, are an expres- union have been enjoined from soliciting mem- sion of the same economic theory that went intobership among working men bound by contract the constitutional doctrine. The zone between to remain non -union. None of these judgments regulated monopoly and enforced competitioncame from a unanimous bench, and some state has presented the great battle ground. Measurescourts have refused to follow them. The labor- which manifestly promote health and safety,er's lack of a choice was held to have nothing to 454 Encyclopaedia of the Social Sciences do with the case; in the prevailing view, if a manof a legislative act has in the past been regarded accepts a bargain because he possesses a family,as final; but the same bench has permitted the must live and has no alternative, that is a matterreconsideration, in the light of "experience," of of fact and not of law. In this way the courtsstatutes upon the constitutionality of which the have closed the doors to a judicial -and legisla-court had already passed [Abie State Bank v. tive- recognition of economic duress. Bryan, 282 U. S. 765 (1931); Missouri Pacific It is primarily freedom of contract which hasRailroad Co. v. Norwood, 283 U. S. 249 (193 t)] given to the Supreme Court a place in the eco-The current commitment to factual inquiry and nomic order. As modern industrialism revealsrealistic test is none too secure; it has the sup- itself, there is an increasing resort to restrictiveport of a bare majority. But should it continue legislation. As the court separates valid fromto prevail, the due process clause could be in- invalid statutes, it fixes the limits of the indus-voked only against specific statutes proved to be trial province of government. Yet the Supremearbitrary. Then freedom of contract would be- Court is not an institution created for or adaptedcome a concept of the second magnitude or to the function of economic control. Its seat in disappear from the constitution. Washington is far removed from the many local- Yet, even if a change in the personnel should ities where people must attend rather differentlygive a new lease of life, the days of the doctrine to their social problems; its personnel is fitted seem numbered. A tribunal already overbusy neither by profession nor by experience for thewith judicial work must guard its jurisdiction. As dominant role in the government of industry.evidence of industrial maladjustment accumu- Its way of decision is too steeped in reference tolates and an attempt is made to make industrial a text, deduction and stare decisis to be suitedactivity serve social well being, all of our agen- to an experimental task. It has no mechanismcies of control are likely to be employed. Already for gathering information upon economic mal-the restriction of production, once an unholy adjustment and the operation of corrective meas-idea, has come to be thought of as essential to ures, and it lacks standards by which the relativeprosperity; and the reduction of cotton acreage merits of regulatory proposals may be tested. As and of output in oil are legislative matters. As a result judges are compelled to substitute aopportunism drives us uncertainly toward get- general tolerance of legislation or a personalting basic industries in order, the state seems preference for studied deliberation. In the ab-destined to have some sort of a role in national sence of a reform in procedure the Supremeplanning. The sheer volume of work will make Court cannot act as an intelligent umpire in theit almost impossible for the Supreme Court to continuing struggle between freedom of con-supervise the regulatory work of Congress and tract and the police power. the state legislatures; nor could the courts that A chapter of judicial history still in the makingare to be make much of the current doctrine. may resolve the difficulty. The court as recon-Its intellectual foundations are becoming in- stituted in 1930 has subordinated liberty of con- creasingly insecure. The way of the eighteenth tract and has rather consistently held socialcentury thought with its vocabulary of "liberty" legislation valid. It has even, reversing a line ofand "property," of "natural law" and "individ- recent decisions declaring price fixing uncon-ual right" no longer suffices for a statement of stitutional, held valid a statute regulating thethe problem of economic control. The problem commissions of insurance agents. In an opinionof "the state and industry" does not present a which leaves to the dissent the recitation ofchoice between "restraint" and "freedom"; gov- precedents the court announces a fitting proce-ernment and business are alike schemes of con- dure for the disposition of constitutional issues. trol whose compulsions we must obey and within No longer is "freedom of contract the rule"whose arrangements we may do as we will. So- against which a specific statute must be provedcial legislation is not an abridgment nor free a "proper exception" [Adkins v. Children's Hos-enterprise a realization of "industrial liberty "; pital, 261 U. S. 525 (1923)]; instead, the statute they are alike rules of the game of making a is to be presumed to be valid, and the presump- living, alike in being of human contrivance and tion is to be overcome only by a recitation of factsubject to improvement. There is no escape showing that the evil did not exist or that thefrom taking a chance upon the best control for legislative remedy was inappropriate [O'Gor-industry which we can devise. Freedom of con- man and Young v. Hartford Insurance Co., 282tract came into the constitution to serve the U. S. 251 (i93i)]. A judgment upon the validityprevailing common sense; the concept must be Freedom of Contract - Freedom of Speech and of the Press455 refilled with current stuff of the mind -or ceaseproselytizing Christians. The ascendancy of to be a part of the supreme law of the land. Christianity under Constantine brought the new WALTON H. HAMILTON religious heterodoxy under even severer penal- See: CONTRACT; PROPERTY; CONTRACT CLAUSE; DUE ties. The policy of proscribing the works of PROCESS OF LAW; POLICE POWER; JUDICIAL PROCESS; heterodox writers, begun by the Apostolic Con- JUDICIAL REVIEW; VESTEDINTERESTS;EQUALTTY; stitutions and pushed with vigor by the Council BARGAINING POWER; COLLECTIVE BARGAINING. of Niceae, culminated in the series of indices Consult: Freund, Ernst, The Police Power, Publiclibrorum prohibitorum that have issued from the Policy and Constitutional Rights (Chicago 1904); Cases papacy since 1559. The persecution of hetero- on Constitutional Law, ed. by D. O. McGovney (Indianapolis 193o); Keezer, D. M., and May, Stacy,doxy, a principle formulated by the high author- The Public Control of Business (New York 193o); Dicey, ity of St. Augustine, dominated Europe for A. V., Lectures on the Relation between Law and Publiccenturies and created an atmosphere impossible Opinion in England during the Nineteenth Century to the freedom of expression. The Reformation (2nd ed. London 1914); Pound, Roscoe, "Liberty of Contract" in Yale Law Journal, vol. xviii (1908 -09) shifted only the point and not the character of 454 -87; Frankfurter, Felix, "Hours ofLabor and control. Calvin, Luther and the new English Realism in Constitutional Law" in Harvard Law Re- church were equally intolerant of heterodox ex- view, vol. xxix (1915 -16) 353 -73; Powell, T. R., "Col- pression. lective Bargaining before the Supreme Court" in What is termed the rise of humanism rep- Political Science Quarterly, vol. xxxvi (1918) 396 -429, and "The Judiciality of Minimum -Wage Legislation" resents a period of appeal away from mere au- in Harvard Law Review, vol. xxxvii (1923 -24) 545 -73; thority. Contest between philosophic truth and Hamilton, Walton H., "Affectation with Public Inter- accepted faiths becomes inevitable and thus est" in Yale Law Journal, vol. xxxix (1929 -3o) 1089-brings the issue of freedom of speech to the 1112; Frankfurter, Felix, Brief for Defendants in Er- ror. Oregon Minimum Wage Cases (New York 1917); front. The effort to escape such an issue through Interborough Rapid Transit Company against William the doctrine of the double truth -one philosoph- Green, et al: Brief for Defendants (New York 1928). ical, the other religious -as evolved by Averroes of necessity failed. In Catholic Europe until the FREEDOM OF SPEECH AND OF THEeighteenth century the struggle for freedom of PRESS. Freedom of speech derives its meaningexpression assumes a religious rather than a from two sources. Through the centuries it be-political complexion, freethinking in philosophy speaks efforts to eliminate the varying restraintsand science being challenged and punished as placed by government upon utterance. Theunorthodoxy. In England the growing partici- changing restraints thus fashion a changing con- pation of a wider public in government makes cept. But also during the latter seventeenth cen-the issue, aside from the brief upheaval follow- tury-an age of rationalism and natural law -ing the establishment of the English church, freedom of speech assumes the character of an mainly a political one. ideal which, apart from particular restraints, is The idea of censorship is inapplicable to mere deemed of intrinsic merit to the progress ofexpression. Restraints upon freedom of mere civilized life. In its first aspect it is primarily aspeech must be achieved through punishment rallying cry of minorities eager for expression.in the event that the bounds of the allowable In its second it arrays itself as a philosophicliberty are passed. Censorship is applicable only truth to which history lends reality. Freedom ofwhen the necessity to use some means of com- the press is an aspect of the larger freedom ofmunication affords an opportunity for govern- speech, which since the invention of printing hasment to intervene between the formulation of an presented its own peculiar problems. idea and its expression. Restrictions upon free- The history of the struggle for free speechdom of expression are created by the offenses centers about the expression of ideas antago-of libel and slander, obscenity, blasphemy and nistic to the existing religious, political or eco-sedition. Their history is the latter day history nomic order. Greece presents an admixture ofof free speech. Together with censorship they encouragement and restraint. Socrates' plea forportray the struggle for the freedom of the press. the supremacy of the individual conscience and Restrictions upon printing begin with the de- the public value of free discussion may be con-vice of licensing and limiting the number of trasted with Plato's demand for regimentationprinters, printing being treated as a privilege of thought. The Augustan age of Rome, carelessto be pursued by grant from the crown. The of religious heterodoxy and social satire, wasbull of Alexander vi established censorship on shortly followed by widespread prosecutions ofa firm foundation in the Catholic world in i5o1. 456 Encyclopaedia of the Social Sciences It was the recognized policy of England underlaw of seditious libel, as expounded then by Elizabeth. The strictness of the law of libel andLord Mansfield, left only the issue of publica- sedition under the Tudor and Stuart monarchies, tion to the jury, reserving the right to the judge for a time severely enforced by the Star Cham- to resolve the question of the libelous character ber, stifled political criticism. It could voice itself of the publication. With judges mere tools of the only with difficulty through speech in Parlia- crown, bitter political criticism was easily per- ment and petitions addressed to the House forverted into a libel upon the crown, the ministers the redress of grievances. The punishment ofor the constitution. The Fox Libel Act of 1792 blasphemy by the ecclesiastical courts, commonaltered the law to permit the jury to find both law courts and the Star Chamber protected theissues, but its importance as a practical remedy tenets of the existing religion and tended towas for many years dulled by the deftness of suppress publications of a freethinking nature.prosecutors to select jurors of the requisite con- The Licensing Act of 1662 confirmed the prin- servative political complexion. The thirty years ciple of censoring the press. Its expiration infollowing the French Revolution are marked in 1695 is commonly regarded as the beginning ofEngland by ministries fearful of acceding to the the free press in England. But apart from endingpopular demands for political and economic re- the regime of censorship, years were to elapseform and resorting to the suppression of criti- before any significant latitude in the right ofcism by severe and numerous prosecutions. In- expression was acknowledged. dividual victories together with a change of min- The eighteenth century marks the real strug-istry brought about the end of this era by 1832. gle for freedom of expression. In England it isLord Campbell's Libel Act of 1843, which al- an era of large political moment, introducing alowed truth as a defense to criminal libel, gave party system of government with an awake andfurther scope to liberty of expression. With the vocal opposition. In France the era closes withabolition in 1855 of the "taxes on knowledge" revolution, and in America with the achieve-or stamp duties on reading matter together with ment of independence and the rise of a demandthe repeal in 1869 of laws controlling newspaper for liberty. Moreover, in the eighteenth centurypublishers and printers through a burdensome the newspaper begins to be an active agency inand expensive system of registration, publica- politics. Thus the century becomes an era oftion achieved release from onerous restrictions champions of freedom of speech and of theof long standing. Save for isolated acts of sup- press. Milton anticipates it, but Locke, Voltaire,pression, such as that of the Chartist agitation Rousseau, Wilkes, Paine, Camden, Erskine andin 1839, freedom from prosecution for political Jefferson are of it, while Cobbett, Carlile andcriticism, even though of a violent nature, has Mill carry on its issues. characterized English polity for the past cen- The publication of news was originally re- tury. The achievement of freedom of speech and garded as criminal at common law unless doneof the press, unlike other principles of English under the king's license. By 1700 this doctrineliberty, is hardly the product of legislative ac- had disappeared, but publications of parliamen- tion. Perhaps as much a part of the constitution tary debates were still punished as a contempt as any of them, its bases are individual victories of Parliament. Edward Cave's attempt to reportover government tyranny resulting in a convic- them in his Gentlemen's Magazine led in 1738tion of the inexpediency of setting political to his censure and his famous subterfuge ofbounds to the right of discussion. reporting their substance as debates in the em- In France the dissemination of literature was pire of Lilliput. The next few decades saw themcontrolled until the revolution by the licensing being reported in a more open manner as Par-. of printing and by strict censorship. Under such liament remained quiescent. Wilkes' bold attacka regime the works of freethinkers, such as Vol- in his North Briton (no. 45) in 1763 upon thetaire, Rousseau, Raynal and the encyclopédistes, Grenville government precipitated the issue ofwere banned. Freedom of expression was erected the extent to which government could be sub- into one of the natural rights by the Declaration jected to political criticism. The issue of freeof the Rights of Man and the constitution of speech thus raised provoked the eloquence of1791. It survived, however, only a scant two Burke and the savage satire of Junius. Similaryears, and the policy of suppression through prosecutions, the chief of which were those ofsevere penalties and censorship was continued the publishers of Junius' letters and of Paine anduntil 1828. Freedom of political expression in his publishers, kept the issue bitterly alive. Thethe daily press, however, begins to attain reality Freedom of Speech and of the Press 457 only after the establishment of the Third Re-occasions. The Alien and Sedition laws of 1798, public. Other European countries, following thefederalist measures engendered by fears of the outlines of the French methods, possess elab-spread of foreign revolutionary doctrine, pun- orate regulations dealing specifically with theished severely writings defamatory of the gov- press. The essence of control isthrough admin-ernment. The series of prosecutions although istrative regulation and the affixing of responsi-memorable was short lived. The laws expired bility on managing editors. The regulations al-with the Federalist party and indeed contributed though detailed and superficially formidable dolargely to its wreckage; the prisoners were par- not, in the opinion of foreign observers, appre-doned by Jefferson and reimbursed by Congress. ciably curtail the liberty of the press in normalThe World War was productive of a not dissimi- times. lar experiment. Pro -Germanism, the teachings The American colonies began with restric-of the Russian Revolution, a distrust of the pa- tions upon freedom of expression akin to thosetriotism and economic outlook of the foreigner of England. Puritanism in New England vig-and widespread industrial unrest fanned the orously disapproved and persecuted religiousprevalent wartime spirit of intolerance. It pro- heterodoxy. Religious toleration had a beginningduced the Espionage Act of 1917 and the Sedi- in Rhode Island and a precarious foothold undertion Act of 1918, almost equal in severity to the the Baltimores in Maryland. But as in EnglandAlien and Sedition laws, and with them a host the struggle for freedom of expression centeredof prosecutions for radical utterances. It revived finally upon political rather than religious issues. a policy of expelling members from legislative Until about 1720 the licensing of printing andbodies for the expression of ideas inimical to the censorship of the press were maintained. Themore conservative patriots. In the schoolsit first American newspaper, Publick Occurences,resulted in a mass of regulations governing sub- was promptly suppressed for want of alicenseject matter, the manner of instruction and the in 1690. Although the records reveal prosecu-professed beliefs of the teachers. It evolved the tions, the law of seditious libel had no such per-use of deportation as a means for ridding the vasive impact as in England. After 1763 thecountry of alien radicals. It tolerated state trials press in large measure supported thecolonistsin which the issue of radicalism tended to sub- in their contests with the crown. Attempts atmerge those of the guilt or innocence of the suppression promptly allied the cause of a freeaccused. In the middle and far west a series of press with the issue of independence.The idealssyndicalist statutes heavily punished the expres- of Milton and Locke found a ready receptionsion of ideas radically critical of the existing in the perturbed colonies, and the cause oforder. Against these restrictions resort was had Wilkes firm sympathy. Amid such stirrings the to the constitution and the courts for vindication early constitutional bills of rights setting forthof the freedom of expression, but with scant the freedom of speech and of the press were success. adopted. Beginning with Mason's Virginia Con- The World War and its aftermath of revolu- stitution of 1776 declarations of the right oftionary doctrine have markedly affected the freedom of expression found their way into otherprogress of freedom of speech. Countries there- state constitutions. The Massachusetts consti-tofore dedicated to principles of extensive free- tution of 1778 failed of adoption because of itsdom have witnessed a series of suppressive omission to include such a provision. Ratifica-measures reminiscent of earlier centuries. Eco- tion of the federal constitution was impliedlynomic heresy has been elevated to the rank of conditioned upon the addition of a like guaranty,revolutionary doctrine. The post -war dictator- confirmed by the First Amendment (1791). Theships in theory and practise jettisoned all prin- issue as to the import of this amendment,ciples of free speech. In Italy and Russia the whether it simply forbade censorship or guar-strictest political censorship prevails and no op- anteed a breadth of utterance akin to the ration-position press exists. Such results naturally alized ideals of Locke and Wilkes, became afollow the rejection of the democratic idea, and justiciable one during the excitement of thethe permanency of such a policy hinges upon World War. Judges have inclined to give it athe validity of that rejection. narrower sweep than the historicalevidence The doctrine of free speech bases itself upon would seem to imply. a conviction, fortified by experience,that "the Under the constitution the issues of freebest test of truth is the power of the thought to speech have been dramatically raised on twoget itself accepted in the competition of the 458 Encyclopaedia of the Social Sciences market." No person or group is deemed wiseand the United States present the anachronistic enough to be trusted to discriminate betweenspectacle of retaining upon their statute books valid and invalid ideas. It recognizes that sup-blasphemy acts long antedating the period of pression of itself either tends to impart a fac-religious liberty. In both, the statutes, although titious validity to the suppressed idea or that thenominally dead, have been employed in sporadic idea, if valid, will survive such persecution. Oninstances to make criminal the use of language the other hand, if opposition by speech is al-less blasphemous than critical of existing social lowed, it will be impotent if the speech is mereinstitutions. The circulation of obscene publi- fulmination; if the thought is valid it will effectcations is penalized by the criminal laws by the inevitable change in existing institutions by barring them from the mails and by forbidding the non -disruptive process of conversion. Butimportation. In some cities a virtual censorship that the public safety demands that certain lim-is exercised through threats of prosecution by its be set to the bounds of free speech is alsostates' attorneys, assisted by unofficial societies recognized, premised upon the fact that for thefor the suppression of vice. Again the issue of moment "eloquence may set fire to reason." Thethe standard of obscenity raises crucial prob- problem lies in framing these limits as ultimate lems. Many recognized classics have been or are safeguards because of the tendency of legislatorsstill under the ban of such regulations, as their and judges, especially in times of stress, to re-administration tends to fall into the hands of gard ideas of which they disapprove as danger-officials incompetent to discriminate between ous to the public welfare. In England the attemptliterature and salacity. to frame general limits was abandoned by the Extralegal controls over the publication of Campbell Committee in 184.3, when it reported news as well as opinion are again a natural out- that "the limits of authorized discussion on po-come of a press organized upon the same basis litical subjects are at present very undefined"as giant industry. Financial and political pres- but "from the mildness with which this branchsure not only colors current reporting but closes of the Criminal Law has been administered ... the avenue of expression to undesired ideas. The little practical inconvenience has been experi-World War's demonstration of the power of enced from the arbitrary doctrines of past ages,organized propaganda brought in its wake the though they have never been formally sus-use of similar mechanisms for the promotion of pended." In the United States constitutionalprivate ends. Such factors tend to transform the guaranties have necessitated the framing of lim-struggle for the freedom of the press into one its beyond which the suppression of speech mayfor its independence. not go. The First Amendment acts as a restraint J. M. LANDIS upon national power, and in 1925 it was estab- .See: CIVIL LIBERTIES; ASSEMBLY, RIGHT OF BILLS OF lished that the liberty protected from state inter- RIGHTS; DECLARATION OF THE RIGHTS OF MAN AND ference by the Fourteenth Amendment included THE CITIZEN; AGITATION; CENSORSHIP; INTOLERANCE; freedom of expression. The test developed al- DICTATORSHIP; BLASPHEMY; LIBEL; ANTIRADICALISM; SEDITION; ALIEN AND SEDITION ACTS; CONTEMPT OF lowed government to penalize the use of words COURT. intended to create a clear and present danger Consult: Schroeder, Theodore, Free Speech Bibliog- of the happening of certain substantive evils that raphy (New York 1922); Chafee, Zechariah, Freedom government may seek to prevent. As such theof Speech (New York 192o); Dicey, A. V., Introduction test is applicable both in peace and war, but warto the Study of the Law of the Constitution (8th ed. London 192o) p. 202 -79; May, T. E., and Holland, enhances the power by entitling government to Francis, The Constitutional History of England since regard as dangers matters beyond its ordinary the Accession of George the Third, ed. by F. Holland, 3 peacetime jurisdiction. The test is a shadowy vols. (London 1912) vol. ii, chs. ix -x; Paterson, James, one, in which proximity and degree allow indefi- The Liberty of the Press, Speech and Public Worship nite play for the emotions of varying judges. A (London 188o); Duniway, C. A., The Development of Freedom of the Press in Massachusetts, Harvard His- significant contribution in further defining itstorical Studies, vol. xii (Cambridge, Mass. 1906); nature was made separately in 1927 by JusticeWickwar, W. H., The Struggle for the Freedom of the Brandeis, who insisted that the incidence of the Press 1819 -1832 (London 1928); Dawson, Thomas, evil apprehended by the words used must be so The Law of the Press (London 1927); Hale, W. G., The imminent that it might befall before there isLaw of the Press (St. Paul 1923); Bury, J. B., A History of Freedom of Thought (London 1913); Freedom in the opportunity for full discussion. Modern World, ed. by H. M. Kallen (New York 1928); Speech offensive to religious and social moralsHaynes, E. S. P., The Decline of Liberty in England presents still another problem. Both England (London 1916) ch. v; Whipple, Leon, The Story of Freedom of Speech and of the Press - Freedom of theSeas 459 Civil Liberty in the United States (New York 1927); been acknowledged from time to time by navi- Selected Articles on Censorship of Speech and the Press, gators of various nations and by their govern- compiled by Lamar T. Beman (New York 193o);ments. At the end of the fifteenth century, how- Ryan, J. A., Declining Liberty and Other Papers (New York 1927); Collet, C. D., History of the Taxes onever, the claims began to be denied. Grotius' Knowledge, 2 vols. (London 1899); Bell, Clive, OnMare liberum of 1609 marks the culmination al- British Freedom (London 1923); Lippmann, Walter, though not the ultimate triumph of this denial; Liberty and the News (New York 1920); Great Britain, the last great assertion of the case for dominium Foreign Office, The Press Laws of Foreign Countries, ed. by Montague Shearman and O. T. Rayner (Lon-maris was made by the Englishman John Selden don 1926); Salmon, L. M., The Newspaper andin his magistral work Mare clausum (1635). Authority (New York 1923); Warren, Charles, "The On the other hand, the wartime phases of the New `Liberty' under the Fourteenth Amendment" inquestion had begun to grow in importance from Harvard Law Review, vol. xxxix (1925 -26) 431 -65;the fifteenth century onward, and by the begin- Hatin, L. E., Manuel théorique et pratique de la liberté de la presse, 2 vols. (Paris 1868); Potulicki, Michel, Le ning of the nineteenth century assertions of régime de la presse (Paris 1929); Buell, R. L., Con- neutral rights and of belligerent rights of visit temporary French Politics (New York 1920) ch. ix; and search, blockade, capture for carriage of Berner, A.F., Lehrbuch des deutschen Pressrechtscontraband, and unneutral service had taken the (Leipsic 5876); Zimmermann, Friedrich, Die Grund- place occupied two centuries before by the other begriffedes französisch -belgischen Press -Strafrechts, Strafrechtliche Abhandlungen, vol. lxxxi (Breslauaspect of the problem. In proportion as neutral 1907); Mannheim, H., Pressrecht, Enzyklopädie der rights were extended and respected a greater Rechts- und Staatswissenschaft, Abteilung Rechts- freedom at sea was provided; in proportion as wissenschaft, vol. xxii° (Berlin 1927), which contains abelligerent rights of blockade and capture for good bibliography of continental literature. American Judicial Decisions: Schenck v. U. S., 249 carriage of contraband were extended that free- U. S. 47 (1919); Abrams et al. v. U. S., 25o U. S. 616 dom was restricted -at least for the neutral. (1919); Gitlow v. People of New York, 268 U. S. 65zThese controversies continued until 1914 along (1925); Whitney v. California, 274 U. S. 357 (1927);with persistent discussion of modern versions of Stromberg y. People of the State of California, 283 U. S. 359 (1931); Near v. State of Minnesota, 283the problem of territorial waters -marginal belts, U. S. 697 (1931). gulfs and bays, straits and other questions. Dur- ing the World War the conflict between neutrals FREEDOM OF THE SEAS, as a term of inter-and belligerents became very acute and revived national law and politics,has accumulateddiscussion of the freedom of the seas. Since that through three thousand years of usage a rich andtime the question has been allowed to slumber varied content. It has come to refer, first, toexcept for some discussion of smuggling. navigation, fishing and indirectly to trade on the The national interests at stake in these various high seas and in coastal waters, if not on inter -questions are numerous. In earlier days govern- oceanic canals and international rivers, in timements and individuals and trading companies of peace; and, second, to similar activities on the desired opportunities for exploration, colonizing part of both neutral and belligerent vessels,activities and trade or desired to prevent such naval or mercantile, in time of war as well as toactivities on the part of rivals; monopolistic the conduct of naval hostilities themselves. Atschemes of colonial trade reenforced these de- different times different aspects of the question sires. Later the dominant naval power -such as appear to constitute the whole problem of theGreat Britain -came to demand recognition of freedom of the seas, but neither of the two mainits rights: at first to maritime dominion and, aspects of the problem may be regarded as en-later, apart from any claims to territorial juris- tirely settled. diction over the sea, against trade calculated to During antiquity various efforts were made byaid its enemies in time of war. Smaller naval piratical individuals and groups as well as bypowers, shipping nations and neutrals have Greek and Roman governments to close or open demanded freedom from such authority; the various portions of the Mediterranean basin;United States belongs traditionallytothis these activities were vigorously discussed in thegroup and went to war over the question with political life and the literature of the time. Dur-France in 1798, with Great Britain in 181z and ing the Middle Ages Venice, Genoa, Spain andwith Germany in 1917. Today these same inter- England put forward claims to territorial sov-ests impel the various nations to oppose or advo- ereignty over various portions of the Mediter-cate naval disarmament. ranean, the Atlantic Ocean and the narrow seas International law has registered the net results of northern Europe; such claims seem to haveof the conflicts and controversies just mentioned 46o Encyclopaedia of the Social Sciences with greater or less exactitude and clarity, de-whether she will make such demands depends pending upon the state of the science of the lawupon variousfactors.Franco- Italiannaval and also the state of the art of international gov-rivalry in the Mediterranean, on the other hand, ernment. Prior to 1500 no science of interna- is not so much a struggle for relative influence in tional law existed to register prevailing practisewriting maritime or prize law defining the free- and agreement upon the subject. In the nextdom of the sea as for sheer physical dominance three hundred years the students of internationalin terms of potential naval combat. No attempt practise (Gentilis, Grotius, Selden, Bynkershoekto rewrite the law of maritime war today could and others) succeeded in discovering and settingsucceed in view of the technological factors as forth the law to a certain extent, but interna-well as political factors such as the disarmed po- tional legislation and adjudication upon thesition of Germany and the pacifist opposition to question was still lacking. Beginning in r800any recognition of a "law of war." Any such at- the science of maritime law grew considerablytempt could be productive only of harmful and the law itself was developed not merely bycontroversy, although neglect or inability to practise but by international treaty agreementsrevise the prize law of 1914 will result in un- many in number and extensive in scope. limited confusion and controversy if war does With regard to the wartime aspect of the break out again among the maritime powers. problem the high water mark in international Finally, much depends upon the possible de- legislation was thought to have been reached in velopment and actual use of international gov- 1909 in the Declaration of London, which pur-ernment, particularly international sanctions. ported to complete and perfect certain Hague The peacetime aspect of the problem will per- conventions of 1907 and thus bring to a closesist, of course, as long as nations are nations. many previous controversies regarding belliger-And mere limitation or reduction of armaments ent and neutral rights -mostly to the benefit ofcan have no effect in regard to wartime freedom the neutrals. Unfortunately for this view theof the seas until reduction reaches a point ren- Declaration was never ratified and the Haguedering belligerent power over neutral shipping conventions also lacked support in some quar-negligible and inequalities among naval strengths ters. This situation, coupled with the appearanceunimportant, a point not likely to be reached of the submarine and the airship, new scientificvery soon. Elimination of war by renunciation and industrial processes and government control or any other method would remove one whole of industry and trade in belligerent countries,branch of the problem at a stroke, but if elimina- rendered the older rules of maritime war andtion of war is to be accomplished by a system of neutrality somewhat obsolete. The preexistingsanctions or if a system of international military law was rather freely disregarded during thesanctions is ever accepted and invoked for this World War and no effort has been made sinceor any other purpose, the whole problem is al- that time to redefine the rules. Indeed, thetered and reopened in new form. A League problem hasbeencarefully -and wisely - which closed the seas as a police measure would avoided by responsible statesmen on severaldestroy freedom at sea even though the sur- occasions. render of freedom was voluntary on the part of The future of the problem must be affected by the participating nations. The United States by several factors. A nation's freedom on the seasremaining out of the League and insisting -pro- and its share in the writing of sea law definingspectively-on its neutral rights has threatened that freedom depend upon its ability to matchto nullify any such League action; the British the naval power of rival nations or upon itsdominions and Great Britain herself, in part be- opportunity to share in the benefits of action by cause of the attitude of the United States but the international community intended to controlalso because of a reluctance to serve as police- the dominant naval powers and write a just lawman of the Europe of 1919, have taken a similar of the sea. It is the former alternative which inposition. If, on the other hand, the United States large part lies back of the rivalry in naval ar-abandons the neutral position in order to help maments which led to the conferences in Wash-maintain peace under the Briand- Kellogg Peace ington in 1921 -22, Geneva in 1927 and London Pact she must thereby voluntarily surrender her in 193o. The rise of the United States to a posi- cherished freedom of the seas. How much mari- tion of naval parity with Great Britain enablestime freedom any one nation will be able to her to demand maritime rights which in the pastenjoy in the future is thus likely to depend not she could never be sure of obtaining, althoughmerely as heretofore on its own power but Freedom of the Seas-Freehold 461 largely upon its relation to the League and tocourts, in the thirteenth this supervisory control organized sanctions of international peace andwas assumed by the king's courts through the order -in other words, upon the establishmentdevelopment of the assize of utrum. Two statutes and working of international government. In theof the period, of Mortmain (1279) and Quia absence of such developments freedom at seaemptores (129o), diminished the importance of for most nations will depend as always on thefrankalmoign and brought about its obsoles- moderation of the great naval powers in writingcence, the former by prohibiting all sales or gifts and enforcing the maritime law of peace and warof land to religious houses without the king's or in exercising their power at sea without law.license and the latter by preventing subinfeuda- PITMAN B. POTTER tion and by providing that in grants in fee simple See: MARITIME LAW; INTERNATIONAL LAW; NEU- the religious house should hold of the lord para- TRALITY; BLOCKADE; CONTRABAND OF WAR; SEARCHES mount by fealty. AND SEIZURES; SMUGGLING; DECLARATION OF LONDON; Military tenure or knight service was intro- LIMITATION OF ARMAMENTS. duced into England by the Norman kings, who Consult: Potter, Pitman B., The Freedom of the Seas in enfeoffed their followers with sizable tracts of History, Law and Politics (New York 1924), for discus- land and obliged them to perform in return a sion prior to1924 and extensive bibliographies;certain amount of military service. According to Garner, J. W., Prize Law during the World War (New Round the unit of the feudal host was the Nor- York 1927); Jessup, Philip C., The Law of Territorial Waters and Maritime Jurisdiction (New York 1927); man constabularia of ten knights, and the num- Masterson, William E., Jurisdiction in Marginal Seas ber of knights due under military tenure was (New York 1929); League of Nations, Preparatory generally some multiple of this figure. The mini- Committee for the Codification Conference, Con- mum unit for military purposes was known as ference for the Codification of International Law, Bases of Discussion ... Territorial Waters, C. 74. M. 39, the knight's fee; while varying greatly in size it 1929, V. 2 (Geneva 1929); Kenworthy, J. M., andwas normally about four hides, or 48o acres. Young, G., The Freedom of the Seas (London 1929).Under active military feudalism knight service was the typical feudal holding; but the Angevin FREEHOLD when used originally in Englishrulers preferred a paid army as more effective law designated an interest in land held by a free-in coping with baronial disorder and encouraged man by a free tenure; in more modern times itthe commutation of military services for a money has signified an interest in land for an indefinitepayment, which came to be known as scutage. period of time. The distinction between free andCommutation, which soon became a fixture, per- unfree tenure is historical rather than logical, themeated the entire military hierarchy, extending former comprising non -servile estates which into the services due from the subvassals. When quantity were neither tenancies at will nor forin the fourteenth century Parliament assumed terms of years. In England by the thirteenthcontrol over scutage, military tenure was no century the distinction became hard and fast.longer a source of either soldiers or pay but was The real actions of the king's courts for the pro-distinguished merely in the revenue provided in tection of seisin were given only to those whosuch feudal incidents as wardship and marriage. were seised of a free tenement. Between free andScutage and the incidents of knight service were unfree tenures it was often necessary to draw aformally abolished by statute in 166o, when fine and somewhat arbitrary line. military tenure was converted into free and In Bracton's day the free tenures were of fourcommon socage. types: frankalmoign, military service, serjeanty Serjeanty was the type of freehold tenure and free socage. Frankalmoign was an exception-requiring personal services. Serjeanty indeed ally privileged tenure by which religious personsmeant service. The services might range from or bodies held land but without any obligationthe duties of the royal household, positions of of fealty. Such services as may have been duegreat dignity, to obligations to perform military were religious in character, enforceable by spirit- services or to furnish military supplies. A tenure ual censures. Since one of the characteristics ofheld directly from the king for personal service this tenure came to be the absence of any obli-was called a grand serjeanty. Any other was a gation to perform secular services, it has beenpetit serjeanty. The serjeanties performed by looked upon as the type of freehold tenure mostthe nobility came to be considered similar to closely approximating free ownership. While in tenure by knight service and the smaller military the twelfth century jurisdiction over frankal-serjeanties virtually socage tenure. When in the moign land had belonged to the ecclesiasticalfourteenth century the practise developed of 462 Encyclopaedia of the Social Sciences substituting contracts with hired services for thevillenage from their neighbors holding in fee tenancy by serjeanty, the employment of thiswas often a very shadowy one. Where the labor tenure to secure the performance of a great massservices were uncertain or where such services of small official duties gradually declined in pop- were exacted as the merchet -the payment for ularity. Serjeanty, however, has not succumbedleave to give one's daughter in marriage or to entirely; in England it has sturdily survived thesend one's son to school -the court would hold sweeping land reforms not only of 166o but alsothat villein tenure was indicated and would deny of 1922. the legal remedies available in free socage. The Socage was the great residuary tenure for allsocial distinction was even more subtle than the freeholds which were not held in frankalmoign, legal, for both the freeholders of moderate estate by knight service or by serjeanty. The termand the substantial customary tenants have gen- evolved from an expression used in Anglo-erally been placed in the same category of yeo- Saxon charters to concede jurisdictional rights. men with common social and economic interests. In the eleventh century socage was the tenure At common law freehold tenures descended of the socman, or the peasant proprietor, butaccording to the rule of primogeniture. This and with time came to be less and less identified withother customs intrenched in feudalism were not, a distinct social class. The relationship of ten-however, universally applicable to free and com- ure and status was a source of much confusion mon socage. In commercial regions such as Kent, in the Middle Ages. While status was definedwhere manorial husbandry apparently did not earlier, it did not determine tenure and grad- make important inroads and where money pay- ually lost much of its significance as tenurialments were generally preferred to feudal dues, relations developed. The freemen of Domesday certain customs antedating the common law sur- are not necessarily freeholders; for although onlyvived until modern times. These are grouped a freeman could hold in free tenure, servile lands under the general term gavelkind, associated with were frequently held by freemen. Just as withthe old English word gafol, signifying rent or a the advance of the Middle Ages the tenants incustomary performance of agricultural services. military tenure were no longer knights in prac-Among the most notable of these customs was tise, so those holding in socage were not neces- the one providing that land descended equally sarily to be considered humble socmen butto all the sons. There was no villenage in Kent, might come from a much higher social and eco- nor did land escheat for felony. The New Eng- nomic station. land colonists in deference to these customs and As opposed to spiritual, military and servien-in the belief that their charters introduced the tial tenure socage was essentially economic andspecial socage tenure of Kent transplanted it to specifically agrarian. The services due were in-America but reserved a double portion of the definite: in some cases they were merely nomi- succession to the eldest son out of respect for nal-a pound of pepper or a rose annually; inthe Old Testament precedent. Other customary others a substantial rent might be fixed. Inrules different from the common law grew up in addition, the charter might provide that certainmany of the boroughs. While partible descent labor services be performed on the lord's land,was the rule, in some there existed the custom and to fulfil the obligation the tenant frequentlyknown as borough English, providing descent employed subvassals. In the fourteenth and fif-to the youngest son, probably on the ground teenth centuries it became customary for thethat he was least able to care for himself. Both fixed manorial dues in kind to be commuted into gavelkind and borough English have been abol- money payments. The more indefinite obliga-ished by modern statutes. Burgage tenure has tions of free socage gradually disappeared and the often been described as but a form of socage modern economic rent paying freehold evolved.tenure in the towns; but the former possessed Socage tenure owed its increasing popularity tofar greater mobility and was distinguished by a the desire of military tenants to rid themselvesfreedom of devise. of such oppressive mediaeval incidents of their The incidents of the free tenures were feudal holdings as military services and scutage and thein origin. The tenant became his lord's man by even more persistent incidents of wardship anddoing homage and swearing fealty in a solemn marriage. Least encumbered by troublesomeceremony. Homage implied a reciprocal obliga- feudal obligations, socage gradually supersededtion; and with the breakdown of feudal jurisdic- other forms of freehold tenure. tion it spread to all the free tenures in the The line separating the manorial tenants inmodern guise of the covenant of warranty. The Freehold 463 relief, or the sum paid by the heir to the lord forhas been modified and simplicity substituted for permission to succeed to his ancestor's property,complexity. Practically all tenure is now socage gradually extended from knight service to all tenure. Knight service was converted into socage freehold tenures, and the amounts due were soonby the Statute of Tenures in r66o (12 Chas. ii, fixed. Of great pecuniary value both to the kingc. 24) and the remains of copyhold, originally and the barons were the incidents of wardshipthe tenure of the unfree tenants, was similarly and marriage which attached to knight servicetreated under the Law of Property Act of 1922 and grand serjeanty. The sons and heirs of the(rz and 13 Geo. v, c. 16). In England today the military tenants together with their estates wereonly survivors of this assimilative process are in the custody of the lord until majority. Thefrankalmoign and the services attached to grand lord also possessed the power of disposing of theand petit serjeanty. female ward in marriage, of collecting a fine for In England in the later Middle Ages the free- an unlicensed espousal and of assessing a pen-holders constituted an influential social and po- alty where the ward declined the match proposedlitical group. In Domesday they comprised a by the lord. With the gradual obsolescence ofvery small percentage of the total population and subvassalage as a result of the operation of the less than 3o percent of the landed tenantry, and statute Quia emptores, wardship and marriageit is this minority whose rights and privileges tended to become exclusively royal rights andwere safeguarded in Magna Carta. According to were abolished in 166o. In addition, a lord hadthe estimates of Tawney the freeholders of the the right to call upon his tenant to help in certainsixteenth century comprised about one fifth of emergencies, specifically defined in Magna Cartathe landholding population, the customary ten- as the ransoming of the lord's person, the knight-ants nearly two thirds and the leaseholders be- ing of his eldest son and the marriage of histween one eighth and one ninth. While the eldest daughter. These "aids" were likewisesubstitution of large pastoral estates for small abolished in 166o. Furthermore, the tenant wasagricultural farms rapidly undermined the eco- bound to appear as an assessor in the lord'snomic position of the customary tenant in this feudal court of justice. Since all feudal land is period of enclosures, the freeholder's well -being conceived to be held of some suzerain, if thewas increasing. The vast majority of landholders tenant of a fee simple estate died without heirswere socage tenants whose payments were fixed. or committed a felony his land escheated, orWith the fall in the value of money this fixed reverted, to the landlord. Finally, as an incidentrent yielded a small income to the manorial lord, of feudal tenure various restrictions were im-and in many cases the payments disappeared posed upon alienation in the form of fines. Priorentirely by the end of the century. At the same to 1 290 a vassal could alienate his land either bytime the rise in prices increased the freeholder's subinfeudation or substitution. As a result of the income. For two centuries longer the freeholders statute Quia emptores the latter method alonewithstood rack rent and eviction, to which lease- was legalized. Shortly thereafter it was settledholders and copyholders were subject. In this that the lord could not charge a fine upon aliena-period the only way to eliminate them was to tion in an attempt to evade the statute. Thebuy them out, an unusual procedure. The eight- result was free alienation by substitution, buteenth century marked the beginning of the end. the depreciation of the incidents of escheat,The enclosures of this period pitiably thinned wardship and marriage was halted. With thetheir ranks and drove them from the villages or rapid disappearance of military service and thecompelled them to stay as laborers on the verge change in the money rates which brought aboutof poverty. In modern times the tenant farmer a decline in the value of rents due from socageand the agricultural laborer have largely sup- tenants, the burdens imposed by such of theseplanted the freeholder in the agricultural life of freehold incidents as were not abolished becameEngland. appreciably lighter. Suit and service in the feu- The mediaeval common law was careful to dal courts disappeared when the judicial func-restrict its rights and privileges to the liber homo, tions of these bodies fell into desuetude. Withor freeholder. This distinction between free- the enlarged power of testamentary dispositionholder and villein was clearly brought out in escheat for lack of heirs has become a rare occur-Magna Carta, which excluded the latter from rence, while escheat for felony is no longer en-most of its broad benefits. At times liber homo forced by law. was used to signify a landowner with a manorial As a result of modern legislation the freeholdcourt-in other words, a large feudal tenant. 464 Encyclopaedia of the Social Sciences Only gradually did the servile tenants come tofeudal, estates. In New York, for example, es- share with the freeholders a substantial portiontates of inheritance and for life are still termed of their rights at private law. In mediaeval Eng-estates of freehold, and the former are regarded land property qualifications determined attend-as fees simple. Today the holding of such an ance at the county court and service on juries,estate is marked by the absence of all feudal although many villeins were likewise obliged toincidents with the exception of escheat to the serve in leet, tourn and hundred court and tosovereign, and the owner has the fullest powers act as jurors. It seems likely that in the first two of legal disposition over his land. centuries of parliamentary representation the In America a great impetus to the creation of knights of the shire were elected by the freemena large freeholding class was the opening of the of the respective counties. With the decline ofpublic domain to settlers at the beginning of the the business of the county court attendance wasfederal era. As a result of the land acts of 180o not generally representative and frequently elec- to 1820 the economy of the west rested mainly tions fell into the hands of the sheriff and a small upon a system of freehold farms. This process clique. In 1430 an act (8 Hen. vi, c. 7) was passedwas greatly facilitated by three great enactments which determined the county franchise for fourduring the Civil War: the Homestead Act, the hundred years, limiting its exercise to residentsMorrill Land Grant Act and the Union and possessing a freehold worth forty shillings aCentral Pacific grant, as a result of which small year, this being also the qualification of a juror. freeholders secured a great portion of the new This act does not seem to have effected a socialtillable lands. revolution or to have altered the character of The purely arbitrary English suffrage qualifi- representation in the mediaeval Parliament. Incation was extended to the American colonies, the course of time the qualification was extendedwhere it underwent minor modification. By the to include annuities, rent charges and leases foreighteenth century the property qualification life in addition to realty. The decline in thewas universal in the colonies. A minimum free- value of the shilling was counterbalanced in parthold estate of forty shillings obtained in New by the shrinkage in the number of freeholdersEngland and much higher requirements in nu- in the eighteenth century. As a consequencemerous other colonies, where the freehold was Parliament down to the nineteenth century was often expressed in acreage rather than in value controlled by the substantial landed interests,or income. At the close of the colonial period and the freeholders, being brought into working six colonies had alternatives to the real estate alliance with the gentry, represented a political qualification in the form of holdings of person- interest which was frequently at cross purposesalty or the payment of taxes. With the growth with the common economic interests of free-of the commercial interests in England and holder and villein. The freehold was not theAmerica sentiment rapidly favored the substi- exclusive test for the suffrage franchise in bor-tution of a general property qualification for the oughs and corporations, where the suffragerealty requirement. Although the liberalization might extend to householders, to a restrictedof the suffrage took place first in the United group of landowners or to pot- wallopers -per-States, general property or tax paying qualifica- sons furnishing their own diet. tions still exist in several states. The substitution Tenure in free and common socage was gen-of a general property qualification in place of erally established in the English colonies inthe freehold was not effected in England until America by the colonial charters. In some colo-the Reform Bill of 1832, according to which the nies, such as New York and Maryland, whereholdings of copyhold land or leasehold of a manorial systems existed, this tenure appearedstated yearly value were made additional quali- in somewhat more feudalized form than in New fications, and the stated values were substantially England. Feudal services were generally limited reduced in the suffrage acts of 1867 and 1884. to the reservation of a specific quit rent; but Twentieth century reforms have swept away the during and after the War of Independence most last property qualifications in England. feudal incidents, including quit rents, were abol- RICHARD B. MORRIS ished by statute and a fee simple was vested in See: LAND TENURE; MANORIAL SYSTEM; FEUDALISM; the freehold tenant. Feudal incidents were not AIDS ESCHEAT; ALIENATION OF PROPERTY; INHERI- extended to the states of the Northwest Terri- TANCE; PRIMOGENITURE; ENCLOSURES; HOMESTEAD; tory. Where socage tenure does exist it partakes SUFFRAGE. of the essential qualities of alodial, or non- Consult: Round, J. H., Feudal England (London 1895); Freehold-Freethinkers 465 Maitland, F. W., Domesday Book and Beyond (Cam- ture and but slight concern with the industrial, bridge, Eng. 1897); Vinogradoff, Paul, The Growth ofsocial and religious activities of the past. He the Manor (3rd ed. London 1920), and English Society cared little for the times subsequent to the in the Eleventh Century (Oxford 5908); Pollock, F., The Land Laws (3rd ed. London 1896); Tawney, eleventh century nor did his "unity" compre- R. H., The Agrarian Problem in the Sixteenth Century hend other than southern and western European (London 1912); Pollock, F., and Maitland, F. W.,development. The History of English Law before the Time of Ed- Possibly his greatest contribution to modern ward 1,2 vols. (2nd ed. Cambridge, Eng.1899); historical method in England was a constant Holdsworth, W. S., A History of English Law, 9 vols. (3rd ed. London 1922 -26) vol. iii, and An Historical emphasis of the study of sources. Yet here again Introduction to the Land Law (Oxford 1927); Hem - he seemed to fall short of his ideal, since he meon, M. de W., Burgage Tenure in MediaevalEng- was ignorant of palaeography and refused to land, Harvard Historical Studies, vol. xx (Cambridge, work with anything but printed sources. His Mass. 1914); Anson, W. R., The Law and Custom of the Constitution, ed. by M. L. Gwyer (5th ed. Oxford slavery to exactitude was so unremitting that 1922); Stubbs, W., Constitutional History of England, within the range of his political interests he 3 vols. (5th ed. Oxford 1891 -98) vol.iii,ch. xxi; was remarkably accurate, although tending to McKinley, A. E., The Suffrage Franchise in the Thir- be prolix in his transcription of chronicles. teen English Colonies in America (Philadelphia 1905); Stimson, F. J., The Law of the Federal and State Freeman's account of the Norman invasion has Constitutions of the United States (Boston 1908). been much criticized; on account of his partiality for things Teutonic he found the conquest to FREEMAN, EDWARD AUGUSTUS (1823-be but a foreign infusion that was speedily 92), English historian. After receiving his uni-absorbed. To Freeman the great hero of elev- versity degree at Oxford Freeman spent theenth century England was Harold, not William. remainder of a long life in the study of politicalThe very bulk of his writings, the thoroughness history, topography and architecture. In addi-and honesty of his craftsmanship and the widen- tion, he was a voluminous contributor to peri-ing horizon that he opened to historical students odicals, especially the Saturday Review and theaccount for his conspicuous place among the Fortnightly Review. The greatest of his historical historians of his day. works is a History of the Norman Conquest HOWARD ROBINSON (6 vols., Oxford 1867 -79; vols.i -ii, rev. ed. Consult: Stephens, W. R. W., The Life and Letters 187o). This monumental achievement supple-of Edward A. Freeman, z vols. (London 1895), with mented by two additional volumes on The Reign a full list of Freeman's works; Bryce, J. B., Studies in Contemporary Biography (London 1903) p. 262-- of William Rufus (Oxford 1882) gave him a 92; Harrison, Frederic, "The Historical Method of secure place among English historians andProfessor Freeman" in Nineteenth Century, vol. xliv largely led to his appointment in 1884 as regius (1898) 791 -806; Gooch, G. P., History and Historians professor of modern history at Oxford. The last in the Nineteenth Century (2nd ed. New York 1913) years of his life were spent on an incompleted p. 346-52. History of Sicily (4 vols., Oxford 1891 -94). The central point of Freeman's conception FREEMASONS. See MASONRY. was the "unity of history." He deplored the effect of the revival of learning in so far as itFREETHINKERS. Free or autonomous thought made classical times the object of an almostis the contrary of thought, research, science and exclusive idolatry. He urged that all distinctionsphilosophy fettered by the dogmas and princi- of ancient and modern be thrown away: "Euro-ples of religion. Free thought recognizes no re- pean history from its first glimmerings to ourstriction but that imposed upon its progress by own day is one unbroken drama." To Freemanthe rules of logic, scientific methodology and the great unifying element inhistory wasepistemology. Rome, "the true Eternal City." This accounts The term freethinkers, translated franc pen - for his deep interest in Sicily, the "ecumenicalsants by Voltaire, was first used in England in island," where diverse civilizations had met andthe eighteenth century and was applied to those struggled. trusting to the guidance of their own intelligence Freeman's conception of the unity of historyin all moral and religious questions and rejecting was largely confined to its political aspect, asall belief in external revelation, inspired Scrip- expressed in his well known dictum, "Historytures and the supernatural authority of the is past politics, and politics is present history."church. It was used in 1711 by Lord Shaftes- He had little interest in any art save architec-bury, who calls the freethinker "the noblest of Freethinkers 467 ing in this way the political hetaireiai of Athens,and the Platonic utopianism of the best possible the philosophic order of the Pythagoreans andstate were popularized to such an extent. "Trib- the symposia of the Platonic Academy. It isunes" of the people in classic costume taught hardly an exaggeration to say with Cochin that the yokels the constitutional rights which they a direct line of evolution leads from the enlight-were to claim in the ideal state, and country ened drawing rooms in which Voltaire shoneparsons began to officiate as "chief pontiffs of over the Academy of Moral and Political Sci-the Temple de la Patrie" trying to transform ences of Condorcet to the terrorist clubs of thetheir traditionalist easy going Catholicism into Jacobins. the rhetorico- philosophical deist "Cult of the Except for the humanistic academies of theSupreme Being." Italian Renaissance and their various imitations The leading Thermidorians and the leaders in Germany and other countries and such bodiesin the Directory, the Consulate and the empire as the English Royal Society, the world had notwere freethinkers almost to a man; every regi- known until the eighteenth century any societiesment of Napoleon's army had its Masonic lodge; organized for collective thinking and discussion.the most famous generals, such as Lafayette, There had been religious sects, guilds of mer-Hoche, Kleber, Joubert and Kellermann, were chants and artisans, colleges of doctors and par- active Freemasons. The emperor himself was a liaments of lawyers; but there had never been,partisan of Volney's and of Charles Dupuis' as- in spite of many projects and abortive organiza-tromythical explanation of the Gospels and was tions of people like Comenius, Andreae andhighly astonished to hear that Herder, Wieland Jung, anything like societies, let alone a wholeand Goethe still believed in the historicity of network of societies, for the avowed purpose ofJesus. The conclusion of the concordat between collective thinking and talking. It is the centurythe pope and Napoleon, strenuously opposed of Enlightenment and the classicist intellectualand bitterly ridiculed by many commanders of movement, called by its enemies the heresy ofNapoleon 's army, was a move inspired by the philosophism, which started the beginnings ofpurely political motive to further everything that that vast movement. Throughout the country inwould renew the respect for authority and thus each rural market place and town there wereconsolidate the new regime. Even the restored organized cabinets de lecture (public readingBourbon monarchy with all its official show of rooms), in which people met in order to talk, piety and its consistent clericalism did not change to read the various papers or occasionally athe mentality of France as profoundly as is gen- booklet about the new philosophic, political anderally believed. Charles x was a thoroughgoing economic ideas of incipient liberalism. EvenVoltairian skeptic; Joseph de Maistre, the father more significant were the numerous local acad- of the new reactionary "traditionalism," who emies and more or less secret debating clubspretended to derive all human knowledge from (sociétés populaires or sociétés patriotiques), which a primitive divine revelation, had been a very ac- provided a public for the rhetorician of the daytive Freemason before the revolution; Chateau - even as the reading rooms provided a public forbriand's correspondence shows the profound the philosophic writers. These freethinking so-melancholy skepticism of the author of the cele- cieties between 175o and 178o had a deep andbrated Génie du christianisme, who had been a lasting influence on the spirit of the French professed materialist in his early youth. countryside and market town. The superficial In spite of this persistent undercurrent of apothecary's and medical practitioner's mate-rationalist eighteenth century thought it cannot rialism, which Flaubert has so vividly portrayed be denied that the monarchic restoration in in the celebrated character of Homais in Ma- France and the growth of romanticism there and dame Bovary, and the radical anticlericalism ofin Germany carried in their wake a revival of the modern French provincial middle class and religious feeling, a marked advance of Cathol- peasantry were created by these sociétés de pen - icism, a renewed worship of authority and tradi- sée, which had no counterpart anywhere intion, a deeper understanding of the irrational Europe. There has been no other epoch in which side of the human mind and its important role pagan Greek philosophy, Socratic, cynic andin the growth of all human institutions. The stoic rationalist ethics, the religion of Socrates,idealization of the prerevolutionary past favored Cicero and Marcus Aurelius together with theby the Restoration, the high tide of national classic ideals of the direct, rhetorical democracyfeeling aroused through the reaction against of the Athenian agora and the Roman forumNapoleonic universalist imperialism, favored the 468 Encyclopaedia of the Social Sciences remarkable development of historical researchproves the existence of a clock maker. That this which distinguished the nineteenth century fromargument completely vanished from the arsenal the rationalist age of d'Alembert, the mathe-of nineteenth century metaphysics was due to matician and philosopher who was so devoid ofnothing so much as to the growth of evolution- historical sense that he would have gladly con- ism. More than Darwin's own works the general signed to oblivion the whole memory of thereader was influenced by the writings of Ernst irrational past of humanity. Yet this develop-Haeckel in Germany and T. H. Huxley in Great ment of the historic sense not only restored theBritain. Danvin had always been extremely re- respect for tradition and authority but also fos-luctant to discuss the consequences which his tered movements which gave in due time a newtheories might have for other people's religious and most powerful incentive to free thought. convictions. While he and Huxley would not go Historical research could not progress withoutbeyond what the latter called, in his frequent historical criticism, and the critical methods de-controversies with Darwin's and his own theo- veloped through a closer study of profane docu-logical adversaries, agnosticism (i.e. a wisely ex- ments could not fail to be increasingly appliedpectant attitude in all metaphysical questions), to the analysis of the sources of Biblical history.the German followers of Darwin inclined to The belief in divinely inspired Scriptures em-a much more dogmatic materialism. With the bodying traditions based on divine revelationscombative Ludwig Feuerbach (1804 -72) the ex- concerning the origins of the world and of man-treme left wing of Hegelians had given up kind was shattered not only through historicalidealism as but another form of theology. In his criticism but also through the progress of ori-Das Wesen des Christenthums (Leipsic 1841) ental philology, which gradually unveiled theFeuerbach developed the idea that uncultured documents of other religions of a very differentman cannot conceive of the universal reason of character yet equally claiming divine inspiration. the human race otherwise than under the an- Anquetil- Duperron had made accessible to thethropomorphic form of a personal god. Man learned world the books of the Zend- Avesta;personifies and separates from himself the ele-. Jones and Colebrooke initiated the West into thement in his own nature which gives him moral studies of Sanskrit and the Vedas; Champollionlaws and projects it into reality as something had deciphered the Egyptian hieroglyphs; Gro-opposing his own will. Feuerbach showed the tefend and Rawlinson disclosed the secret of theevolution of the idea of God, created by man cuneiform script. After having for many cen-in his own image, and denied energetically the turies dominated the various sciences as so manybelief in an immortality of the soul. The popular handmaidens religion (and its pseudo- scientificvogue of crude materialism had begun in Ger- rationalization called theology) became in the many in 1854 when a lecture Menschenschöpfung nineteenth century more and more an object of and Seelensubstanz (Göttingen 1854) by the phys- scientific study and analysis: psychology helpediologist Rudolph Wagner of Göttingen, directed to explain its roots in the mind of the individual;against the zoologist Karl Vogt's Köhlerglaube anthropology and sociology contributed to aand Wissenschaft (Göttingen 1854), caused great better understanding of its collective aspect;excitement far beyond academic circles. A year comparative mythology starting with Fontenellelater appeared Ludwig Büchner's Kraft and in the seventeenth century developed rapidly inStoff (Frankfort 1855) denying the possibility of the nineteenth and was popularized to the extentcreation because of the laws of the conservation that Jefferson could dare to compare the dogmaof matter and energy. It was soon translated into of the Immaculate Conception to the myth ofmany languages, republished in Reclam's li- Minerva springing full grown and armed out ofbrary, sold in millions of copies and was thus the head of Jupiter. raised to the dignity of a materialistic bible for But the greatest change in the attitude of manthe half- educated dabblers in applied science toward the traditional doctrine of a supernaturalwho had outgrown the tutorship of the church (i.e. magic) origin of the world and of life in itand its theology but were too lazy and obtuse to was worked through the gradual supplanting ofsubmit their minds to the discipline of epistemo- the belief in creation by the hypothesis of evo-logical studies. Jakob Moleschott's Der Kreislauf lution, which aimed at eliminating altogether thedes Lebens (Mainz 1875) vied in popularity with teleological point of view in favor of a purelyBüchner's book, although Schopenhauer said - causal explanation. Voltaire's deism still restednot altogether unjustly -that it seems to have on the argument that the existence of a clockbeen written by a barber's apprentice. In Ernst Freethinkers 469 Haeckel's Welträtsel (Bonn 1899) superficialhave been important stimulants to the develop- materialism appeared under the new name ofment of freethinking. The American Rationalist monism (as opposed to the dualism of Descartes Association, the American Secular Union and and Kant). It was the first attempt of a syntheticthe Freethinkers of America all carry on a free- philosophy on the basis of Darwinian evolution-thinking propaganda, but the movement as such ism, a book full of anti - Christian polemic andhas never been as powerful as similar move- cheap sarcasm, lacking the grace and spirit ofments in Europe. Voltaire and disfigured by a great number of All these existent, flourishing, entirely secular gross mistakes. The heated polemic withtheo- societies of freethinkers are now entirely non- logians of all denominations in which this bookpartisan organizations for the diffusion of free involved Haeckel induced him to organize thethought among the people by means of tracts, Freethinkers' Congress of Rome in 1904 and topamphlets, books and lectures. The center of found in 1906 the Deutsche Monisten -Bund. attack of freethinkers has, however, shifted from This was by no means the first attempt atprimary concern with the divine foundations of collective organization of the partisans of freereligion and the historical accuracy of the Bible thought. The most important of previous free-to a more militant onslaught upon the Christian thinkers' organizations was the Internationalelements in contemporary politics, morality and Freethinkers' League founded 188o in Brussels,social questions. Their activities will remain nec- over the German branch of which,founded inessary and beneficial as long as the hard won 1881, Büchner presided until 1899. Since 1908liberty of scientific research continues to be there has existed a Zentral -Verband der Pro -threatened by the religious instinct or by other letarischen Freidenkern Deutschlands, reorgan- herd instincts of the uncultured masses; as long ized in 1927 as a Verband für Freidenkertumas state religions and established churches con- and Feuerbestattung, with 500,000 members tinue to try to control elementary, secondary and and a journal called the Freidenker. Since 1927even university education and to oppose onreli- there has existed a German Volksbund für Gei-gious grounds urgently needed reforms of the stesfreiheit, which publishes the Geistesfreiheit. state laws concerning marriage, divorce, birth The various organizations are loosely united in acontrol and the like, even as they opposed cre- cooperative Arbeitsgemeinschaft der Freigeisti-mation, anaesthetic obstetrics and vaccination. gen Verbände der DeutschenRepublik. TheVery often the freethinkers' clubs are frowned working class freethinkers are united in theupon by scholars and the cultivated classes in Bund Sozialistischer Freidenker, the communistgeneral, not only because of the often shallow, atheists in the Internationale Proletarische Frei -coarse and superficial character of their propa- denker, which has had its center in Moscowganda but also because of the widespread tend- since 1925. France has its Union de Libresency of the ruling classes to keep the proletariat Penseurs et de Libres Croyants and Société Ra-under the influence of a religion of resignation tionaliste. and submission to social inequalities, a creed In England the free thought movement haswhich Karl Marx has not inappropriately called been intimately associated with the movementan "opiate for the people." Ever since the phi- for social reform. Paine, Owen, Hetherington,losopher Critias, one of the thirty tyrants of Holyoake, Bradlaugh and many other leadingAthens, cynically taught that the gods had been freethinkers were active in both fields. In 1852invented by some "wise and sly man" in order Holyoake called a conference at Manchester for to deter the people from doing secretly what the the organization of freethinkers' groups and inlaw forbade them to do in the open, a tendency 1866 these were combined under the presidencyhas been prevalent among the ruling classes to of Charles Bradlaugh as the National Secularpreserve religion among the masses by means Society. This organization and the Rationalistof a socially conservative clergy subservient to Press Association, founded by Charles Albertvested interests and to the powers that be, to Watts, counting many of the foremost leaderslimit the education of the lower classes to ele- of English thought as members, have been thementary-at the utmost to technical- instruc- chief agents for the propagation of free thoughttion and to treat science and philosophy as in Great Britain. In the United States the tradi-esoteric privileges. The more the bourgeoisie tion of Thomas Paine, the liberal heterodoxy offears social upheaval, the less willing will its Emerson, the wide vogue of Colonel Robert press and publishing concerns, even the so- called Ingersoll and the scientific labors of Lester Wardliberal organs, be found to help in the fight for 470 Encyclopaedia of the Social Sciences the most precious of civic liberties, freedom ofscientific research by forbidding "useless specu- thought and word. In many republican coun-lations." A Positivist church survives to this day tries big business has shown in recent days ain London and the movement has had a great marked tendency to favor the authority of theinfluence on the ideology of English trade union- various churches; its deliberate fervor is notism and on liberal political movements in vari- dissimilar from that which the Bourbons andous countries. the Hapsburgs displayed in the post -Napoleonic Church and chapel -like associations of this period. kind rest on the assumption of the English deists Very different from these specifically propa-that Christianity freed from irrational dogmas gandist organizations for the freedom of thoughtand from all supernatural elements is identical are the church and chapel -like associations ofwith a self- evident ethical system which must of so- called freethinkers (more exactly free believ- necessity be recognized as a valid obligation by ers- libres croyants), who represent in realityall men. This naïve idea was not challenged until nothing but the extreme, most radical develop- the great immoralist Friedrich Nietzsche re- ment of Protestant freedom of conscience. Thusvived the polemic arguments of antiquity against English deism (q.v.) was but a direct develop-Judaeo- Christian democratic, humanitarian eth- ment of Socinianism, and English Unitarianism, ics, based on pity and sympathy with human pantheism and French positivism were directlysuffering, on humility and renunciation; this he descended from English deism. This genealogycharacterized as a slave morality invented to explains the persistent tendency of these freeprotect the sickly and unfit poor against the believers to associate in a common cult andbeneficial rule of the strong, rich and noble, who some sort of worshipful communion. Thus To-will in due time give birth to the superman. land in 1720 had proposed to found a deistWhatever may be said for or against this haughty Sodalitas socratica, for which his Pantlzeisticonthesis, the class conditioned character of the was to serve as a liturgy. English FreemasonryJewish prophets' "cry for justice" and of the (see MASONRY) developed on the continent into teaching of Jesus is now patent to all, as is the a Société de pensée, an anticlerical society for theconservative social tendency of the age long propagation of tolerance and of a "natural reli-interpretation and adaptation to which these gion" of humanity with an elaborate ritual.teachings have been subjected by the theologians There have been and still are in Germany nu-of the different churches. No one today will merous chapel -like organizations of former Prot- consider the particular ethical doctrines of mod- estant freethinkers, such as the Lichtfreundeern, or for that matter of ancient, Christianity and the Bund der Frei Religiösen Gemeinden,as self- evident or natural or as the morality trying to create something like a rationalistcommon to all men. The modern relativist the- church with a symbolical, philosophical cult andory of values has definitely shattered the basis ritual as a visible frame and expression of aon which such artificial churches as the various humanitarian religion. In England, America, theethical societies or orders rested. Netherlands and Germany there is but a vague ROBERT EISLER border line between the most liberal Protestant See: ATHEISM; RATIONALISM; DEISM; ENLIGHTEN- sects, such as the Unitarians, and the ethical MENT; SECULARISM; EVOLUTION; MATERIALISM; DE- societies of professed freethinkers, like the Inter- TERMINISM; ANARCHISM; SOCIALISM; HIGHER CRITI- national Order for Ethics and Culture, founded CISM; SACRED BOOKS; ETHICAL CULTURE MOVEMENT. in 1908 in Berne. Consult: Robertson, J. M., Short History of Free - thought, z vols. (3rd ed, London 1915), and A History In France Rousseau had expressed the desire of Freethought in the Nineteenth Century (London that natural religion should become an official 1929); Bury, J. B., A History of Freedom of Thought and compulsory faith, within which, however, (London 1913); Mauthner, Fritz, Der Atheismus und the individual would be free to cultivate his seine Geschichte im Abendlande, 4 vols. (Stuttgart 592o -23); Troeltsch, E., and Blakeney, E. H., "Free - distinctive tenets as he chose. Auguste Comte Thought" in Hastings' Encyclopaedia of Religion and gave a churchlike organization, the Church ofEthics, vol. vi (Edinburgh 1914) p. Izo -z4; Voelkel, Humanity, to the faithful adherents of his philo- Titus (Verus, S. E.), Einführung in die Geschichte des sophical system, the Société Positiviste, foundedfreien Gedankens (Frankfort 1914); Perrens, F. T., in 1848, with a calendar of the great benefactorsLes libertins en France au xvLie siècle (Paris 1896); Cochin, Augustin, La crise de l'histoire révolutionnaire of humanity instead of the Catholic saints, with(Paris 1909), La révolution et la libre pensée (Paris a catechism of positive religion and even with a 1924), and Les sociétés de pensée et la révolution en renewed tendency to restrict the freedom ofBretagne (1788 -1788), 2 vols. (Paris 1925); Benn, Freethinkers-French Revolution 471 A. W., The History ..f English Rationalism in the Nine- themselves behind Pitt to meet the threat by teenth Century, z vols. (London 1906); Gould, F. J.,war. The Pioneers of Johnson's Court (London 1929); Laski, H. J., "On the Need for a Militant Rationalism" in In Germany and Italy the minute parceling Rationalist Annual, 1931 (London 193o) p. to -16. out of land and the particularism of the small princes were sufficient to prevent a concerted FRENCH REVOLUTION. There are manymovement of any vitality. The faint beginnings approaches to the cataclysm which overturnedof industrialism in Germany were confined to the institutions of France and degenerated rap-three or four localities, and the German bour- idly into a bitter warfare of twenty -three yearsgeoisie had as yet no conception of its strength, between the young democracy and its monar- no ambition to power. It was content to vegetate chical neighbors. in the shadow of the royal or princely houses. There is the purely French approach, such as The outbreak of the revolution in France that of de Tocqueville or Taine. For the formerrather than elsewhere may be attributed not the revolution in unifying France was but theonly to the fact that the French bourgeoisieTiäd" achievement of the work of centralization begun become increasingly powerful because commerce by the absolute monarchy; the Committee ofhad quadrupled since 1714, that monarchical Public Safety was the legitimate heir of Fran-centralization facilitated a concerted movement, cis I, of Richelieu and of Colbert. For Taine,that the writings of the philosophes, especially concerned more with ideas than events, the rev-of the physiocrats, had kindled discontent and olution was the product of the classic spirit -formulated in advance a program of reforms, but of that lucidity of analysis and abstraction whichprimarily to the fact that the resistance of the characterized the golden age of French literaturenobility, which had become increasing power- but which subsequently became crystallized and ful throu a the entire century, had produced emptied of all real content. á situation where! the prerequisite of progress For present day historians, more disposed towas force.] In an age characterizedby enlight emphasize the European angle and more con-ened despotisneFrance alone clung to the out- versant with the doctrines of historical materi-worn tradition. of autocracy? alism, the French Revolution is merely the out- The feudal reaction, which began as far back standing episode of a much vaster tragedy, whose as Louis xiv, continued throughout the eight- protagonist is the bour eoisie. Such is the thesis eenth century. The parlements, whose members of Jeansurei. i e sliiIlu -lly using the author- had come to constitute the dynamic force within ity of the Feuillant, Barnave, as a cloak for histhe nobility, took the lead. Now that they had own conception of the close and inevitable par-become nobles themselves and owners of fiefs allelism between the economic and the politicalthey perverted the arrêts de justice, which had movements, Jaurès succeeded in orienting theformerly been instruments for protecting the French Revolution in terms of contemporaryrights of the king or the public interest, to the Europe, in explaining clearly why the crisisservice of the feudal lords, sanctioning their en- broke out in France rather than in England orcroachments on the common property. In the Germany or Italy. second half of the century especially, there was a The English bourgeoisie, which for a centurymultiplication of hunting preserves and triages had been in possession of political power, waswith a correspondingly increased number of enjoying the fruits of the industrial revolution,peasants deprived of their traditional rights. In then in its first flush) It was not bothered by thethe place of the older monarchical maxim, "Fief crown and had nothing to gain from attackingand jurisdiction have nothing in common," the the feudal orders either lay or ecclesiastica since new feudal jurists -Boutaric, Fréminville, Re- both had been dispossessed.IThere were no class nauldon- substituted a maxim purely feudal, discriminatiöñs íw ñ t1e levying of taxes, no restric- inspired by Montesquieu: "Fief and jurisdiction tions on circulation within the country, no abu-are one." sive regulations. Individual liberty wnt hand The feudal reaway ken.iyg manifested itself not in hand with religious toleration. The freeholdonly in chalï' 'in jurisprudence but also in the tenant, accorded the franchise, was essentiallyincreasingly arrogant claims of the provincial conservative in temperament. Satisfied interestsestates, whose encroachments on the royal power make poor revolutionaries. Alarmed by Burkeproceeded with remarkably few pauses. In the as to the possible consequences of the Frenchprovince of Brittany, for instance, the adminis- Revolution, English landed proprietors arrayedtration of the tax passed almost entirely from 472 Encyclopaedia of the Social Sciences the hands of the intendant to those of the estates. reversed.(The right of property appears as prior The offensive of the nobles eventuated in theand superior to the state -to the kings The duty reconstitution, which ordinarily accompaniedof the state consists solely in protecting liberty augmentation of feudal dues, of the officialsand property; it has no other justification. In the known as chartriers, or guardians of title deeds.past, law had been no more than the expression But above all else the oppositioi o£theparle- of the personal will of the king. The physiocrats ments to every share of reform completelypletely en-succeeded in transforming it into an eternal im- . ,. feebled the monarchy and d it iitö`bank-personal truth of the natural order, which inde- ruptey. The magistrates not only set the badpendent of the monarch limits his sovereignty. example of resisting the orders of the king butThe ideal government is that which is reduced in their remonstrances formulated a program ofto its simplest expression and which leaves the representative monarchy which was later to bemaximum of control to the great social forces. turned to profitable use by the insurgent bour- Physiocratic utilitarianism was the antithesiss of geoisie. the old Christian morality -a point of contact While the nobles of the robe were thus under-.with the philosophes, who in addition welcomed mining confidence in the very foundations offrom the physiocratic program all those elements absolute monarchy the economists and espe-conducive to the rise of capitalism. cially the physiocrats were waging against the The revolution existed in the realm of ideas time honored economic institutions an increas-from the middle of the century. It was carried ingly ardent and fruitful campaign. Organs ofover into the realm of actuality not only by the agrarian and industrial capitalism with a venera- intransigency of the parlements and the partial tion for private property, they advocated theapplication of the program of the physiocrats suppression of all regulations and corporationsbut also by the incoherence of the king's political and the establishment of absolute commercial policy. liberty. The ancient artisan class, which had The feudal reawakening seconded by the arrêts been the symbol of the union between the pettyde justice subjected the peasants more grievously bourgeoisie and the king, tottered under theto the seigniorial yoke. The nobility attempted assaults of ministers won over to the new doc-to reestablish itself in rural society in the midst trines. But the large manufacturers, who for aof its former serfs. The aristocracy which the century had been fighting the corporations andrevolution had to fight was not a detached, pas- who were practically exempt from public bur-sive class, but on the contrary a class which was dens, were still unsatisfied with the partial re-awake to the economic life going on around it forms made in their behalf. Now that they wereand swayed by new and mounting ambitions. meeting with the nobles in the councils of ad- The succession of edicts between 1761 and 1785 ministration of the new joint stock companiesdealing with enclosures, with the old pasturage they felt themselves their equals since they en-lands, with the dividing up of the commons, joyed the same rights. Their ambition was kin-with the clearing of land, made it obvious to the dled and they were no longer to be content withpeasants that the king was deliberately abandon- half measures. It is an eloquent commentary thating them in favor of their natural enemies. the first revolutionary assembly in 1789 was held The intermittent freedom of grain exportation in the chateau of the great metallurgist Périercaused an increase in the price of bread at the at Vizille in Dauphiné and that noble, bourgeoisvery time when royal taxation was increasing. and priest plotted together to change the so-In the single bailliage of Reims royal taxation cial order. tripled or quadrupled during the period from The campaign of the physiocrats combined 17 °4 to 1788. From 1765 to 1789 prices doubled, with the anti -administrative assaults of theparle-while salaries averaged only a 10 to zo percent ments had seriously impaired the royal preroga-increase. The growing overpopulation produced tives in the economic sphere. Hitherto the kinga huge proletariat both rural andurban, which as the personification of the public interesthad furnished the revolution with the man power for been able to issue decrees whenever an economicits mobs. crisis seemed to necessitate recourse to such Hitherto the monarchy had rested upon the measures, limiting the exercise of propertyrightstraditional docility of the French artisanry, on -even to the extent of imposing a tax onprices.the fidelity of the army, on the loyalty of the \ The rights of the individual were subordinated intendants, on the gospel of resignation preached ' to the rights of society. But now the situation wasby the clergy. One after another these supports French Revolution 473 crumble$. The artisans, especially after Tur-blance except in their ritual to continental Free- got's taxation of them, considered themselvesmasons' lodges of the present day. They were sacrificed to the manufacturers. The army be-composed of grands seigneurs, of officers, of came permeated with the spirit of reform, whichpriests, of rich bourgeois. Salons rather than was still heightened, especially among the youngclubs, they were frequented by the flower of the nobles, by the American Revolution. The in-army, by men of the world, by champions of the tendants, no longer men of the people as understatus quo. Their members cele ra e er éait Louis my but instead recruited from the nobil-T t. John the Baptist by a solemn mass. Their ity, to whose interests they catered, displayedactivities were never, as is evidenced by the re- less and less zeal. The lower clergy instead ofports of the intéñdánnts, a source of disgtude counseling submission began to advance claims. to those in authority. Louis xvi and hi brothers, Brienne's very attempt to counteract the feu-Marie Antoinette herself, participated in the dal claims of the parlements and of the provincial ceremonies at the Loge des Trois Frères in the estates by the creation of provincial assembliesVersailles district. More than three fourths of -hybrid bodies, more consultative than repre-the French Freemasons, especially those in the sentative- precipitated the crisis which was gen-military lodges, became émigrés.(l'he smallness erally expected. This crisis continued for at leastof the minority which aligned itself on the side a dozen years. It described an ascending curveof the revolution eliminates the possibility that toward democracy until the fall of Robespierre,the movement of 1789 was the result of a Ma- 9 Thermidor, year u. Thereupon it descendedsonic conspiracy) again to the bourgeois oligarchy of the Directory, The insurgent forces at the outset were the to eventuate finally in the Napoleonic dictator-constituted bodies of the states -the parlements ship, which endured despite its suppression ofand the Notables. The revolution was cast within public liberties by reason of its consolidation ofthe existing mold. These judges, these Notables, the material and legal accomplishments of thewere the representatives of a class which was no revolutionllt is a question really not of a singlelonger satisfied with its privileges and which de- revolution but of a series of different revolutionssired through the attainment of dominant politi- bound together by an inner logic. j cal power to rejuvenate them. In the first of these revolutions, which ex- But thisfirstrevolution,superficial and tended from the convocation of the Notables byephemeral, soon brought in its train a second, Calonne in 1787 to the assembling of the Estatesmore profound and utterly different. Behind the General in 1789, only the privileged classes werejudges, behind the nobles, behind the priests, involved. It was begun 1Y the nobility thewas the bourgeoisie, which toward the end of robe, who were joined immediately by the nobles1788 pushed its way to the front. It became of the sword and the higher clergy. In order toaroused for a variety of reasons. Royal absolut- safeguard their fiscal immunities against theism constituted as grievous a burden to the threat of the new gehëmes o taxation these priv- bourgeoisie as to the privileged classes, while the ileged orders struck a blow at the royal govern-imminent bankruptcy of the government threat- ment, thereby setting a bad example to the lowerened to engulf bourgeois property. Finally, the classes. The significance of this prelude to the bourgeoisie felt itself capable of assuming in its revolution is too often ignored. It is extremelyturn the direction of the state in order to free important to note that the monarchy wás :t-itself from those legal encumbrances which held enéd by its ownnts. The revolt was not yetit down as a vassal and prisoner of the unpro the worròf a political party or the outgrowth of ductive and privileged classes. It was suspicious a conspiracy. Political parties did not exist.of a revolution by the noble and feudal class and There was no plot, no secret organization plan-in order to forestall such a contingency it went; ning a sudden overthrow of secular institutionsinto action under the banner of unwritten nat- and the substitution of others. On the contrary,ural law, which it opposed to feudal law. it was in the name of the past through invocation From the outset the bourgeoisie possessed the of time honored customs -of the rules of feudaldouble.,advantage of wealth and intellect. Since law -that the parlements unleashed resistancemost of the writers were in itsialk-Z-control and revolt. of public opinion was guaranteed. In addition The role of conspiracy which is sometimesit controlled the army, for the soldiers, to attributed to Freemasonry is pure legend. Thewhom the higher ranks were closed, perceived lodges in the period before 1789 bore no resem-in the revolution the path to opportunity. This 474 Encyclopaedia of the Social Sciences bourgeois revolt, which followed on the heels ofof the same tactics and in the formulation -even the revolt of the nobility, was not apparently thein the cahiers de doléances drawn up on the eve result of long premeditation or the outgrowth ofof the election -of the same general claims. a conspiracy. It was for that reason all the moreFrom the east to the west, from the north to the vigorous. It was the expression of reflectionssouth, the revolutionary bourgeoisie extended stored up from the reading of authors who forone hand to the peasants, the other to the curés fifty years had been criticizing existing institu-and the lower clergy, with a view to binding tions, and it was infected with the contagioustogether, as in a fascis, all the potential forces of enthusiasm of the American precedent. renovation. So permeated were they with a jeal- The influence of abstract thinkers on great so- ous class spirit that in accordance with the coun- cial crises has sometimes been denied. "The most sels of the abbé Sieyès they elected the deputies eloquent dissertations on revolution," writes who should represent them in the Estates Gen- Georges Sorel, metaphysician of revolutionaryeral almost exclusively from the third estate. syndicalism, "have no practical issue, and the At Versailles the leaders became aware almost course of history is not altered by literature."immediately of the necessity of a compact organ- If this statement implies simply that literatureization in order to present a solid front to the alone is incapable of bringing about a socialcourt and to the privileged classes. On the eve movement it is on firm ground; but if it pretendsof the opening they assembled at the Club Bre- that literature is an utterly negligible factor itton, which became the cradle of the Club des lays itself open to serious question/ The greatJacobins. Victory depended, it was felt, on their majority of men are unaware of injustice until itremaining in close contact with the masses and is pointed out to them. The denunciation ofon their ability to match force with force. Ac- abuses is an essential preliminary to a demandcordingly they entered into endless correspond- for reform; a clearly formulated ideal, the pre-ence with their constituents both to stimulate requisite of a loyal following. It is extremelytheir zeal and to keep them posted concerning doubtful whether without the writings of thethe difficulties encountered at Versailles. Several philosophes the bourgeoisie would have risen inof these correspondences have been published, 1789 with the same unanimity, the same reso-and constitute -especially those of the lawyer luteness; whether without the writings of KarlBouchette, of the curé Barbotin and of Duques- Marx the Russian Revolution would have been noy from Lorraine -documents of great interest. the same. Robespierre without Rousseau re-When the king called out the troops following n enigma; so does Lenin without Marx.the tennis court oath, the correspondents en- Thearèvoltof the judges and the Notables,couraged the bourgeois of Paris to form the being essentially a revolt of officially constituted national guard, which was to become the mili- bodies, did not have to build up a special organi-tary force of the revolution. After the fall of the zation. The bourgeoisie faced an entirely differ- Bastille permanent committees, i.e. revolution- ent problem. Almost from the outset the nucleusary and dictatorial municipalities, which spread of the organization consisted in meetings spon-as if by magic through France, hastened to dis- sored by the "Américains" at the homes oftribute arms to their partisans. From that time Lafayette and the councilor Adrien Duport. Iton the ancien régime was defeated, inasmuch as was from these centers that the Société desthe bourgeoisie had taken possession of both the Trente despatched orders to the barristers andmunicipal administration and the public forces. lawyers who carried them into effect in theirBy the side of the permanent committees and the respective local provinces. In Burgundy the de-national guards were shortly created the clubs tection of the movement of the corporations andwhich formed a federation under the direction the supervision of elections were in the hands of the Jacobin$. The club was the organ of sur- of the lawyers. In Brittany the law students ofveillance. It was wide awake to the dangers that Rennes under the leadership of Moreau, the fu-threatened the revolution. At the time of the ture general, took up arms against the noblesconvention there were no fewer than four or five and in the course of the fighting were supportedthousand clubs at work. In all this activity the by reenforcements sent from youthful bourgeoisFrench were merely following the example of in adjoining towns. the permanent committees, the militia and the Proof that the entire movement was the - clubs which had been such significant factors in cution of a carefully coordinated and maturedthe prosecution of the American Revolution. plan may be found in the universal applicationRevolutions are contagious.'? French Revolution 475 Vaulting into power on the fourteenth of Julywar and making peace, received communica- the bourgeoisie proceeded to intrench itself. Ittions from ambassadors and was the dominant restored the king to the helm by a constitutionforce in the direction of foreign policy. After which guaranteed his political power. It loweredDecember 19, 1789, the Comité des finances had the clergy and the nobility to its own level by its own special treasury called the Caisse de l'Ex- writing large into the constitution equality be-traordinaire, which was distinct from the royal fore the law. Deviating from the real spirit oftreasury and filled with special contributions the Declaration of Rights it refused the franchise such as the contribution patriotique. Its chief re- to the unpropertied classes, who were rated assponsibility, however, was the administration of passive citizens. To save the property owners the assignats and of the receipts accruing from threatened with bankruptcy it confiscated churchthe sale of national property. The Comité de property and offered it for sale by the ingeniousl'aliénation des biens nationaux, charged as its system of assignats. An immense transfer ofname indicates with the sale of church property, property resulted. divided France into twenty territorial districts The work of reconstruction proceeded paralleland at the head of each of these placed one of to the work of destruction. Above the débris ofits members. The active correspondence pub- the privileged classes and the suppressed orderslished by Raymond Delaby between Camus, the Assembly erected a logical and harmonioushead of one of these districts, and the depart- structure. Its foundation was the Declaration ofment of Côte -d'Or indicatesinastriking the Rights of Man and the Citizen (q.v.) --manner that contrary to a widely held opinion " the document which was to instal individualismthe locally elected authorities enjoyed no initia- as the dominant feature of the modern world.tive in the interpretation or application of the 'This eloquent apostrophe to personal initiative,laws. Camus insisted on being consulted in ref- to the force of individualism, was heard fromerence to all decisions made by the administra- afar and provided for the revolution itself ation of the department which concerned national magic spring of energy endlessly renewed. Theproperty. No anonymous notice of auctions could dawn of romanticism was already coloring thebe published without his consent and his visa, horizon. and he concerned himself with the most minute But the Assembly would not have been vic- details. The Comité des droits féodaux did not torious if it had not in accordance with Sieyès'confine its activities to drawing up laws on the theoon the constituent power constituted itselfredeeming of the feudal dues of the nobles, but a yer le dictatorship. The `undamen tedcarried on an active correspondence with the tincti betweenconstitutionallaws, exemptedemptiedlocal authorities, guiding them and making de- from royal sanction, and ordinary laws, whichcisions on the practical difficulties submitted by were alone subject to veto, provided a meansofthem. Nor did the Comité ecclésiastique limit *- nullifying the evils of the royal will and of raisingitself to elaborating the civil constitution of the the new order. clergy, which harmonized the older ecclesiastical The committees governed and at the sameorganization with the new organization by de- time administered by methods which the Con- partments. In addition it supervised at close vention was to do no more than take over andrange its actual application and made final deci- expand. They corresponded directly with thesions on all contentious points in the legislation new authorities, gave them instructions whichaffecting religion. The aristocrats could with were tantamount to orders and treated the min-some justification accuse it of having usurped isters as their agents. the status of a conciliar body. One of its notable The Comité des rapports and the Comité desaccomplishments was the inventories which it recherches, which were in charge of political po-took of confiscated ecclesiastical furnishings in licing, kept themselves informed regarding theorder to exempt from sale rare and precious various municipalities, conducted investigations,objects. The Comité militaire from the outset issued orders for arrests and brought those ap-worked in close touch with the Ministry of War prehended before the Châtelet, which at theand kept a sharp eye on the administration of outset of the revolution served as the seat of thethe army in ail its ramifications. High Court. The renowned Comité de sureté As a result of this elaborate system of com- générale of the Convention was to do no more.mittees the great principle of the separation of The Comité diplomatique, formed after the kingpowers, which the Constituent borrowed from had been shorn of his prerogative of declaringMontesquieu and wrote into the constitution of

4 476 Encyclopaedia of the Social Sciences 1791 as the corner stone of essentialliberties, constituted but a very superficial suppression of was never applied or observed aslong as thethe feudal regime, abolishing personal servitude great assembly continued to function. More-but maintaining all the rest. The most imme- over, its members did not believe thatthey werediately felt feudal dues, those in kind or in going back on their own doctrines in vigorouslymoney, continued to be paid by the tenants, usurping the dictatorship and in applying it on until they redeemed them. At the same time the a large scale. Sieyès had taughtthem that theyConstituent deprived the people of the franchise. were the constituent power.Consequently theThe new constitution handed_ over_Fx.anee to an constitution would function only after their exit, oligarchy ofnen in possession. when the powers which they had constituted If the bourgeoisie, victorious over the peas- would begin to be applied. Their dictatorshipants as well as over the nobles, had remained was justified by the obligationof clearing theunited, the revolution would have been over. way for these new powers. They wereforced toThe discontented peasants continued to create remove all obstacles beforehand. sporadic disturbances, but in default of con- If Louis xvi had resigned himself to the posi-certed action they were incapable of overturning tion of constitutional monarch, the bourgeoisieby their own efforts the remnants of the feudal would have kept him at the helm. All it asked of order or of dispossessing the bourgeoisie. him was not to take the side of the privileged But after the flight of the king the bourgeoisie classes. But Louis xvi began to conspire. He wassplit into two factions. The Feuillants fright- disgruntled at the curtailment of his power. Heened by the possibility of democracy fired upon sought the aid of foreign kings. Within Francethe republicans on the Champ de Mars, July 17, he precipitated religious war. He fled to the179i. After the massacre they found themselves frontier and was brought back humiliated. Friin the position of being forced to consolidate the that time on a new revolution was inr cs.royal power and, because of class egotism, of The first had-been that of the aristocracy; therestoring to the crown a part of the force which second, of the bourgeoisie; thethird was to be,it had lost. The other great faction, the Giron- in part at least, of the people both urban anddist", took the opposite course; defiant óriTie rural. trig and fearful of the reestablishment of ab- he first revolution had forced the king tosolutism, they opposed any backsliding. As a summon the Estates General. The second hadmethod of solving the internal difficulties of the suppressed the institutions of the ancien régime.country, of checking the priests and the aristo- The third overturned the throne. The first hadcrats, of reissuing the assignats, of forcing the been provoked by the resistance of the privi-king to entrust them with power, they plunged leged classes to fiscal reforms. The fundamentalthe revolution into foreign war, despite the cause of the second had been the fear of bank-warnings of Robespierre and the Montagnards. ruptcy. The third sprang from foreign war and The war was the decisive event which unSier- invasion. It was at once a patriotic and a popularlaay the third revolution, that of Auguust 10, 1792. revolution. It resulted in the liberation, at leastIt brought in its train not only the fall of the partial and provisional, of the peasant and themonarchy, which trafficked with the enemy and worker. worked for its victory, but also the confiscation Since the fall of the Bastille the peasants hadof the property of émigrés serving in the Aus- been attacking the chateaux and had forced thetrian and Prussian armies. And the confiscation nobles to surrender and burn the title deedsof émigré property following the confiscation of which authorized the collection of feudal dues.church property completed the dispossession of The artisans of the town had on their sidethe older ruling class. Moreover, the war re- burned the customs barriers and forced a reduc-sulted in the suppression without indemnifica- tion in prices. These disorderly popular out -tion of those feudal dues which the Constituent bursts had surprised and annoyed the bourgeois had allowed to stand. The revolutionary bour- t membership of the Constituent. Theierma-geoisie was forced to offer this bait to the peas- nent committees and their national guards wereants in order to interest them in victory. It was designed as much against the threat of the jac-likewise forced in the same spirit and from the querie from below as against that of the aristo- same necessity finally to abolish amid theboom- crac romabove. It was with bad grace thating of cannon directed against the Tuileries the they granted concessions to the peasants. Thedistinction between active citizen and passive legislation of August 20 and the following dayscitizen -in short, to grant universal suffrage to FrenchRevolution 477 the proletariat. It marked the arrival, as yetof their adversaries and was followed up shortly more theoretical than real, of the fourth estate.by the organization of a dctatorsh ol- But the Girondists, who flattered themselveslective dictator Ship of the Çómme ittee yblic that they could manage the people just as earlierSafety,and the Committee of GensaUssurity they had flattered themselves that they couldsupported by a Convention -Which hacl become manage the king, perceived to their amazementprovisionally Montagnard in spirit. This event and irritation that in the aftermath of August towas equivalent to a new revolution -the fourth. the people were turning from them to follow the The dictatorship of the committees was the dic- Montagnards,a who had been the true authors oftatorship of the Montagnard party and to a cer- the -overthrow of the king and of the emancipa-tain extent the dictatorship of the san - tes. tion of the peasants. In their declaration of war This dictatorship, which lasted a little over a the Girondists had promised that it would beyear, sprang much less from a preconceived the- short and victory rapid. They had nourishedory than from the immediate necessities of the illusions regarding the strength of the Declara-military situation at home and abroad. The en- tion of the Rights of Man as a rallying cry. Theyemy had to be pushed back from the borders, had predicted that the people in foreign landsthe royalist and Girondist insurrections had to would rise against their tyrants at the call andbe suppressed. Food had to be supplied to the example of the French people. But the foreignarmies and cities starved by the English block- people seemed asleep or subdued, and the warade. The millions of soldiers that were being prolonged itself endlessly, waxing in its propor-shipped off to the frontier had to be clothed. tions. The rapid fall of the assignat, issued inTerror became the order of the day. For the increasingly large amounts to keep pace with theenemies of the regime the guillotine was set up. enormous aggravation of expenses,produced aElections were suspended. Resistance was beaten colossal rise in the prices of all merchandise. Thedown by the medium of commissaires de la Con- salaried classes began to murmur. The Giron-vention armed with unlimited power. To the dists, committed to commercial liberty, turnedgenerals went out the order, "Victory or death." a deaf ear to their complaintsand rejected theIn place of liberty authority was enthroned. The remedies proposed by the Montagnards -reme-Montagnard revolution rested upon principles dies borrowed from the interventionist legisla-which had little in common with those of the tion of the ancien régime, such as censuses, regu-individualistic revolution. In the name of public lations, requisitions, control of prices, economicsafety, as formerly in the name of the king, indi- and administrative centralization. A vast agita- vidual wills were over- ridden and when necessary tion began, born of suffering and misery. Thethe rights of property. Necessities of life were tGirondists fearing the proletariat held out theircommunized; provisions and merchandise were hands to the reactionaries. They were ready torequisitioned for the defense of the nation and give pledges. They incited the provinces againstthe revolution. Municipal bakeries and butcher Paris, the citadel of the Montagnards. They at-shops were set up. In short, there arose under tempted vainly to save the king as they had triedthe pressure of circumstance an embryonicl- earlier to save the throne. They brought Maratlectivism. The emergency character o the ex- to the bar. They called in thegenerals to helpperiment is indicated by the fact that the very them. They overlooked the insubordinationandones who were resorting to itconsidered it as a intrigues of a Dumouriez. temporary expedient, all traces of which should The Montagnard minority in the Assemblybe wiped out as rapidly as possible. drew its strength from the communes of the The new dictatorship contrasted strikingly large cities and from the Jacobin clubs, whichwith that exercised by the Constituent. The were rapidly being purgedof rival elements.latter had been accepted, even welcomed, while Since the Montagnards had opposed the war the the success of the new was detested or at best people could not hold them responsible for thecondoned. The Constituent was supported by grievous economic crisis which it hadprecipi-public opinion, which urged it on to more and tated. Their social program kept them in closemore severe measures against theenemies of the contact with the populace. Thedefeats of therevolution. Its committees had been obeyed spring of 1793, the treachery of Dumouriez,thewithout complaint by the elected authorities, revolt in the Vendée, allowed them at last towho met itsdesires. By 1793a profound assume power. Their coupde force, extendingchange had taken place. The foreign war had from May 31 to June 2, purged the Conventionits counterpart in civil war. The revolts of the 478 Encyclopaedia of the Social Sciences Vendée and of the federalists, the execution ofthe revolutionary legislation impaired its effec- the king, the military defeats, the requisitions,tiveness. They did not entertain the idea, how- the misery consequent on inflation, official re-ever, of recasting their principles. They had no pudiation of Christianity and the closing of theinclination to introduce limitation of property churches, the regime of the suspects and theas the normal and abiding foundation of the overworked guillotine, all these terrifying mani- social order. Private property still seemed to festations of the crisis brought discouragementthem sacrosanct. They wished only to correct its to large sections of French society and pushedmomentary abuses and they were reduced to them into the opposition, desirous above all ofthis expedient of a revolutionary dictatorship, peace even at the price of the reestablishment ofwhich they conceived as being provisional. They the ancien régime. imagined that it would be sufficient merely to It was no longer possible to justify the newstrike terror into the aristocrats, to imprison revolution as Sieyès had the oldby the single them, to banish them, and that then the social theory of the pouvoir constituant. It was too ob-question -which they continued to regard as a vious that it was no longer an application of thepolitical rather than an ethical question -would sovereignty of the people but rather the exactbe solved. Their attitude is readily understood opposite. Accordingly, in rebutting an attack ofif it is borne in mind that a good number of the Dantonists Robespierre justified the dicta -them were property owners -well to do bour- torship by drawing a fundamental distinctiongeois, lawyers and professional men. The terror- between a state at war and a state at peace, be-ist dictatorship was popular in its aims, but it tween the constitutional regime and the revo-was carried out by bourgeois. "lutionary regime. His speeches of 5 Nivôse and Only a small minority composed of those who r7 Pluviôse expounding this thesis contain thehad been taught by experience understood that theory of the revolutionary government, whichthe maintenance of the sans -culottes in power wasalready an adumbration of the dictatorship could not be perpetuated except .by_means of a of the proletariat. The constitutional regime ac- progressive_ ,and- lastingJimitajiönof individual cording to Robespierre is capable of functioningproperty. Robespierre, Saint -Just and Couthon only in time of peace. In time of war it must giveproposed in the laws of Ventôse to turn over way; otherwise it would destroy liberty. "Thethe property of the suspects to the poor. But aim of constitutional government is to preservetheir colleagues turned a deaf ear to the proposi- the Republic; that of revolutionary government,tion. The Committee of Public Safety had al- to establish it. Revolution is the war carried onready refused to nationalize the food supply. by liberty against its enemies; constitutionalism,Carnot had opposed the taking over of manufac- the regime of liberty victorious and at peace."tures, even of those which had been founded by Revolution being essentially civil war, "revolu-the representatives on mission. The Committee tionary government entails an extraordinary ac-of General Security, in concert with certain tivity for the very reason that it is at war ... members of the Committee of Public Safety, and forced to endlessly deploy new and rapidblocked the laws of Ventôse and their authors resources to meet new and pressing dangers."were driven from power, 9 Thermidor. Whereas the theory of constituent power had The great majority of the members of the grounded dictatorship upon the unanimous will Convention were individualists bitterly opposed of the people, the theory of revolutionary govern-to anything that savored of communism. The ment grounded it upon the political and patriotictrue communists, those who were convinced necessity growing out of the war. Robespierrethat the reign of the fourth estate is possible admitted the dangers of such a regime. Whatonly on condition of the suppression of indi- would become of the state if the dictators should vidual property, were isolated figures without selfishly capitalize their power? There was onlyinfluence and in the main not looking beyond a one protection, as far as he could see -the moralcommunism of provisions and, by implication, virtue of the dictators. of land. When Babeuf attempted in the post - The revolutionary groups in France had be-Thermidor period to bring them together into lieved that as soon as they acquired politicalone large party, it was too late. The dictatorship power they could immediately settle the socialhad collapsed and Babeuf was powerless to re- question. They perceived quickly enough thatestablish it. He paid with his life for his experi- they were mistaken. Their work was thwartedment --a belated experiment and at the same by the wealthy classes, who coalescing againsttime premature; belated because it was advanced French Revolution 479 at a time when the Montagnard party hadalreadyJacobins, on the contrary, although they were fallen from power and was already decimated byobliged to lean upon the sans -culottes and to the Thermidorian proscription; premature be-govern in their behalf and in their interests, cause public opinion had not beenprepared fornever really grasped the idea of class. They communistic ideas. hounded the royalists, the Feuillants, the Giron- The revolution of July, 1789, which haddists, not as members of a hostile class but as brought the bourgeoisie into power, was thepolitical adversaries and as accomplices of the child of eighteenth century philosophy, a philos-enemy. This is readily explicable. The Mon - ophy liberal and individualistic to its roots. Thetagnard leaders who sat in the committees and revolution of June, 1793, which swept the Mon -in the Convention were not members of the tagnards into power, was the work of circum-proletariat but merely its friends and allies. They stance and necessity. It was not the productofstill clung to eighteenth century philosophy -a campaign oe uca ion, oa systematic viewphilosophy which is the negation of class, which 2 of government and society or of a penetrating ignores social groups in favor of the individual. analysis of economic evolution. It could scarcely That is why the Montagnards, in contrast to have been otherwise at a time when machinerythe Bolshevists with their basic doctrine of class was in its infancy and its fataloffspring, indus-antagonism, remained fundamentally individ- trial concentration, not yet manifest. The mostualistic and never developed a thoroughgoing, daring of the revolutionary thinkers, Babeuforganic dictatorship. Lenin and his associates himself, hardly conceived of communism otherrealized that the establishment and perpetuation than in an agrarian context. The majority of theof the proletarian dictatorship were handicapped communists of the time distinguished clearlyby the separation and division of the powers of between industrial property, which they wished the state. The Council of the Commissaries of to respect as being the product of labor,andthe People legislates and at the same time exe- landed property, which alone their programcutes. In France under the Terror it was differ- affected. ent. Unity was never entirely realized in the This fact clarifies not only the basic differencerevolutionary government. The Convention, tò between the Jacobin dictatorship and more re-be sure, was purged. Theoretically it combined ent dictatorships but also thefundamentalthe legislative and the executive. But actually easons for its frustration.Although the Bol-the Committee of Public Safety was responsible hevist dictatorship is similar to the Jacobin infor the prosecution of the war, for the handling that it sought justification in the circumstancesof diplomatic relations and for general adminis- of war, it at least rested in contradistinctiontration, while the Committee of General Security to the latter on the coherent doctrine of Marx-directed political policing and the suppression of ism, which it proposed to put into practise. Theconspiracy. Thus there was a division of the Bolshevists had no qualms about destroyingexecutive and the legislative power: the Con- either individual property or even the structurevention on one side, the committees on the other. of the state which they had usurped. The Jac-There was a dualism even in the executive power, obins, on the contrary, tampered only timidlywhich was divided between two separate com- and partially with the system set up by themittees. The revolutionary machine of the Mon - Constituent. They merely superimposed theirtagnards was infinitely more complicated and economic dictatorship on the older individual-its manipulation correspondingly more delicate istic legislation without destroying it. Their req-than the revolutionary machine of Soviet Russia. uisitions and their taxes did not abolish private With the fall of Robespierre individualism re- property. They merely restricted the use ofit.asserted its rights to the full. The system of Their commümsm, whicTi was never more thanrequisitions and taxes passed with the Terror. provisional and relative, was only an expedient.The bourgeoisie after a momentary curtailment They themselves made apologies for being forcedof its power sprang up again fully triumphant. to resort to it. The Girondists, freed from prison, resumed In the political realm similar differences aretheir seats in the Convention. The last Mon - apparent. The Russian communists, loyal to thetagnards were exterminated in abortive risings. ideology of Marx, have been anxious from theTheir agents, who had had the courage to or- first to transfer power to the proletariat. Theganize and to operate the revolutionary govern- government which they have set up is consist-ment, were branded with the name of terrorists ently a government by a class. The Montagnardand disarmed en masse. There is no record of 480 Encyclopaedia of the Social Sciences those who fell, massacred during the white ter-and disarmed mobs of a place of meeting and rors. The proletariat sank again into silence andof a point d'appui. They drifted helplessly. The subjection. If it later welcomed the dictatorshipsituation would have been different if the pro- of Bonaparte it was because he gave them workletariat of this period instead of borrowing its and bread. The revolution by and large hadpolitical organization from the bourgeoisie had done no more than replace one class' With an-succeeded in working out a class organization. other, an aristocracy of birth with an aristocracyBut as it was, when the sans -culottes lost politi- of wealth, but it had flung out to the world thecal power they lost everything. idea of social justice. The triumph of the bourgeoisie was perhaps The French Revolution succeeded, it wouldtoo complete. Hounded mercilessly by the lois seem, only to the extent that it had been pre-d'exception, the last democrats disappeared or pared for. The work of the bourgeoisie, it re-took refuge in surly abstraction. The Thermi- dounded to the profit of the bourgeoisie. This dorians remained isolated, surrounded by a hos- class, possessed of wealth and intellectual supe- tile nation. riority, was destined to triumph over a nobility The great majority of Frenchmen, surfeited which, despite the significant attempt at rehabil- with politics, their spirits broken by the suffer- itation undertaken during the last days of the ings of war, pined only for peace. They no longer monarchy by the higher ranks, was essentially bothered to perform their duties as electors when impoverished and already half dispossessed. Itthe suffrage was restored to them. Only the pro- was destined to triumph over the people, be-fessional was interested in politics. The average cause the people, still untrained, was dependent Frenchman no longer mentioned public affairs upon it for its leaders. The bourgeoisie aloneexcept with irony and disgust. Dictatorship, was endowed with a sufficiently developed classwhich under diverse forms had been continuous spirit to seize and maintain power. since x789 and which was perpetuated by the It is a most striking fact that during this pe-coups d'état of the Directory, forced the indi- riod the artisan classes of France entered thevidual to withdraw into himself. Idealism was struggle only in a political sense, even when the dead among the royalists as well as among the struggle was directed toward social demands.republicans. Generous enthusiasm gave way to Corporations were suppressed. Syndicates didegoism. The time was ripe for Bonaparte with not yet exist. The guilds were weakened by divi- his reassurances and consolidation of interests. sion. Strikes were forbidden. It was in the clubsIn default of political liberty he brought to the and the popular societies, in the communes and French the assurance of civil liberties. In his in the sections, that the sans- culottes, thrown incode he preserved equality, their most cherished with the advance party of the bourgeoisie, were possession. He maintained the greater number of forced to fight for their interests. They were bent the institutions of the revolution, fusing them on getting complete control of public power. Toat times with adaptations made from those of get control of the state they did not hesitate tothe ancien régime. So forceful was his work that resort to the mobs which were being organizedthe door was forever closed to an integral resto- in the political societies and which were achiev-ration of the past. ing results only because the armed force, the The influence of the French Revolution on national guard, was on their side, as were fre- France and on Europe was so important that it quently the communal authorities as well. Julyis no exaggeration to say that it marks the be- 14, for instance, was mapped out by the assem-ginning of a new era in the history of the world. bly of electors which had appointed the deputies France found herself greatly strengthened by from Paris to the Estates General, and this as-the destruction of the ancien régime. No other sembly of electors sat in the Hôtel de Ville nextstate was so homogeneous. The suppression of to the legal municipality. August io similarlyorders, of bodies, of privileges, the unification of was the work of the sections and of a part of the legislation, the standardization of institutions, commune. The same is true for May 31. the decisive advancement of the national lan- After Thermidor the bourgeoisie once moreguage, had already generated a tremendous élan. came into its own. It purged the national guardIt was only in France that for a long period of and soon afterwards disarmed it; the mobs,time the all powerful state ruled over citizens which no longer had the support of the commu-endowed with equality. nal authorities, suffered a succession of failures. The individualistic program of the physio- The clubs were closed, robbing the famishedcrats was in a large measure realized. The right French Revolution 481 of property, recognized as absolute, allowed theingly bitter. Europe was split up into hostile French full enjoyment of economic andcivilnationalistic systems. But early in the century liberties. The road was wide open to the riseofconditions were different. The conflict was as capitalism, and it was not simply a coincidenceyet more social than political. In allnations that the great capitalists were in the majorityoflthere were minorities of varying strength, which cases ardent revolutionaries. shared the French ideal and more or less secretly In principle the revolution proclaimeditselfexpressed their wishes for its success. In order peaceful. It solemnly renounced all conquest -to prevent these minorities from expandingand a spontaneous gesturewhich won many sym-contaminating the rest of the subjects, monarchs pathizers abroad -but the violent clash of thewere forced to grant increasinglyimportant con - revolutionary program with the monarchicalcessions.(1'hus the efflorescence of nationalis rl rendered the maintenance of peace impossible.was accompanied by a liberal movementwhich War changed the aspect of the problem.Thegradually undermined the walls of France's kings of neighboring countries were forced toneighbor statesporeover, both nationalists and resort more and more to Frenchmethods as aliberals belonged to the same social class -to war measure. In 1794 theking of Spain inaugu-that enlightened bourgeoisie which had reformed rated a confiscation of the church treasury.TheFrance and subsequently become the model for following year he appropriated the revenuesofEurope. vacant ecclesiastical beneficesand at the same At the outset the revolutionaries in France time began the issue of paper money. TheAus-although tinged with the spirit of Voltaire had trian emperor was reduced to the samenecessity.nourished little hatred against the church and Confronted with a shortage of troops, he re- still less against religion. They dreamed, on the sorted in the third year of the war to thedevicecontrary, of securing the collaboration ofthe of the levée en masse. Pitt kept in poweronly byclergy in the defense of their political work. loans. Fortunately the crowned heads ofEuropeTheir union with the lower clergy had been very did not dare prescribe universal militaryservice,close. But the refusal of the pope to ratify their which saved France, because as Malletdu Panreligious reforms, the schism within the clergy, has pointed out they were almost asafraid ofwhich was divided into juring and non juring their subjects as they were of the enemy. priests, their ineffective efforts to repair this Victory intoxicated the French. Undertheschism -all of these factors led them gradually pretext of bringing liberty to theirneighborsto a policy of hostility toward the church.They they brought conquest in the form of areju-wound up by secularizing the republic through venation of the old theory of naturalfrontiers.the separation of church and state. The Con- They became a perilous threat to the libertyofcordatof Bonaparte, designed primarily to re- Europe. Napoleonic militarism broughtinto be-assure the classes which hadacquired national ing nations which had hitherto had nonationalproperty during the revolution, was powerless consciousness. Thus the nationalistic strugglesto reestablish the former close alliancebetween so numerous in thenineteenth century were thethrone and altar. The civil state remained in the direct offspring of the French Revolution.Inhands of civil magistrates. Anticlericalism, which the past, wars had been purelydynastic; thebefore 1789 was nothing more than a point of people had played but a passive role. The wars view, became a program which was to be adopted of the future in direct contrast were to putintoby the majority of liberals throughout Europe. the field larger and larger armies recruited ac- Similarly the divine right of kings had re- cording to the French system of military service ceived a fatal blow in the proclamation of the extended progressively to the entire nation.Inprinciples of 1789. The idea of sovereignty had 1793 France had equipped 1,zoo,000 men.Itundergone a change of meaning. From the king was the first time sinceantiquity that an equalit had passed to the people, and the scaffold of number of effectives had been assembled to-January 21 had shorn it of all supernatural pres- gether. Never had there been recruited an armytige. When Charles x at his coronation made for equally nationalistic in spirit, which went outthe last time the gesture of touching the scrofu- not only to defend its nationalindependence butlitic he was greeted with laughter. to impose on others its politicaland religious The American Revolution had been primarily respected the privi- credo. a political revolution. It had With the progress of the nineteenth centuryleges of the wealthy classes and had established the struggles between peoples becameincreas-without exception an electoral system based on 482 Encyclopaedia of the Social Sciences the census. It had not even struck at the rem-The revolutionaries of 1789 drew sustenance for nants of the feudal system which here and theretheir struggles from the memory of the republics were still in evidence. The seigniorial rents ii of antiquity or from the more recent example of the state of New York, for example, were notithe American Revolution. Plutarch was before isuppressed until the middle of the nineteentYtheir minds and his spiritual elevation served to century. exalt their courage, to increase their faith in the The French Revolution was profound in arevolution. They imitated the heroes of Greece different sense. It thoroughly exterminated with-and Rome and like them gave up their lives for out indemnification feudal dues and the dîme.their faith -becoming in their turn heroes. For It nationalized the property of the church andtheir descendants they became what Aristides, the property of the émigrés. It completely re-Brutus and Cato had been to them -martyrs modeled the commercial industrial regime. Itwho by their lives and their deaths bear witness revealed itself almost from the beginning as im-to the abiding strength of devotion to justice and bued with a keen sense of equality, which reached selfless love of humanity. The republicans of its apogee in 1793 -94. Under the stress of neces- France have faithfully nourished their memory, sity rather than theory a social democracy madeand the revolution has served in contemporary its début and attempted to take its place in thehistory as a spring, ever fresh, of precedent and world of men. The attempt was premature andinspi ation. failed. But it did not disappear without leaving '- ALBERT MATHIEZ traces, at least in the realm of ideas. The de facto See: INTRODUCTION, Section on THE REVOLUTIONS; collectivism realized by the terrorist regime, the REVOLUTION AND COUNTER- REVOLUTION; DICTATOR- control of prices, the requisitions, the commu- SHIP; CLASS STRUGGLE; BABOUVISM; ABSENTEE OWNER- nizing of all the resources of the nation, were SHIP; AGRARIAN MOVEMENTS, section On FRANCE; JAC- cited over and over again by the social reformers OBINISM; CLUBS, POLITICAL; ESTATES GENERAL; DEC- LARATION OF THE RIGHTS OF MAN AND THE CITIZEN; during the century after Babeuf. ENCYCLOPÉDISTES;SOCIAL. CONTRACT; ECONOMICS, If the Terror continued to freeze the blood Section on PHYSIOCRATS; EQUALITY; LIBERTY; LIBER- of nineteenth century bourgeois it kept alive the ALISM; NATIONALISM; DEMOCRACY; SECULARISM; hope of champions of social justice. It acted PROPERTY; ASSIGNATS. upon their imaginations like a grandiose myth, Consult: Caron, Pierre, Manuel pratique pour l'étude a breeder of devotion and sacrifice. The histo- de la Révolution française, Manuels de Bibliographie Historique, vol. v (Paris 1912), and Bibliographie des rian Gabriel Monod in his preface to Mathiez' travaux publiés de 1866 à 1897 sur l'histoire de la Contributions a l'histoire religieuse de la RévolutionFrance depuis 1789 (Paris 1912); Répertoire biblio- recounts that at Nantes toward the middle ofgraphique de l'histoire de France, vols. i -iii (Paris 1923- the last century the woman at whose house he 30); Peloux de Saint -Romain, Charles du, Répertoire général des ouvrages modernes relatifs au dix -huitième was boarding was singing the praises of her siècle français (1715 -1789) (Paris 1926); Gooch, G. P., father, who had enthusiastically welcomed the The French Revolution (London 1920), a critical bib- revolution and had fought for it in his youthliography; Bourne, H. E., "A Decade of Studies in against the Vendeans. "He sorrowfully witnessedthe French Revolution" in journal of Modern History, the extermination by the imperial regime of the vol. i (1929) 256 -79; Karéiev, N., "Les derniers tra- vaux des historiens Russes sur la Révolution française" democratic liberties which had been bought so in Annales historiques de la Révolution française, n.s., dearly. At each new revolution -1814, 183o, vol. ii (1925) z5z -6z; Gottschalk, L. R., The Era of 1848 -he had believed that the ideal republic, the French Revolution (1715 -1815), ed. by J. T. Shot - dreamed of in 1793, was about to reappear. He well (Boston 1929), with critical bibliography p. 459- 74; Lefebvre, Georges, Guyot, Raymond, and Sagnac, died under the Second Empire, more than ninety Philippe, La Révolution française (Paris 193o), with years old; at the moment of death, raising his bibliography; Tocqueville, Alexis de, L'ancien régime eyes ecstatically toward the sky, he murmured, et la Révolution (and ed. Paris 1856), tr. by John Bonner `O sun of '93, I shall then die without having (New York 1856); Sybel, Heinrich von, Geschichte again seen thy rays!' " He was no exception, der Revolutionzeit 1789 -180o, Io vols. (new ed. Stutt- gart 1897- 1900), tr. from the 3rd German ed. by this old Breton. The sun of '93 which hadW. C. Perry as History of the French Revolution, 4 illumined his youth had ill succeeded in cloaking vols. (London 1867 -69); Taine, H. A., Les origines itself behind the darkened horizon, for in his de la France contemporaine, 12 vols. (22nd ed. Paris Dart he had kept bright its undying rays. 1899), vols. iii -viii tr. by John Durand, 6 vols. (New York 1876 -94) vols.ii -iv; Sorel, Albert, L'Europe Mankind has need, in the course of its trying et la Révolution française, 8 vols. (Paris 1885 -1904); and discouraging march forward, to have its Stephens, H. M., A History of the French Revolution, illusions rekindled by the warm rays of the past./2 vols. (New York 1886 -91); Acton, J. E. E. D. A., French Revolution-Freneau 483 Lectures on the French Revolution, ed. by J. N. Figgis tion française et la psychologie des révolutions (Paris and R. V. Laurence (London 1910); Jaurès, J. L., 1912), tr. by Bernard Miall as The Psychology of Histoire socialiste de la Révolution française, 8 vols.Revolution (London 1913); Gooch, G. P., Germany (rev. ed. Paris 1922 -24); Aulard, Alphonse, Histoireand the French Revolution (London 1920); Stern, Al- politique de la Révolution française (5th ed. Paris 19o5), fred, Der Einfluss der französischen Revolution auf das tr. by Bernard Miall from the 3rd French ed. as Thedeutsche Geistesleben (Stuttgart 1928); Brown, P. A., French Revolution, 4 vols. (London 191o), Etudes et The French Revolution in English History (London leçons sur la Révolution française, vols. i -ix (Paris 1893- 1918); Fag, Bernard, L'esprit révolutionnaire en France 1924), and La Révolution française et le régime féodal et aux Etats -Unis à la fin du xvzzze siècle, Bibliothèque (Paris 1919); Mathiez, Albert, La Révolution française, de la Revue de Littérature Comparée, vol. vii (Paris 3 vols. (vol. i, 3rd ed. Paris 1928; vol. ii, 2nd ed. and 1925), tr. by Ramon Guthrie (New York 1927); Wahl, vol. iii, 1st ed. 1927), tr. by C. A. Phillips, 1 vol. (New A. E. A., Geschichte des europäischen Staatensystems York 5928), La réaction thermidorienne (Paris 1929), im Zeitalter der französischen Revolution und der Frei- tr. by C. A. Phillips as After Robespierre: the Thermi- heitskriege (1789 -1815), Handbuch der mittelalter- dorian Reaction (New York s 931), Girondins et Mon- lichen und neueren Geschichte, pt. ii (Munich 1912). tagnards (5th ed. Paris 193o), La vie chère et le mouve- ment social sous la terreur (Paris 1927), and "La Révo- FRENEAU, PHILIP MORIN (1752 -1832), lution française et la théorie de la dictature" in Revue American poet and editor. Graduating from historique, vol. clxi (1929) 304 -15; Madelin, Louis, La Princeton when it was a hotbed of radical Whig Révolution (8th ed. Paris 1922), tr. as The French Revolution (New York 1916); Kropotkin, P. A., La ideas and caught up in the revolutionary move- grande Révolution, 1789 -1793 (Paris 1909), tr. by N. F. ment, Freneau employed his poetic talents in Dryhurst as The Great French Revolution, 1789 -1793celebrating the exploits of the patriot armies, (New York 1909); Cochin, Augustin, La Révolution heartening the American public and lampoon- et la libre- pensée (Paris 1924); Marion, Marcel, Dic- ing the British. Particularly after his release tionnaire des institutions de la France aux xvzze et xvzzze siècles (Paris 1923); Cahen, Léon, and Guyot, Ray- from a British prison ship in 178o he poured mond, L'oeuvre législative de la Révolution (Paris 1 913); out a flood of verse dealing with every phase Hoffmann -Linke, E. E., Zwischen Nationalismus und of the war and driving home the doctrines of Demokratie: Gestalten der französischen Vorrevolution,the revolutionary leaders. Continuing to write Historische Zeitschrift, supplementary no. ix (Mu- nich 1927); Redslob, Robert, Die Staatstheorien derpolitical satires and joining the anti- Federalists, französischen Nationalversammlung von 1789 (Leipsic he attracted the attention of Madison. The 1912); Loewenstein, Karl, Volk und Parlament nachlatter in 1791 made an arrangement with Jeffer- der Staatstheorie der französischen Nationalversamm - son's aid by which Freneau received the post lung von 1789 (Munich 1922); Hintze, Hedwig, Staats- of translating clerk in the State Department einheit und Föderalismus im alten Frankreich und in der Revolution (Stuttgart 1928); Aster, Ernst von, Diewith the understanding that he should launch französische Revolution in der Entwicklung ihrer poli - an anti -Federalist newspaper. The resulting tischen Ideen (Leipsic 1926); Brinton, Crane, The organ, the National Gazette, undertook not only ,jacobins (New York 193o), with bibliography, p. 281-"the chastisement of the aristocratical and mo- 98; Ording, A., Le bureau de police du Comité de Salutnarchical writers" but the criticism of Wash- public,Det Norske Videnskaps -AkademiiOslo, Skriften, II Historisk -Filosofiske Klasse, no. vi (Osloington'sadministration andparticularlyof 1930); Cardenal, Louis de, La province pendant la Hamilton's share in it. Freneau dealt vigorously Révolution (Paris 1929); Rebillon, A., "Les états dewith the government's neutrality policy, de- Bretagne et les progrès de l'autonomie provinciale aufended the operations of Genet and harshly xvute siècle" in Revue historique, vol. clix (1928) 261- 90; Delaby, Raymond, Le rôle du Comité d'aliénationattacked Hamilton's financial measures. He dans la vente des biens nationaux, d'après la corre-assailed the extension of federal powers under spondance inédite du constituant Camus avec le départe- the "general welfare" clause of the constitution ment de la Côte -d'Or (Dijon 1928); L'oeuvre sociale deas a dangerous move toward centralization and la Révolution française, ed. by E. Faguet (Paris i9o1); denounced the supposed monarchical tenden- La Gorce, Pierre de, Histoire religieuse de la Révolution, 5 vols. (Paris 1912 -23); Mathiez, A., La Révolution cies of both Hamilton and John Adams. In et l'église (Paris 1910), and Rome et le clergé français October, 1793, the National Gazette ceased sous la constituante (Paris 1911); Marion, Marcel, publication. Freneau continued his contribu- Histoire financière de la France depuis 1715, vols. i -v tions to the press and in 1795 established the (Paris 1914 -28) vol. ii; Nussbaum, F. L., Commercial Policy in the French Revolution (Washington 1923);Jersey Chronicle, followed two years later by Levasseur, Émile, Histoire des classes ouvrières et de the Time -Piece and Literary Companion. These l'industrie en France de 1789 à 1870, 2 vols. (2nd ed. continued to disseminate the ideas of Jefferson, Paris 1903 -04); Kautsky, Karl, Die Klassengegensätze Paine and Rousseau and to exalt libertarian and im Zeitalter der französischen Revolution (Berlin 1923); egalitarian ideas at the expense of aristocracy Elton, Godfrey, The Revolutionary Idea in France, 1789 -1871 (London 1923); Sée, H. E., Évolution et and centralized efficiency. Although the Time - révolution (Paris 1929); Le Bon, Gustave, La Révolu- Piece was short lived, Freneau's use in it of 484 Encyclopaedia of the Social Sciences poems, skits, dialogues and epigrams was aaccurately on the basis of unquestioned princi- notable contribution to journalism. Retiring toples, inverse problems can be solved only on the his New Jersey farm in 1807 he ceased to write;basis of assumptions or criteria upon which no but before he died his poems went through fiveuniversal agreement has yet been reached, and editions. which possibly vary from one problem to the ALLAN NEVINS next. The discussion of these criteria constitutes Consult: Austin, Mary S., Philip Freneau (New Yorkthe theory of statistical estimation, to which the 1901); Forman, S. E., Political Activities of Philipchief contributions have been made by R. A. Freneau, Johns Hopkins University Studies in His-Fisher. torical and Political Science, vol. xx, nos. 9-Io (Balti- The type of frequency distribution of chief more 19oz); Paltsits, V. H., A Bibliography of the Separate and Collected Works of Philip Freneau (New interest is that of a single, sensibly continuous York 1903); Parrington, V. L., Main Currents invariable. To investigate such a variable a num- American Thought, 3 vols. (New York 1927 -30) vol. i, ber of observations are collected and arranged p. 368 -81, in the order of values which the variable assumes in each observation. It is useful to divide the FREQUENCY DISTRIBUTION. Like manyrange of the variable into definite classes, taking terms in statistics frequency distribution is usedparticular care to adopt a convention as to the in a dual sense: it refers both to a finite collection disposition of marginal and otherwise doubtful of phenomena of the same general type but vary- cases. Thus when an observation falls exactly on ing from case to case, which are tabulated andthe boundary between two classes, each of these arranged in groups, and to the properties of theclasses may be credited with one half, giving rise objective reality which give rise to such phenom- to fractional frequencies. A list of the number of ena. These two notions, whose contrast has been observations falling into each class may then be so little emphasized that much confusion hasprepared; the result is a frequency distribution resulted, are often described by the terms "sam-in the sense of a sample. An illustration of such ple" and "hypothetical infinite population."a frequency distribution is presented below. This terminology brings out the analogy with the simpler but rarer operation of sampling from GROSS PROFIT MARGINS IN RETAIL HARD- a limited population for the sake of finding out WARE STORES something about this limited population only, CLASS INTERVAL NUMBER OF not as an indication of broader tendencies. In (in percent) CASES Less than 4 3 more scientific studies any available data, even 4 to 8 IO the complete record for a whole nation, are 8 to 12 16 regarded as a mere "sample" of what the under- 12 to 16 30 lying forces might produce; and these underly- 16 to 20 20.5 ing forces, with the further samples to which 20 to 24 15.5 24 to 28 5 they may give rise, constitute the real goal of Over 28 investigation. The infinite character of the hypo- Total 100 thetical population is merely an expression of independence among the members of a sample; A frequency distribution of this sort may be in a finite population, for example of coloredtreated graphically by measuring the continuous balls in a bag, the constitution would vary in thevariable horizontally and constructing rectangles course of the sampling by reason of the removalwith areas proportional to the frequencies, yield- of some of the balls. ing a block diagram, or histogram. If the class The concept of a frequency distribution as aintervals are of unequal length it is important property of a set of conditions is identical withto observe that it is the areas and not the heights that of mathematical probability as applied eitherof the rectangles which are proportional to the to discrete classes or to one or more continuousfrequencies. The frequencies are often graphed variables. Two types of problem occur: the direct as the ordinates of points which are connected problem of finding the probability of a particularby a broken line; this type of figure is perhaps type of sample when the population is fully spec- simpler and smoother but leads to confusion ified, and the inverse problem of inferring awhen the class intervals are unequal. population from a sample. While the solution of A cumulative frequency distribution gives the a direct problem is fully determinate and maynumber or sometimes the proportion of cases be worked out by a competent mathematicianfor which the variate takes a smaller value than Freneau-Frequency Distribution 485 each value considered. It may be obtained fromparameters of values dependent on the data with an ordinary frequency distribution by writinga view to obtaining a fit which on somecriterion down the first frequency, then the sum of thewill be as good as possible; and the testing of first two, then that of the first three and so on. goodness of fit, or of agreement of observation The graph of a cumulative frequency distribu-with hypothesis. tion is called an ogive. It rises continually, or at Of the types of frequency curves which have least never falls, in passing to the right. been proposed, those of paramount importance In the foregoing illustration the frequenciesare the Gram -Charlier series and the systemof in the extreme classes are small, and as a centralKarl Pearson. The former is an infinite series, value is approached from either side the fre-of which the first term is the ordinate of a nor- quencies in the class intervals gradually increase. (x -m)2 mal distribution, y - e 2'2 This is typical of nearly all frequency distribu- o J27r tions and for a good reason. The variable ismultiplied by a constant, and the later terms are generally affected by a large number of more orthe derivatives of the first with respect to x, also less independent causes, some accidental cir-multiplied by disposable constants. Only the first cumstances tending to increase its value, othersfew terms of the series are used, their number to decrease it. The effect of each of these varying depending on the number of constants which causes may be very slight. In order that thecan be evaluated dependably by meansof the variable may have an extremely large or smalldata at hand. For distributions far removed from value it is necessary that a large number of these the normal form the convergence is slow, and fluctuating conditions shall concur in influencingthe sum of the first few terms may give negative it in the same direction, and this will seldom frequencies, which are inadmissible. happen. Pearson proposed the use of frequency curves If the class intervals chosen are so short as to obtained from the following differential equation: produce only small frequencies in each class, the dy /dx = y(x -{- a) /(b, -{- bix -{- b2x2).These truly continuous and single peaked nature of thecurves have each a single maximum, forwhich frequency distribution may be masked by thex _ - a, since the tangent becomeshorizon- irregular fluctuations associated with the smalltal only here and at the ends of the range, where frequencies. On the other hand, excessively longy = o. The form of the curvedepends on the class intervals are to be avoided because of thevalues of the constants, particularly on the real loss of information when the position within the or imaginary nature of the factors ofthe denom- groupis unknown. The larger the sample,inator. The constant of integration is determined the finer becomes the appropriate grouping. The in fixing the area under the curve, leaving four frequency distribution of the population mayparameters upon which depend the location, be depicted by a continuous curve, which maybedispersion and shape of the curve. There are, regarded as the limit of the histogram when thehowever, certain transitional types involving size of the sample is increased and the groupingfewer than four constants. The normal distri- simultaneously made finer. bution mentioned above is one of these transi- The problem of statistical estimation becomestional types, having two parameters, m and Q. in this leading case the problem of frequencyA transitional form having three parameters is curve fitting. Such fitting may be doneeitherType iii, which may be written as follows: by free hand drawing or by assigning definite values to the constants of some analytic equa- _ x m e a tion. The curve fitted by free hand drawing Y=p!a a should have as few sharp turns as possible and should enclose the same area as the graph of the In addition to continuous curves many meth- observations. Much is to be said for this method,ods of smoothing data are in use, particularly particularly in the early stages of an investiga-among actuaries, which replace observedby the- tion. Indeed, the importance of continual readyoretical frequencies in the classes originally resort to graphic methods throughout a statis-adopted, without providing analytic equations. tical study cannot be overstressed. When anA considerable number of these have been de- analytic curve or equation is to be fitted, thescribed by Whittaker and Robinson. A method procedure falls into three parts: the selection ofof difference equation graduation has been de- a type of equation, which will involvedisposablevised by H. C. Carver (in the Handbook of constants or parameters; the assignment to theseMathematical Statistics, ch. vii). 486 Encyclopaedia of the Social Sciences Other types of frequency curves may be de- Russian mathematicians A. Markov, S. Bern- rived from the Bernoulli, or binomial, distribu-stein ( "Sur l'extension du théorème limite du tion, which is a discrete distribution arisingcalcul des probabilités aux sommes de quantités directly from theory. If in independent trials,dépendantes" in Mathematische Annalen, vol. such as the tossing of a die or the spinning of axcvii, 1926 -27, p. I -59), and others. roulette wheel, the probability at each trial of a The wide use of the normal distribution in particular type of outcome, which may be calledstatistics rests upon its property as the limit of a "success," is p, then the probability of x suc-the distribution of a linear function of many cesses in n trials is [n! /x! (n - x)!] p =(I - p)n -=.variables as well as upon considerations of con- When the number of trials increases indefinitely,venience in mathematical operations. It is par- the binomial distribution approaches the normalticularly to be noted that the arithmetic mean is form in the sense that, putting t = (x- np)/a linear function, and that consequently the Ainp(I- p), the probability that t lies betweenmean of a number of values from any distribu- ti and t2 approaches tion will usually have a distribution more nearly I - ¿2 normal than the original. Hence the mean of the jt,ez dt. squares or of the powers of any order of n ran- dom values of an arbitrary variable will have a The significance of t will become clearer if it is distribution very close to the normal form when realized that in a binomial distribution the mean n is large. value (corresponding to m in the equation of the When the type of distribution to be fitted to normal curve above) equals np and the standard empirical data has been chosen, the determina- deviation equals .Vnp(I -p). This expressiontion of the parameters presents the next prob- for the probability integral, usually ascribed tolem. The method of fitting advocated by Karl Laplace or Gauss, seems to have been obtainedPearson for his curves, which was also adopted by A. de Moivre in 1733 by the Scandinavian mathematicians who devel- Another limiting form of the binomial distri-oped the Gram -Charlier series, is the method of bution arises when there are many opportunitiesmoments. This term, like frequency distribu- for a very improbable event to occur. If p ap-tion, is used in a dual sense. The kth moment proaches zero at the same time that n increases,of a sample is the arithmetic mean of the kth in such a way that their product retains a fixedpowers of the observed values. The hth moment value m, the successive terms of the binomial of a hypothetical infinite population is the math- approach e -m, me -m, m2e -m /2!, .... This is theematical expectation of the kth power of the Poisson distribution. A soldier is not likely to be variable studied; that is, the sum or integral of killed in a given year by the kick of a horse, butthe products of the probabilities of particular there are many soldiers in an army corps; con-values by the kth powers of these values. In sequently Bortkiewicz was able to show that tendetermining, say, four parameters the method of Prussian army corps, whose records for twentymoments consists in equating the moments of years constituted zoo trials, supplied for theorders 1, 2, 3 and 4 of the sample to the corre- numbers o, 1, 2, 3 and 4 of soldiers killed in thissponding moments of the theoretical population, way frequencies approximately proportional tothus obtaining four equations for evaluating the the terms of a Poisson distribution (Das Gesetz four unknowns. Since the distribution of means der kleinen Zahlen, Leipsic 1898). is likely to be much closer to the normal than The normal distribution, often called thethe original distribution, the distribution of sam- Gaussian law of error, will be approximated byple moments is for large samples approximately a variable which is a linear function of a largenormal. Hence the probable error of a moment number of independent quantities, all makingmay be given the usual interpretation of a prob- approximately equal contributions to its varia-able error, provided the sample is moderately tion. It is this property which gives the normallarge. distribution its chief importance, since most fre- R. A. Fisher has proposed the method of quency distributions encountered in practisemaximum likelihood for fitting curves. The con- represent the resultants of large numbers ofcept underlying this method is that of the likeli- more or less independent causes. Extensions ofhood of a particular set of values of the param- the derivation of the normal distribution to caseseters of the infinite population on the basis of in which the contributory variables are not en-the given sample. It is defined by Fisher as any tirely independent have been discussed by thequantity proportional to the probability of Db- Frequency Distribution 487 taming exactly the sample which has been ob-xxxii, 1930, p. 847-59). In such cases the method tained on the assumption that the values whichof maximum likelihood has the maximum pos- have been assigned to the parameters are thesible efficiency. The amount of information is true ones. Likelihood is a measure of degree ofmeasured by the mathematical expectation of rational belief but is distinct from mathematical(SL /8m)2, where L denotes the logarithm of the probability and is not subject to its laws. Inlikelihood and na the parameter. In a consider- particular, likelihood is not to be multiplied byable class of cases the reciprocal of this expecta- the differential of the parameter and integrated,tion approximates for large samples the variance as has been done with inverseprobability. of the optimum estimate. For determining the mean m and variance 62 The propositions regarding the efficiency and of a normal distribution the method of momentsamount of information of the method of maxi- and the method of maximum likelihood give the mum likelihood have not been proved valid ex- same result. In other cases the estimateobtainedcept in the limit for large samples, and even by maximum likelihood has a smaller probablethere the proofs are possibly vulnerable from error than that by moments. Fordeterminingthe standpoint of strict mathematical rigor. How the parameter m which fixes the location of afar the theorems are dependable in dealing with Pearson Type ni curve, for example, the vari-small samples is still a matter of guesswork. ance is a2(p - i)/n when the methodof maxi-Moreover, for the location of discontinuous dis- mum likelihood is used with a sample of alargetributions the theorems on maximum likelihood number of observations and a2(p -}- t) /n whenare not applicable. Nevertheless, a review of the the method of moments is used. Thus increased proofs which have been given suggests strongly accuracy, which is measured by diminishedvari- that for the samples ordinarily dealt with the ance, may be obtained either byincreasing themethod of maximum likelihood has a marked size of the sample when the method of momentsadvantage in accuracy. The method is applicable is used or by resorting to the more accuratenot only to the fitting of continuous curves but method of calculation by the method of maxi-also to discontinuous distributions of many sorts mum likelihood. In fitting a Type tri curveforand to the joint distributions of several variables. which p = 2, for example, a degree of accuracy After values have been assigned to parameters in location obtainable by the method of maxi-the goodness of fit must be tested. The best mum likelihood with IOQ casesrequires 300known method of testing is that devised by cases when the method of momentsis used.Pearson. Consider a population with a grouping Against this advantage must be set a greaterinto k classes, with probabilities p1, p2, ... , ph labor in calculation, since the equations are not,of an individual falling into the several classes. like those involving moments, linear. For a sample of N the most probable numbers In connection with the method of maximumto be expected are Np1, Np2, ... , Npk; let these likelihood Fisher developed the concept of theexpected numbers be denoted by ml, m2, . , efficiency of a method of curve fitting -the ex-mk. If in an actual sample of N thenumbers tent of utilization of the total information in theobserved to fall into the several classes are m1', sample regarding the value of the parameter -m,', . ,m,', an appropriate measure of the and of the amount of information in the sample k (m.- )2 total discrepancy is x2 - E 1 . relevant to the value of the parameter. Efficiency a.1 m; is measured by the ratio of variances of the values of a parameter obtained by differentPearson showed that if the frequencies in all methods. Fisher has given a proof, applicableclasses are large enough to permit the replace-. in the limit to large samples, that if the optimumment of the binomial by the normal distribution, estimate (i.e. that obtained by maximum likeli-the probability of any value x being exceeded hood) has a normal distribution, its variance is by chance is less than that of any other normally distributed f')Xn-1 e ixa dX estimate of the same parameter. It appears likely that with increasing size of sample the distribu- P= tion of optimum estimates approaches normality Xn-1 e#xE dX for a rather wide class of parameters (see Hotel - Jo ling, Harold, "The Consistency and Ultimatewhere n = k - r. As x increases P declines. Distribution of Optimum Statistics" in Ameri-When P is very small the frequency curve fitted can Mathematical Society, Transactions,vol, must be rejected. 488 Encyclopaedia of the Social Sciences This method directly applies only to the rela- (ad -{-bc)2(a-}-b-{-c+d) tively unusual cases in which the exact propor-have the value(a+b)(c +d)(a +c)(b +d)' tions among the expected numbers in the several classes are specified completely on the basis ofwhere a, b, c and d stand for the observed fre- a theory which does not depend at all upon thequencies. Since only one cell may be filled in sample. Commonly there are disposable con-arbitrarily without conflicting with the marginal stants, and the "expected" frequencies are there-totals, the value used for n is i. Lexis' method fore to some extent dependent upon the obser-for testing homogeneity among different dis- vations. R. A. Fisher has shown that the x2 testtricts of sex ratio of births and similar variables is applicable in this case, at least as an approxi-is really a special case of the use of contingency mation, but that the value of n must be dimin-tables. An immense variety of comparisons im- ished by the number of constants determinedportant in the social sciences may be made in from the data. Thus if a normal distribution isthis way. fitted to the table of profit percentages of retail Apart from the general problem of testing the hardware stores given above, which has 8 classes,goodness of fit of a frequency curve, it is of the value of n to be used in finding P is 5; forconstant importance to compare samples with the normal distribution involves as parameterseach other and with theory in particular respects the mean and the standard deviation in additioncorresponding to the values of particular param- to the total number N, and all three of theseeters of distributions. Chief among these com- quantities are determined from the observations.parisons is that of central values, of which the In this modified form the x2 test may bearithmetic mean is the most important for nor- applied to a great variety of problems, includingmal distributions. For the arithmetic mean of a that of testing whether two samples grouped insample xl, ... , xN from a normal distribution a particular manner may reasonably be consid-the variance is that of the population, divided by ered to have been drawn from the same unspeci-N. Since the variance of the population is usu- fied population. In this connection a contingency ally not known, it is estimated from the sample table is used; that is, an array in rows and col-by the expression(xi - x)2 /(N - 1), where umns of cells in which observed frequencies are is the mean of the sample. The possible devia- entered. The division into rows represents ation of x from the true mean of the population classification according to one property and thataccounts for the use of N - i instead of N in into columns according to another. If the twothe denominator. To test the significance of the modes of classification are independent, thedeviation of the mean from a hypothetical value probability of falling into any cell is the productthis deviation is divided by the estimated stand- of a number pertaining to its row by a numberard error of the mean (square root of the vari- pertaining to its column. When the observedance); if the sample is very large, the result of marginal totals are distributed among the cellsthis division may be considered approximately in a proportional manner, the result is a set ofnormal in distribution, and tables of the normal hypothetical frequencies which may be com-probability integral applied. But for small sam- pared with the actually observed frequencies byples this would be inaccurate; the correct dis- means of x2 to test the hypothesis of independ-tribution was discovered in 1908 by "Student" ence. If there are r rows and c columns, theand proved rigorously correct by Fisher, who number of degrees of freedom, or n, to be used ishas shown how the use of Student's distribution (r - 1) (c - i). In general n is to be taken asmay be extended to a large variety of other the number of cells which can be filled in arbi-statistical tests, including the comparison of two trarily without conflicting with the marginalsample means and of least square solutions. totals. A particularly important case is the dou- Measures of dispersion are second in impor- ble dichotomy into a fourfold table. Thus iftance to those of central value. That most com- persons are classified roughly as rich or poor andmonly used is the standard deviation, whose also as black or white, the numbers in an ob-square, the variance, may be estimated by means served sample may be represented in a table ofof the preceding formula. Very often N is used the following form: instead of N - 1 in the denominator, but this Rich Poor tends to bias the estimate in the direction of White a b making it too small. Other common measures Black c d of dispersion are the mean deviation, the arith- x2 in this case may be shown algebraically tometic mean of the absolute values of the devia- Frequency Distribution - Fréron 489 tions from the mean, and the semi -interquartileHe would have contributed more to the progress deviation. The last is defined by means of theof ancient history if his work had not remained quartiles -the values of the variable, of whichin part unpublished; even today the Académie one is just greater than the leastfourth of thedes Inscriptions possesses unpublished memoirs cases and the other is just lessthan the largestof Fréret. His memory suffered through a singu- fourth. lar fraud: philosophers (the real culprit appears HAROLD HOTELLING to have been Naigeon) issued under his name from 1766 to 1776 some anti -Christian works See: STATISTICS; PROBABILITY; AVERAGES; CURVE FIT- TING. which gave him a posthumous celebrity he had Consult: Fisher, R. A., "On the Mathematical Foun- not desired. dations of Theoretical Statistics" in Royal Society of ANDRÉ PIGANIOL London, Philosophical Transactions, ser. A, vol. ccxxii Works: Oeuvres complètes, ed. by N. LeClerc de Sept - (1921 -22) 309 -68, and "Theory of Statistical Estima- chênes, 20 vols. (new ed. Paris 1799), incomplete and tion" in Cambridge Philosophical Society, Proceed- containing some apocryphal works; Oeuvres complètes, ings, vcl. xxii (1923 -25) 700 -25, and Statistical Meth- ed. by J. J. Champollion- Figeac, of which only one ods for Research Workers (3rd ed. Edinburgh 193o); volume was published (Paris 1825). Elderton, W. P., Frequency Curves and Correlation Consult: "Rapport ... au sujet de la publication des (and ed. London 1927); Whittaker, E. T., and Robin- manuscrits inédits de Fréret ... " in Académie des son, G., The Calculus of Observations(London 1924) ch. viii; Handbook of Mathematical Statistics, ed. by Inscriptions et Belles- Lettres, Mémoirs, vol. xvi, pt. i (1850) 253-329; Bougainville, J. P. de, in Académie H. L. Rietz (Boston 1924) chs. ii, v -vii. des Inscriptions et Belles- Lettres, Histoire, vol. xxiii (1756) 314 -37; Maury, L. F. A., Les académies d'autre- FRÉRET, NICOLAS (1688 -1749), French his-fois: l'ancienne Académie des Inscriptions et Belles - torian. Fréret was a pupil of Rollin and protégé Lettres (2nd ed. Paris 1864); Flint, R., Historical of the count of Boulainvilliers. He was made a Philosophy in France and French Belgium and Switzer- member of the Académie des Inscriptions in land (New York 1894) P. 246-49. 1714; he published most of hisworks in the proceedings of this society and became its per-FRÉRON, ÉLIE CATHERINE (1718 -76), manent secretary in 1743. His studies, theim-French journalist. Fréron was born at Quimper portance of which was not recognized duringof a humble family of goldsmiths and was edu- the first part of the nineteenth century, antici-cated at the Collège Louis -le- Grand. For a time pated the results reached by the scholarship ofhe taught in the same school until literary ambi- recent times. His first memoir, De l'origine destions impelled him to abandon both the priest- français (1714), in which he developed the viewhood and teaching. He became a journalist, that the Franks penetrated into Gaul throughpublished various studies in Abbé Desfontaine's peaceful agreements with the emperors rathercollection and eventually launched a literary re- than through conquest, is very similar to theview which from 1754 on was known as the theory later made famous by Fustel de Cou-Année littéraire. Not only was the Année litté- langes. He devoted a large number of works toraire from 1754 until Fréron's death the most ancient chronology and to the metrology andvigorous and best written review of its kind in geography of the ancient world. He founded the France but it became the prototype of French scientific study of mythology, basing it on aliterary journalism and inaugurated the modern comparative and systematic study of the stagestype of French literary criticism. In a century through which the various myths passed beforeavid for gossip and anecdote Fréron had the they were recorded by historians. With the aidcourage to introduce a journal serious in ap- of Galland and especially of manuscript worksproach and encyclopaedic in the breadth of its of the Jesuits he even ventured to study theinterests. This journal he used as a medium for language, chronology and poetry of the Chinese.the defense of traditionalist ideas against the His last works treated of the most ancient peoplesphilosophes and the encyclopédistes. Voltaire was of Europe and their migrations; he endeavoredthe particular victim of his attack; and for years to make use of Iinguistics and possiblyglimpsed the two engaged in polemics in which the great the unity of the Indo- European languages.poet seems to have displayed less dignity than Fréret almost entirely neglected epigraphy andhis adversary. In general a reactionary, "re- archaeology but his works are remarkable forspecting religion, morality, the state and his their display of vast erudition, for the carefulsuperiors," Fréron was not entirely lacking in chronological classification of sources and forconstructive ideas. He conceived of a social and the emphasis upon the scientific study of origins. political reform which should consist not in 490 Encyclopaedia of the Social Sciences extending high powers to selected members ofelection as senator from Paris. As minister of the bourgeoisie --as the encyclopédistes wouldpublic works in 1877 he carried through the have wished -but in ameliorating the conditionFreycinet plan, which created a state system of of the artisan and peasant classes. Education,canals and harbors to serve the entire country redistribution of taxes, abolition of the corvéeand of railroads for the less developed districts and of internal customs, improvement and free-of western France to supplement the systems of dom of the arteries of communication, removalprivate companies. This program, subsidized by of the tyranny of the guilds, were elements inthe state on the one hand and the local depart- his program. After 1765 Fréron's success suf-ments and communes on the other, was brought fered a gradual eclipse. When in 1776 the gov-to a successful conclusion. Freycinet now be- ernment finally acceded to the persistent en-came minister of foreign affairs and devoted treaties of his enemies and suspended his review himself to the solution of two important prob- the blow killed him within a few hours. lems, the relations with Great Britain in con- His only son, Stanislas- Louis -Marie (1754 -nection with Egypt and the relations with Russia. 18o2), politician and journalist, left the CollègeHe attempted in various ways to bring about Louis -le -Grand six months after his father'sEngland's evacuation of Egypt but without suc- death and continued the Année littéraire for sev- cess. Disturbed by Bismarck's resignation and eral years. In 1789 he suddenly assumed thethe possible schemes of William it, he made attitude of a violent revolutionist. In May ofsecret overtures to Russia and finally in 1890 the following year he founded the Orateur duand 1891 concluded with it an alliance, which peuple (1790 -92; 1794-95), one of the most ex-he strengthened three years later by a defensive treme revolutionary newspapers ever to appearmilitary convention between the two countries. in France. Fréron, who introduced the use ofMeanwhile Freycinet had become minister of headlines, had journalistic talents of the firstwar, which post he held from 1888 to 1893. He order. He possessed to a high degree the art ofput through the military law of 1889, which inflaming the masses, but with this he failed toreduced the barrack service for the active army combine either any real sympathy for them orfrom five years to three. Besides the active army any rational program for their relief. His politi-he developed the reserves, which formed dis- cal record is one of opportunistic vacillation. In tinct regiments, and completely organized the the Orateur du peuple he was one of the first toheadquarters staff. Freycinet was four times attack the king and as a member of the Moun-president of the council -in 1879, 1882, 1886 tain he conducted with Barras a terrorist cam-and 189o. His candidature for the presidency paign of unexcelled violence in Toulon andof the republic in 1887 was unsuccessful. Al- Marseille; returning to Paris in January of 1794though after 1893 he became less and less active he joined the anti -Robespierrists and helped tobecause of his age, he still remained chairman organize the events of the tenth of Thermidor,of the army committee in the Senate and became after which he appeared as a moderate and aminister again for a short time during the World leader of the jeunesse dorée. Eventually he of-War. Freycinet wielded great power in parlia- fered his allegiance to Napoleon, who in orderment: his ability as a speaker, his uprightness, to be rid of him sent him as subprefect to Sanhis capacity for work, his organizing genius, Domingo, where he soon died. made him a statesman of the first rank, although BERNARD FA he has at times been reproached for a lack of Consult: Cornou, F., Élie Fréron (Paris 1922); Dudon, energy. P., "Fréron et Voltaire" in Études, vol. clxxi (1922) GEORGES WEILL 567 -83; Chauvin, P., "Un journaliste au xvn1e siècle" Works: Souvenirs, 1848 -1878 (Paris 191i); Souvenirs, in Revue des Pyrénées, vol. xvii (1905) 46 -74; Green, 1878 -1893 (Paris 1913). F. C., Eighteenth Century France (London 1929) p. 111-54; Arnaud, R., Le fils de Fréron (Paris 1909); Consult: Schefer, C., D'une guerre et l'autre (Paris Kuscinski, A., Dictionnaire des Conventionnels (Paris 192o) p. 74 -97, 128 -75; Der Nationalismus im Leben der dritten Republik, ed. by J. Kühn (Berlin 192o) p. 1919) P. 273 -75. 22 -38; Welschinger, H., "Les souvenirs de M. de Freycinet" in Revue des deux mondes, vol. xxii (1914) FREYCINET, CHARLES DE (1828 -1923), 313 -41. French statesman. During the war of 1870 Frey - cinet's aid was enlisted by Gambetta in theFREYTAG, GUSTAV (1816 -95), German his- organization of the national defense, but historian and litterateur. Freytag was born in Sile- political career really began in 1876 with hissia and began his career as a poet and dramatist. Fréron-Frick 491 The Revolution of 1848 turned his attention toVermischte Aufsätze, ed. by Ernst Elster, 2 vols. politics and in July of that year he assumed with (Leipsic 1901 -03). Julian Schmidt the direction of the Grenzboten, Consult: Lindau, H., Gustav Freytag (Leipsic 1907); which became the leading liberal journal in Ger- Classe, K., Gustav Freytag alspolitischer Dichter(Hil- desheim 1914); Ostwald, P., "Gustav Freytag als Po- many. In 1870 Freytag severed his connectionslitiker" inWestermanns Monatshefte,vol.cxxxviii with this paper and until 1873 contributed regu- (1925) 253 -59; Schridde, G., Gustav Freytags Kultur - larly to Im neuen Reich. Although between 1848 und Geschichtspsychologie (Leipsic 191o); Bieber, H., and 187o he was one of the leaders of the Ger- Der Kampf um die Tradition (Stuttgart 1928) p. 46o -68. man liberals his parliamentary career was limited to but one term as a member of the ReichstagFRICK, HENRY CLAY (1849 -1919), Ameri- of the North German Confederation in 1867. can capitalist. Frick correctly estimated the im- In the development of German nationalistportance of the coking process, started a small ideology Freytag occupies a place midway be-coke business, which expanded rapidly, and early tween the humanitarian and cultural nationalism set out to secure strategically located coal lands. of Herder and the realistic political nationalismHe was aided by funds from his mother's family, of Bismarck. He had a clearly defined conceptthe Overholts, who were prominent distillers, of nationality as an organic unit with com-as well as by extensive borrowings, especially mon language, traditions and customs and pos-from the Mellon bank of Pittsburgh. sessed of a folk character which remains fairly During the panic of 1873 he bought the in- constant and continuous throughout the ages.terests of distressed partners and competitors. The bourgeoisie, however, is the mainstay of theThe much expanded and reorganized H. C. national state; it is its most healthy element andFrick Coke Company improved itsalready the bearer of all progress, culture and civiliza-favorable position by the sale of its majority tion. In his dramatic work, Die Journalistenstock to the Carnegie interests in 1882 -83. (Leipsic 1854), concerned with the life of theExcept for a period of six months in 1887 Frick bourgeois journalists, in his Soll and Haben (3 continued as manager of the coke company until vols., Leipsic 1855), concerned with the mer- in January, 1889, he was taken into full partner- chant class, and in his Die verlorene Handschrift ship with Andrew Carnegie as chairman of (3 vols., Leipsic 1864), dealing with the learnedCarnegie Brothers and Company (later the classes, Freytag extolled the virtues and made Carnegie Steel Company). himself the champion of the German bourgeoisie. Frick was instrumental in establishing the It was this essentially middle class liberalismanti -union policy of the Carnegie partners. In which made him a bitter opponent of the reac- 1890 he annihilated the union in the coke fields tionary absolutist tendencies of the nobility onand in 1892 with Carnegie's approval directed the one hand and the radical democratic tend-the anti -union policy which brought on open encies of the revolutionary tradition on the other. warfare at Homestead. This strike started on He was a strong advocate of German unificationJuly 1, 1892. Six days later 300 imported Pinker- under the hegemony of Prussia with the exclu-ton detectives, brought up the Ohio on barges, sion of Austria and made this the corner stoneclashed with the unionists. After a bloody battle of the program of the Grenzboten. His deep the detectives were escorted from town. On July seated liberalism, however, led him to oppose 23, Alexander Berkman, an anarchist, attempted the policies of Bismarck in both Prussia and theunsuccessfully toassassinateFrick. By fall empire. hunger, dissension and the repressive action of As a historian Freytag is most famous for his about 8000 Pennsylvania guardsmen had broken Bilder aus der deutschen Vergangenheit (4 vols.,the strike. Leipsic 1859 -67). It is one of the most impor- Expansion of the Carnegie holdings was rapid tant of the earlier types of Kulturgeschichte andunder Frick's policy of integration, the company aims at giving an intimate picture of German acquiring plants, large one deposits in the Mesabi social and cultural development from the earliestRange and essential transportation lines, often in times to Freytag's own day. The popular stylespite of Carnegie's objections. Frequent per- of this book with its nationalist coloring gave itsonal disputes between Frick and Carnegie came a tremendous appeal and made it one of the mostto a climax in 1899 with the latter's forced resig- popular household books in Germany. nation and bitterlitigation. A compromise KOPPEL S. PINSON agreement gave Frick about $31,000,000 of stock Works: Gesammelte Werke, 22 vols. (Leipsic 1887 -88); and bonds in the newly organized Carnegie 492 Encyclopaedia of the Social Sciences company. In 1901 this company was taken into mus, Zurich 1916); Die moderne Friedensbewegung the United States Steel Corporation, of which (Leipsic 1907); Das internationale Leben der Gegenwart ( Leipsic 1908). Frick became a director. Business ventures with Consult: Alfred H. Fried, ed. by R. Goldscheid (Leip- Andrew Mellon, large railway investments and sic 5922); Kitchin, Darcy B., "Pacifist Portraits: Herr participation in the International Banking Cor- Fried" in New Europe, vol. ii (1917) 244 -48. poration were the chief features in Frick's later life. At his death most of his fortune of $50,000, -FRIEDBERG, EMIL ALBERT (1837- 19x0), 000 went to art museums and for other publicGerman jurist. Friedberg taught successively at uses. Halle, Freiburg and Leipsic, and acquired a COLSTON E. WARNE reputation as a canonist. It was Hinschius who Consult: Harvey, G. B. M., Henry Clay Frick, the Man awakened his interest in ecclesiastical law, and (New York 1928); Autobiography of Andrew Carnegie, he turned to the problems arising from the ed. by J. C. Van Dyke (Boston 1920) ch. xvi; Perlman, increased legal demands made upon the state by Selig, A History of Trade Unionism in the Unitedthe Catholic church in the Europe of the middle States (New York 5922) p. 132 -35. of the nineteenth century. An adherent of the historical school, like Eichhorn and like his FRIED, ALFRED HERMANN (1864- 1921),teacher, A. L. Richter, Friedberg was the first Austrian pacifist. Fried was the son of an Aus- to distinguish the purely juristic from the dog- trian radical and an Italian countess. He studied matic aspects in the historic materials of the philosophy, practised law and held a post in the canon law, to strip ecclesiastical jurisprudence Austrian diplomatic service. In more than sev- of its romantic and mystic veils and to transform enty pamphlets and books and two thousandit into something approaching his ideal of a newspaper articles he enthusiastically advocatedpurely juristic science. In his many articles in international peace, warned of the approach of anarchythe period from 1869 to 1876 dealing with the a world war as the result of international problems of the relation of church and state in and reproached European intellectuals for their the Middle Ages and also with civil and eccle- militarism and nationalism. From 1899 on he siastical marriage Friedberg discovered the ju- worked chiefly through his monthly, the Frie- ridical foundations of ecclesiastical rights, at the denswarte, published in Leipsic until 1914, when he transferred it to Zurich as the Blätter fürsame time, however, stressing their limitations and proving himself a scholarly champion of the internationale Verständigung and zwischenstaat-positive rights of the state against the church. liche Organisation. In 1912 he published a book His keen, clear, objective judgments, based upon (Der Kaiser and der Weltfrieden, Berlin 191o,a profound scholarship, even influenced the re- znd ed. Zurich 2918; English translation Lon- ligious policy of the German government of his don 1912) which condemned the mutual sus-time. He turned to new tasks after the conflict piciousness of European diplomats and arguedbetween the Catholic church and state in Ger- that the kaiser had only pacific intentions. Inmany, particularly as it concerned Prussia, had 192o he attacked the forced peace of Versailles been settled. He published his famous edition in Der Weltprotest gegen den Versailler Frieden. of the Corpus juris canonici (2 vols., Leipsic He strongly influenced the study of international 1879 -81), in which he provided a critical com- law in Germany and such scholars as Heinrichmentary on the texts of the laws then in force in Lammasch, Walther Schucking and Hans Weh- the Catholic church. He also collected the con- berg. He sought to secure peace through organi-stitutional laws of the Protestant state churches zation; starting from ethical conceptions he con-in Germany as a preliminary to treating their tributed to the development of pacifist thoughtconstitutions systematically. Of his works the with his advocacy of international judicial or- classic Lehrbuch des katholischen and evangelischen ganization depending upon increasingly perfectKirchenrechts had the greatest circulation;it international cooperation based on economicwent through six editions and was translated realities. In 1911 he was awarded the Nobelinto Italian, extending Friedberg's influence far Peace Prize, in 1913 an honorary degree by thebeyond the borders of Germany. The distin- University of Leyden. guished Italian school of canonists was founded WALTHER SCHUCKING by his pupils. Important works: Handbuch der Friedensbewegung (Vi- GOTTFRIED LANGER enna 1905; 2nd ed., 2 vols., Leipsic 1911); Die Grund- lagen des revolutionären Pacifismus (Tübingen 5908;Important works: Das Veto der Regierungen bei Bi- 2nd ed. with title Grundlagen des ursächlichen Pazifis- schofswählen (Halle 5869); Die Geschichte der Civilehe Frick- Friedlander (Berlir 493 ed. Berlin 1877); Sammlung der history of Homeric criticism from Aktenstücke zum ersten vaticanischenConcil (Tübingen F. A. Wolf 1872); Die Gränzen zwischen Staatund Kirche und die to G. Grote. Under the influence ofMommsen Garantieen gegen deren. Verletzung,3 vols. (Tübingen and the Kulturgeschichte of W. H. 1872); Das geltende Verfassungsrecht Riehl, Gustav der evangelischen Freytag and Jacob Burckhardt hebegan to de- Landeskirchen in Deutschland und Österreich(Leipsic vote all his energies to his life work, 1888); Lehrbuch des katholischenund evangelischen Darstel- Kirchenrechts (Leipzig 1879, 6th ed.19o9). lungen aus der SittengeschichteRoms (3 vols. Leipsic 1862 -71, loth ed. Consult: Sehling, E., in DeutscheZeitschrift für Kir- 4 vols. 1921-23; tr. chenrecht, vol. xx (1910) i -viii. from 4th German ed. by L.A. Magnus and J. H. Freese as Roman Lifeand Manners under the Early Empire, FRIEDJUNG, HEINRICH (1851-1920), Aus- 4 vols., London 1908 -13), which is one of the best known trian historian and publicist.Friedjung was born studies of the in Moravia ofa Jewish merchant family. HeRoman imperial epoch. Fromconstantly accu- studied at the universities ofPrague, Berlin andmulating material, which he alwaysworked over Vienna and taught in theHandelsakademie inanew and elucidated by various parallelsfrom Vienna from 1873 to 1879. Inhis Der Ausgleichthe Middle Ages and moderntimes, he made mit Ungarn (Leipsic 1877)Friedjung sharplyexceedingly interesting and universallyintelli- criticized the constitutionalagreement of 1867gible portrayals seeking toset forth as a whole which, he held, tore Austriain two; he was as athe time from Augustus to Commodus,covering result dismissed from hisacademic position.the civilization of two hundredyears of Roman Friedjung's work, bothas historian and asimperial history. He venturedto treat so long a politician, was characterized bya strong empha-period as a unit because hemaintained that in sis on the politicalstate; a highly developedRome the stability of thecivilization was greater German national feeling, withthe belief in thethan in the modern period,that there human enduring community of interestbetween Aus-life was more intimately boundup with nature tria and Germany; anda moderate form ofthan in the north and, finally,that since his- centralized liberalism. In 188o hecollaboratedtorical transmission is not alwayssufficient and in the formulation ofa program for the organiza-often but scanty it lets finerdistinctions escape tion of the German Volksparteiand in 1882 withthrough its meshes. Friedländersought to avoid Schönerer, Viktor Adler andPernerstorfer heall subjectivity and to describethe facts of the drafted the Linzer Programmwhich called forvarious forms of life ina realistic and objective the closest union with theGerman Empire. Hemanner. The colorful life of the city ofRome, edited the Deutsche. Wochenschriftfrom 1883 tothe imperial court, the classes,society, the life 1886 and for nine months in1886 -87 the organof women, travel andcommunications, drama of the German Volkspartei,the Deutsche Zeitung. and music, literature andluxury, arts and reli- As a result of attacks byfellow members of hisgion, philosophy and the beliefin immortality, party, because of his race, hewas forced toas well as many minor features andoddities of give up his position. life, are surveyed with keeninsight; he paints the condition rather than VIKTOR BIBL the development, the actual antiquarian facts rather Important works: Kaiser Karl than the deepest 1v. und sein Antheil am intellectual grounds. Friedländer geistigen Leben seiner Zeit (Vienna1886); Der Kampf did not aim um die Vorherrschaft in Deutschland,z vols. (Stuttgartto write a profound systematichistory of the 1897 -98, loth ed. 1916 -17); Oesterreichvon 1848 bis civilization of Rome and its empire;but his work 186o, 2 vols. (Stuttgart 1908 -12), unfinished; His- presents pictures from the life of Romeand its torische Aufsätze (Stuttgart 1919);Das Zeitalter des empire which make Rome Imperialismus 1884 -1914, completedand edited by seem so near and yet A. F. Pribam, 3 vols. (Berlin1919 -22). so glorious that the work achievedimmense popularity, was translated into Consult: Srbik, H. von, inDeutsches biographisches many languages Jahrbuch, vol. ii (Berlin 1928) and strongly influenced theconception of Rome p. 535 -45. of the last generation. FRIEDLÄNDER, LUDWIG(1824-1909), WILHELM WEBER German historian. Friedländer Consult: Ludwich, Arthur, inBiographisches Jahrbuch studied with Lo-für die Altertumswissenschaft, beck, Lehrs and Hermannand taught at the vol. xliii (1911) 1 -24. University of Königsberg from 1847 to 1892.FRIEDLÄNDER, MAX He devoted his attentionat this time to studies (1829 -72), Austrian journalist A member of thesame Jewish family on Homer and the Homeric scholia andon the as Ferdinand Lassalle, Friedländerwas a leading 494 Encyclopaedia of the Social Sciences publicist of the young "Forty -eighters"in however, will be found in t,__ _ igious Germany. After working on a liberal Germanguilds, which were formed for social and secular daily, the Breslau Oder, in 185o he went toas well as devotional purposes. Between the Vienna and became a leading contributor to theeighth and tenth centuries not only was the Presse,the foremost liberal Austriandaily. organization of the guilds completed and widely When in the fall of 1864 reactionary moves toextended among the Anglo- Saxons but they curtail the freedom of the press as guaranteed bywere formally recognized in legislation.Still the constitution frightened the publisher of themore directly the friendly society can claim de- Presse, Friedländer with Michael Etienne andscent from the craft guilds, which gained their Adolphe Werthner launched the Neue freiegreatest influence four or five centuries later. It Presse, which advocated constitutional liberties is possible that no definite gap occurred between and German preponderance in Austria. the English guilds, of which the last known As editor in chief of the new paper Fried -survived until r65o, and their offspring, and länder led a vigorous fight against the Belcredi that friendly societies simply carried on the work cabinet which suspended the constitution. Theof the guilds after the old foundations had been liberalparty rallied around the Neue freieconfiscated by Henry vimm. The earliest known Presse, which, expressing the liberal philosophysociety in Great Britain still exists in an incor- of the upper bourgeoisie, fought both reactionporation of carters founded at Leith in 1555 and really radical trends. Friedländer defendedOther Scottish societies go back to 1634 and Austrian centralization, in which lay the germ of 16L3. Daniel Defoe in the preface to his Essay dissolution of the Austrian monarchy,--againstupon Projects (1697) speaks of "friendly socie- the idea of federalism advocated by Adolfties" as being at that time "very extensive." Fischhof. Eden, who traveled through England between Friedländer's chief interest was not political,1795 and 1797 inquiringinto the condition of however, but journalistic. His was the firstthe poor, found in the north "clubs of this kind modern European journal of opinion and thewhich have existed above an hundred years." leading literary and economic paper of theSeveral small societies established by the Hu- world. He introducedthefeuilleton,thatguenot silk weavers who settled in Spitalfields specifically Viennese production which won hislate in the seventeenth century are known to paper great popularity and influence. This typehave been successful. of popular light articles about grave matters or The friendly societies were an outgrowth of grave articles about nothing in particularlaterthe times, which were hard for the working pop- degenerated into mannerism, and even theulation, still predominantly agricultural. Since political and economic articles of the Neue freie the reign of Elizabeth the civil authorities had Presse became glossy and velvety, attuned to the granted poor relief to the destitute. But those mood of a decadent and reactionary country.in a position to help themselves eagerly adopted With the break up of the Austrian Empire thethe idea of mutual aid in providing for emer- Neue freie Presse lost all but its local importance gencies. Local clubs were encouraged by two and became distinctly less liberal than it wastypes of sponsors: the gentry, who partly through under Friedländer. public spirit and partly with an eye to keeping A. CORALNIK down the poor rate became honorary members Consult: Zenker, E. V., Geschichte derournalistik in and guiding spirits in many a rural club; and Osterreich (Vienna 1900) p. 66 -67. the public house keepers, who profited from the numerous friendly societies, whose members FRIENDLY SOCIETIES. Mutual aid in pro-often spent freely on drinks instead of paying viding against the commoner risks of life -sick- rent for a meeting place. ness, invalidism, death -took the form in Great As the industrial revolution hastened the Britain of friendly societies. These societies cangrowth of towns and separated the workman claim a long lineage. In ancient Greece andfrom his native parish, which owed him support, Rome there existed clubs and unions of artisansfriendly societies multiplied, especially in the and other workers whose purpose was to pro-flourishing north. The clubs were small, often mote good fellowship among their associatesbeing limited to from sixty -one to one hundred and to assure them material help in time of needand one members, attracted as much by the and eventually decorous burial. The true proto-fellowship as by the protection afforded. Annual type of the modern English friendly society,feasts were held in addition to the monthly Friedländer-Friendly Societies 495 meetings. Eden with surprising insight for thatsizing their benefit features trade clubs contin- time pointed out that the women's clubs wouldued to exist in spite of the repression. The box be sporadic as long as wives' earnings belongeddeposits of the woolen croppers of Leeds en- to their husbands. The subscriptions and finesabled them to win a strike in i8oz. The Royal were kept in a strong box until needed forCommission of 1825 discovered that in 1810 funeral or sickness payments. The financialthe spinners' union in the Manchester district principles on which business was transactedhad conducted business under sick club rules were of a rule of thumb order. The money bene-.legally registered at Manchester. The commis- fits were small, but so also were the contribu-sion concluded that "most alliances to raise tions, and there were doctors willing to attendwages cloaked themselves under the rules of members for a nominal fee. Friendly Societies." The friendly society movement developed for When after the repeal of the Combination acts some years before it attracted legislative atten- the trade unions came into the open, their names, tion. Defoe's prophetic suggestion of a nationalsuch as the Friendly Society of Operative Ma- pension office passed unheeded. Eden, however,sons and the Flint Glass Makers' Friendly So- reports that from 1757 to 177o an Act for Reliefciety, and their organization into lodges with of the Coal -Heavers working upon the Thames elaborate rituals show the closeness of their con- provided for compulsory inclusion of all heaversnection with the friendly societies proper. The in their benefit society with deduction of 10unions of skilled trades have continued to pay percent of their wages for that purpose. In 1792 sickness and death benefits in addition to the a similar law applied to the skippers and keel -more usual unemployment relief and strike pay. men of the river Wear. John Acland, perhaps As industrialization proceeded, the growth on influenced by the experience of certain Devon- the one hand of Tory humanitarianism and on shire parishes that had guaranteed local friendly the other of radical agitation resulted in further societies' funds, proposed in 1786 a system of governmental encouragement of friendly socie- compulsory social insurance. ties and similar working class attempts at thrift The government, although no longer able toand mutual aid. The act of 1819 guaranteed a ignore friendly societies, anticipated Eden's view high rate of interest to funds deposited with the that voluntary association would be most effec-national debt commissioner. Ten years later tive. Accordingly the Rose Act of 1793 for theTidd Pratt, the barrister of this commission, "protection and encouragement" of "societieswas appointed examiner of friendly societies as of good fellowship" provided that those societieswell as of savings banks. After 1834, when the which chose to register would be relieved from law broadened the definition of friendly societies stamp duties and would acquire a legal person-to include any purpose not illegal, loan societies, ality. Under this encouragement the societiesbuilding benefit societies and cooperatives de- increased rapidly. The membership was esti-veloped rapidly. It will be remembered that mated at 648,000 by Eden in 1801 and at 925, -1834 was the year of the poor law reform. 000 in 1815. Finally by the acts of 185o the great orders were But the authorities, alarmed by the Frenchofficially admitted to the friendly society move- Revolution, had grown suspicious of meetings. ment. In 1871 the trade unions were legally The Corresponding Societies Act of 1799 and sanctioned and entitled to registry. the Combination acts of 1799 and 1800 included A new chapter in the history of the friendly in their prohibitions allsocieties except thesocieties had opened with the institution of fed- royally patronized Freemasons and the smallerated "orders." Some of these orders had ex- friendly societies encouraged by the Rose Act.isted in the eighteenth century, but early in the Branches of the still amorphous Odd Fellowsnineteenth began the formation of the great were prosecuted as seditious. Trade unions wereaffiliations, each with an elaborate and secret outlawed. ritual copied from Freemasonry. The Independ- The craft unions at that time were so smallent Order of Odd Fellows, Manchester Unity, and impromptu that they were hard to distin-the oldest and strongest, was constituted about guish from friendly societies. Benefit clubs com- 1810; the Ancient Order of Foresters, the next posed of members of one trade almost inevitablyin importance, was federated in 1834. More and developed into trade unions. One of the earliestmore the federations captured the working friendly societies on record was formed by the classes until the investigators of the Friendly Newcastle shoemakers in 1719. Thus by empha- Society Commission of 187o had to report that 496 Encyclopaedia of the Social Sciences everywhere the small clubs were being crushedone is the considerable fall in sickness claims out. during the war years and the years immediately But Tidd Pratt, who was officially registrarfollowing, and the other is the higher rate of of friendly societies from 1846 to 1870, contin- interest received on invested funds. The fact ued hostile to the orders. However, he inveighed that no society has been unable to bear the ab- against the feasts and the public house connec-normal strain of war claims is a striking attesta- tions of the small clubs as well as against thetion of financial stability. ritual of the orders; and, although the powers of The law which now regulates these societies the registrar have always been advisory rather is the Friendly Societies Act of 1896 (as amended than directive and registration has been purelyin 1908), under which the collecting societies voluntary, Pratt was largely responsible for themay also be registered. Registration is open to increasing emphasis on the benefit aspect of thethe following groups of friendly societies, some friendly society. of which fall short of the true principles of Federation gave the affiliated orders greaterinsurance and mutuality: (1) the affiliated orders strength, a better administration and a sounderand their branches; after affiliati- eachracch financial basis. The absence of reliable sickness remained an autonomous unit,;dtaving íts 'own and mortality tables had led many of the earlycode of rules and scales of contributions and societies to insolvency. Pratt estimated that be-benefits and controlling its financial and other tween 1793 and 1867 one third of the registeredaffairs; the branches are grouped in districts, societies had collapsed. The correct method ofwhose business it is to see that the general rules calculating annuities had been much debatedof the order are carried out, and to administer since Price devised his Northampton tables inthe funeral benefit; (z) independent societies of 178o for the Equitable Society, the first lifethe same mutual type, mostly local, with which insurance company. But Charles Ansell in hismay be ranked a small group of county societies Treatise on Friendly Societies (London 1835) andwith high contributions; these societies are still F. G. Neison in his Contributions to Vital Sta- decreasing in numbers; (3) the centralized sick- tistics (London 1845) were among the foundersness benefit societies, the largest being the of modern actuarial methods. The standardHearts of Oak and the Rational, which are tables now in use are based on Manchesterpurely provident agencies, paying only cash Unity experience during the five years 1893 -97,benefits and making no claim to a fellowship as ascertained by Sir A. W. Watson. Not onlycharacter; (4) the deposit societies, represented is this experience used for the valuations of theby the National Deposit group, which act both great majority of friendly societies, but as re-as "limited liability" benefit societies and as gards insured males it provides the financialsavings banks; they are very popular, notwith- basis of the national health insurance system. standing the fact that where the benefits come After the passing of the act of 1875 making for the most part out of the members' individual quinquennial valuations compulsory the impor- contributions no provision is made for long tance of maintaining parity in assets and liabili-periods of illness, still less for permanent inva- ties could be ignored no longer. The practise oflidism; (5) the dividing or sharing out societies, graduating contributions according to age atknown also as "slate clubs," "tontines," etc., admission and the benefits insured for has been which are usually local, provide only small bene- increasingly followed. Deficits on valuation havefits and distribute among the members at the been met, where deemed needful, by the revi-year's end the whole or part of such balance of sion of rates of contribution or benefits. Theincome as may remain after all expenditure has Manchester Unity of Odd Fellows and the An-been met; (6) death and burial societies; (7) a cient Order of Foresters assist branches in diffi-number of local provident dispensaries and culty by grants from central funds created by medical aid associations, mostly of old standing levies on surpluses or otherwise. Nevertheless, and of a semicharitable character; (8) a small one of the strongest arguments advanced in 1911 group of railway benefit societies, miners' per- in favor of the state system of sickness and dis- manent relief societies and warehousemen's and ablement insurance then instituted was the factclerks' societies; superannuation, pension and that a large proportion of the small friendlyannuity societies. societies were still unable to meet their liabili- If to these groups be added the juvenile soci- ties. Two special facts have contributed to theeties, the total for the United Kingdom in 1927 present virtual disappearance of the insolvency:exceeded 22,000 societies with approximately Friendly Societies 497 7,500,000 members, of whom it is estimated thatthe days of the friendly societies were num- two thirds were insured against sickness andbered. That fear was not shared in circles con- death. This takes no account of the large num-scious of the strong sentiment of attachment and ber of unregistered societies, for the most partloyalty which is common to all the great orders. small and providing modest benefits, which areContinuity in some form was inevitable owing still scattered throughout the country, and re-to the fact that a very large number of members garding which no numerical data are available.were excluded from state insurance by occupa- This total disregards 74,000,000 industrialtion, age or the income limit or were unwilling insurance policies outstanding in 1928, 17,000, -to exercise the right to become "voluntary con- 000 issued by collecting societies and 57,000,000tributors" under the new system. Such persons issued by industrial assurance companies. Al-therefore had claims on their societies which though these societies were developed after thecould not be repudiated or even easily com- commission of 1853 had found that existingmuted. friendly societies were providing only for the Whatever danger may have seemed to exist needs of the skilled workers, a Iarge proportionwas removed by the permission given tothe of industrial policies today are unquestionablyfederations and the larger independent societies held by members of friendly societies. to act as "approved societies" for the adminis- tration of the statutory sickness and disablement CHIEF BRITISH FRIENDLY SOCIETIES benefits in cash, a privilege accorded also to the Member-Member- ship ship trade unions; while the industrial assurance 1910 1926 National Deposit Friendly So- companies were allowed to form independent ciety 219,381 781,477 "approved societies." Given the opportunity of Independent Order of Odd Fel- dropping so much of their benefits as was pro- lows- Manchester Unity 759,488 752,079 vided by the state scheme and of reducing their Independent Order of Recha- contributions to the extent of the new state bites- Salford Unity 320,739 713,069 Ancient Order of Foresters 621,375 572,044 contributions, the general decision of friendly Hearts of Oak Benefit Society 303,483 424,943 society members was in favor of maintaining Loyal Order of Ancient Shep- their existing insurances. The work of the socie- herds- Ashton Unity 165,262 251,574 ties was continued in unreduced volume with Order of the Sons of Temper- the state benefits as a supplement. Inasmuch, ance 170,755 242,030 Rational Association Friendly however, as the new law took over the provision Society 120,118 108,441 of medical attendance and medicine, treating it as a benefit separate from sickness payand en- 2,680,6013,845,657 trusting its administration to statutory bodies The large migration from Great Britain andcalled insurance committees, the contributions Ireland which began early in the last centuryof state insured members were reduced by the carried the friendly society to all the presentamounts which they had hitherto paid for that dominions and to some of the smaller coloniesservice, while as regards the members who were as well as to the United States.In general Eng-not so insured new and on the whole more lish traditions and legislation have been followed.onerous arrangements had to be madefor their The success of the movement has been mostmedical treatment. It is estimated that the soci- marked in Australia, where there were someeties are today still giving benefits to some four 5000 societies and branches in1928, nearly onemillion members who are also compulsorily in- half of them attached to the orders of Oddsured. It should be added that all persons who Fellows (Manchester Unity) and Foresters. Spe-come under the health insurance scheme arealso cial features of the legislation there are com-insurable under the act of 1925 for the provision pulsory registration, the omission of invalidism, of pensions to widows, orphans and insured superannuation and maternity benefits, sincepersons aged sixty -five to seventy,when free these are provided by the commonwealth outpensions can be claimed under the acts of 1908 of the general taxation and the state subsidiesand 1924. given in New South Wales. The fact that the operation of the statutory When the National Health Insurance Act ofsystem has largely coincided withentirely ab- 1911 was passed, imposing on some 15,000,000normal social conditions caused by a great war persons the obligation of insuranceagainst sick- and a prolonged period of unexampled unem- ness and disablement, thefear prevailed thatployment forbids any satisfactory estimate of 498 Encyclopaedia of the Social Sciences its influence upon public health and well- being;W. T., The Law of Friendly Societies ... with Acts while the close interaction of the voluntary and(14th ed. by J. D. S. Sim, London 1909); Great Britain, Office of the Registrar of Friendly Societies, compulsory agencies, whose benefits fall to the Report, published annually since 1866, and Guidebook same classes of the population, makes it impos- ... for the Use of Officers and Members of Friendly sible to divide credit due for whatever improve-Societies, published annually since 1897. ments have occurred. Of the place of the friendly societies in socialFRÖBEL, FRIEDRICH (1782 -1852), German life generally it is possible to speak more defi-educator. Fröbel was the son of a Thuringian nitely. Throughout their long history the socie-clergyman and his childhood was almost her - ties have proved potent agencies in the advancemitical. Early impressions of nature and the of the working classes. The practise of estimat-church led him to seek "a life of self- realization ing the value of these societies according to theirin the country" and he became a teacher in 1805. influence in reducing the number of the de-After observing Pestalozzi's work in Yverdon pendent poor persists no longer. While all thefrom 1808 to 1810 he undertook to defend evidence available indicates that friendly societyyouth's creative power against "agglutinated" members rarely seek public relief, it is not ininformation. He believed in the unity of nature that direction that the principal efficacy of theseand in the infinite gradation of the entire uni- organizations must be sought. Hardly any move-verse, which he regarded as a divine educational ment or cause conducive to self -help and popu-institution. From 1811 to 1816 he attended the lar welfare and progress can he mentioned whichuniversities of Göttingen and Berlin in order to has not owed much of its strength and successfind support for his beliefs and later became to the efforts of the men and women in theseassistant in connection with a mineralogical col- societies. Although during the past thirty years,lection at the University of Berlin. There his which have witnessed so large an extension ofstudy of crystals, in which he saw "the greatest social service legislation, there have appearedin the smallest," confirmed his faith in a cos- signs of a distinct tendency on the part of themically adjusted educational method. He at- working classes to look to the state for assistance,tempted to put his theories into practise in a the spirit of self -reliance remains vigorous todaypioneer workers' school which he had founded in the friendly societies. in Keilhau, Thuringia, in 1817. On the basis of W. H. DAWSON this experiment he wrote his principal literary work, Die Menschenerziehung (Keilhau 1826; tr. See: MUTUAL AnD SOCIETIES; GUILDS; WORKING MEN'S CLUBS; FRATERNAL ORDERS; LABOR MOVEMENT; BENE- by J. Jarvis, New York 1885). He was disap- FITS, TRADE UNION; SOCIAL INSURANCE. pointed by the misuse to which his ideas were Consult: Eden, F. M., Observations on Friendly Socie- put by quarreling sects and political groups and ties for the Maintenance of the Industrious Classes turned to infant education. during Sickness, Infirmity, Old Age, and Other Ex- For the early training of the child's soul and periences (London 1801); Hardwick, C., The History, mind he arranged a series of toys (balls, bowls, Present Position and Social Importance of Friendlymathematically cut bricks) as "gifts," through Societies (London 1859); Ludlow, J. M., "Friendlywhich the play of the baby was to develop freely Societies" in Contemporary Review, vol. xxi (1872 -73) 737 -62; Great Britain, CommissionersAppointed to and regularly. The child was to copy forms of Inquire into Friendly and Benefit Building Societies, utility, beauty and understanding which it saw Report, Parliament, Sessional Papers, vol. xxii (1874);at home or imagined, for Fröbel cared only for B ärnreither, J. M., Das englische Arbeiterversicherungs - a gradual development of self- activity. The task wesen (Leipsic 1883), tr. by A. Taylor as Englishof the educator, according to Fröbel, is to nurse Associations of Working Men (London 1889); Wilkin- son, J. F., The Friendly Society Movement, Its Origin, the awakening senses, translate childish ideas Rise, and Growth (new ed. London 1891), and Mutual and imagination into words and fix these by Thrift (London 1891); Brabrook, E. W., Providentrepetition in song. As a transition to the ordinary Societies and Industrial Welfare (London 1898), andschool Fröbel organized in 184o the kindergar- "On the Progress of Friendly Societies and Otherten. Here, where children imitated naïvely the Institutions Connected with the Friendly Societies Registry Office during the Ten Years 1894 -1904" in activities of the adult world, he saw their eager, Royal Statistical Society, Journal, vol. lxviii (1905)intuitive simplicity striving toward a moral so- 320 -52; Great Britain, Circular Letter Issued by thecial order. His whole method aimed at making Chief Registrar to the Principal Friendly Societies withthe child through its play feel at home in an Reference to the Proposed Non -contributory Scheme orderly cosmos, a process he called rounded life . together with Abstractof their Replies, Parliament, Sessional Papers, vol. lxxxviii (1908) p. 367 -9o; Pratt,harmony (allseitige Lebenseinigung). Friendly Societies-Frontenac 499 His mature sociological attitude was expressed ever, not insensible to the sufferings of the in a letter of 1834 as follows: "No communitypoor and shows clearly that there was much can progress in its development whilst the indi-justice in the claims of the rioters in the Peas- vidual, who is a member of it, remains behind;ants' Revolt of 1381. Such a volume of selec- the individual, who is a member of the wholetions from the Chronicles as that published by body, cannot progress in his development whileG. C. Macaulay (London 1895) is an excellent the community remains behind." A firm be-short introduction to the study of mediaeval life. liever in innate virtue, Fröbel may be described G. G. COULTON as a German Rousseau. He had lived in hisWorks: Le premier [quart] volume de Froissart des childhood what he later taught and he therefore croniques de France, q. vols. (Paris 1495 ?; later ed. by taught only what he had himself experienced.Simeon Luce, 11 vols., Paris 1869 -99), tr. by John His educational ideas have enjoyed a wide fol- Bourchier, 2 vols. (London 1523 -25; ed. by W. P. Ker, Tudor Translations, vols. xxvii- xxxii, London lowing, especially in Germany and the United 1901 -03). States. Consult: Duclaux, A. M. F. R. (Mary Darmesteter), FRITZ HALFTER Froissart (Paris 1894), tr. by E. F. Poynter (London 1895); Ker, W. P., Introduction to his edition of Consult: Halfter, Fritz, Friedrich Fröbel, der Werde- Chronicles, reprinted in his Essays on Medieval Litera- gang eines Menschheiterziehers (Halle 1931); Hecker, ture (London 1905) p. 135-238; Shears, F. S., Frois- Hilde, and Muchow, Martha, Friedrich Fröbel and sart (London 193o). Maria Montessori (2nd ed. Leipsic 1931); Spranger, Eduard, "Was bleibt von Fröbel ?" in Kinder - Garten for 1918, p. 93-98; Monroe, Paul, A Text -book inFRONTENAC, COMTE DE PALLUAU ET the History of Education (New York 1905) p. 642 -67; DE, Louis DE BUADE (162o -98), French colonial MacVannel, J. A., Educational Theories of Herbart administrator. Frontenac's distinguished mili- and Fröbel, Columbia University, Teachers College,tary services in France won for him an appoint- Contributions to Education, no. iv (New York 1905).ment as governor of New France in 1672. Ten years later, as the result of quarrels with Intend- FROISSART, JEAN (c. 1337 -c. 1404), Nor-ant Duchesneau, he was temporarily recalled in man English historian. At the age of about1682 to France. But the blundering Indian twenty -three Froissart followed Queen Philippapolicy of his successors, La Barre and Denon- from Hainault to England and became herville, involved the colony in such a critical war secretary. Encouraged by her he began to writethat in 1689 he was again sent out as governor, a history of that great conflict between Englandan office which he continued to hold until his and France which later generations have calleddeath in 1698. During both periods of his ad- the Hundred Years' War. For the earlier yearsministration Frontenac played an important part (for it had lasted a whole generation before Frois-in molding the political evolution of New sart began to write) he borrowed freely fromFrance. Instructed by the home government to Jean le Bel, canon of Liége. In England Froissartrestrain the political activities of the ambitious met many of the principal actors in these wars ecclesiastical leaders in the colony, he eventually and collected much material at first hand. Aftersucceeded in curtailing the influence of Bishop Philippa's death he remained under pro- EnglishLaval and the Jesuits in administrative matters. patrons until about 1373, when he became theAlthough believing in and practising autocratic pensioner of Guy de Blois. The second halfrule Frontenac encouraged active cooperation on of his Chronicles is more favorable to the French the part of the colonists. He held a meeting of than is the first, and a third edition, representedthe three estates, created a system of elected only by a single manuscript in Rome, containsaldermen with judicial jurisdiction -a striking a few unpleasant reflections on England intro-departure in French administration -and insti- duced after Queen Philippa's death. tuted biennial meetings of the citizens to express He is not an accurate historian in the moderntheir views on matters of general concern. Under sense. While he took pains not only to collecthis aggressive direction the boundaries of New but to check evidence he is in conflict with theFrance were rapidly extended to the south and testimony of more formal documents on manywest, and in the wake of the explorers followed points, some very important. But nobody hastraders and builders of forts. In his attempt to rendered better than he the atmosphere ofconvert the Indian tribes into staunch allies of mediaeval life, seen through upper class spec-France Frontenac displayed a remarkable gen- tacles. In him are both the strength and theius, mixing authority with kindness and firm- weakness of the chivalric ideal. He was, how- ness with paternalism. He was equally capable as 500 Encyclopaedia of the Social Sciences a military leader both on the offensive and infrontiers of antiquity and of Europe in the defending the colony from invaders. Middle Ages but with results less startling than GUSTAVE LANCTOT those which Turner suggested. Consult: Le Sueur, W. D., Count Frontenac (Toronto The special conditions which made possible 1906); Lorin, H., Le Comte de Frontenac (Paris 1895); the episode of the frontier in the experience of Myrand, E., Frontenac et ses amis (Quebec 1902); the United States include an English policy Parkman, F., Count Frontenac and New France under Louis xzv (Boston 1877); Colby, C. W., The Fightingwhich permitted the easy emigration of dissatis- Governor (Toronto 1915). fied individuals during the period between the planting of Jamestown and the end of the FRONTIER French wars; the scarcity of exploitable wealth AMERICAN HISTORY. Apart from the meanings in those parts of North America to which British generally given to the word frontier it suggestsemigrants had access; the river systems of the an important theory of American history. UntilAtlantic seaboard, which assisted penetration 1893 the word had been often applied to politicalinland from the coast; a sparse aboriginal popu- or military borderlands or to a twilight zonelation, reduced to fractional dimensions by the within which creative thought might be ex-. frontier of European disease which preceded the pected to reveal new truths. In North AmericaEnglish entry, and the partly cultivated areas it had been connected with the region lying atupon which Indians had dwelt, which indicated any moment between the settled portions of thesites for residence and made easier the first steps continent and the region of untouched naturein occupation; and the adoption by the United and aboriginal man. As "the West" it hadStates of a land policy encouraging the speedy aroused curiosity and had drawn observers, aappropriation of the land by small holders. few of whom had glimpsed the idea which Without the free emigration permitted by Frederick Jackson Turner, then a professor inEngland and the generosity of English law that the University of Wisconsin, formulated in hisgave to overseas colonists the rights of English- monograph, The Significance of the Frontier inmen the English settlements in America might American History (1893). Turner had beennot have escaped the course followed by Spanish studying the occupation by English speakingand French settlements. These latter failed to set settlers of the region just beyond the Appala-up in the New World detached fragments of the chian watershed, using the unique collectionparent country. New France and New Spain of manuscripts, assembled by Lyman C. Draper,were new culturesrather than transplants; which belong to the State Historical Societywhereas New England and Virginia were old of Wisconsin. He saw a possible meaning in thecultures with only such modifications as time fact that here for the first time in modern his-produced and as environment and neglect en- tory, if not in all history, a people with an ad-couraged. There was little desire among the vanced culture found itself living next to an un-powerful of the Old World to capture and ap- limited area of unowned or slightly valued land,propriate the resources of the English region, for from which the common man could capture forthe resources were cheap and at that obtainable himself what he needed and upon which heonly at the cost of bitter labor. Attempts to build could build, free from most of the restrictions ofup American estates, such as those of the Penns congested society, what personal life he wasand the other proprietaries, were unprofitable. capable of and what social structure he desired.The cost of protecting the rights of an overlord This hypothesis gave a new and importantwas out of proportion to the profit to be derived; meaning to the history of the United States. It and from the beginning of settlement the settler remains unproved, as must most hypotheses inwas an uneasy underling. However tractable he the philosophy of history; but its reasonablenessmay have been at home (and most of the settlers and its capacity to give a rational interpretationwere people with little tradition of wealth or to events have brought about a rewriting of thedignity), the colonist in America became an ag- whole American story in its terms. Only Edwardgressive individualist who ignored restrictive Channing among the major historians has es-laws or perverted them to his own use. It was caped its influence; and he although distrustingnot profitable for anyone in England, whether it as an explanation made no attempt formally towith propertyrightor with governmental disprove it. Many historians in varied fields have authority, to make the effort to reduce the farm- been inspired by it to examine the frontiers ofers of the American frontier to a lock step with South America and of Russia and the remotervested interest. Frontenac-Frontier 501 The farmer of the frontier has especially inter- valleys became a mixing basin for social contri- ested those who have studied frontier influence.butions from all the colonies and for all the races The other frontiers in advance of British civil-that had a part in the process. ization in America were anticipatory to his, but At every stage of its advance on the cutting had the farmer not followed to convert theedge of the frontier was the single family farmer, country to agricultural use the other frontierswhose cabin on the margin of settlement was a would have lacked meaning. Before him in suc- nucleus whence spread the occupation of the cession spread the frontiers of exploration, ofwilderness. From the time when the earliest resi- military control, of missionary activity, of thedent made his appearance to build a home until fur trader and trapper. All of these had beenthe time some twenty -five years later when his preceded by a deadly frontier of European dis-first born child left home to repeat the process, ease; after them came frontiers of local govern- there developed a typical cycle of events that has ment, of railroad penetration, of financial suffi-repeated itself mutatis mutandis in nearly every ciency. But the agricultural frontier, with a newcounty in the United States and in every decade and sparse population of from two to six in- from 5600 until 5900. habitants to the square mile, was the significant The repetition of the frontier cycle over small frontier agent. units for three hundred years constitutes an The influence of American frontier life wasapproximation of a series of laboratory experi- dispersive, throwing the individual upon hisments in social establishment. The free farmer own resources: he was probably more thandoing his own work and accomplishing only normally willing to be thrown upon himself, be-what he and his family could encompass faced cause in many cases the English who selectedthe task of creating farm and home. He was re- themselves for emigration were in some waymarkably free from the restrictions of precedent, more stubborn than their relatives who re-the dead hand of property interest and the re- mained at home. Most of them came from eco- tarding influence of information. He could never nomic motives to find a larger life. Mingledbe persuaded that he had not in fact made his with them were others, nonconformist byfarm himself; and he never willingly admitted temper, who preferred to pay the price of corn- that he owed to any jurisdiction a price in pay- fort for the opportunity to live politically, reli-ment for his land. He had few pieces of wealth giously or socially as they pleased. England wasworth taxing and scant willingness to submit to more comfortable with them gone; andtheythe imposition of any tax not convenient to pay were not the raw material for an acquiescentor not imposed for a benefit that he appreciated. dependency three thousand miles away. During the twenty -five years of the cycle in any Amid frontier conditions such emigrants setregion the land passed from wilderness through up on the Atlantic coast in the seventeenth cen-a stage of scattered farmsteads and became an tury a new England which began at once to agricultural community with county town, roads deviate from the standards of old England, theand schools, institutions of government and a deviation not being recognized until it had gonepartnership share in a nation. No individual too far to be checked. The first frontier was ofwho lived through the process could avoid being necessity on the coastal plain with urban con-shaped in some ways by his experiences. His centrations at suitable harbors where immi-life, his mentality and his ideas of business and grants might land and whence exports might begovernment all tended to derive from the ex- moved. In successive decades the Atlantic portsperiences of working with fresh materials and in of entry developed as the centers of business andnew units. Social creation was going on, not government, and successive increments of set-accomodation to the matrix of an accepted and tlers found their way along the river valleys to dominant existing civilization. where coastal plain and piedmont meet and to The racial components of the wave of immi- the mountain valleys behind. The major rivers grants whose labor cleared the continent up to led to the obvious gaps, with the Susquehannathe Appalachian watershed by the middle of the and the Potomac marking the chief routes to theeighteenth century were various with variations valley system of the Appalachians. Once beyondthat tended to lessen before generations of com- the piedmont edge the standard channels ofmon life and experience. The English camefirst penetration broke down, and settlement was dis- carrying the intellectual cargo of seventeenth persed northeast and southwest in directionscentury England, with notions of common law, generally parallel to the seaboard. The mountainfree church and controllable government natural 502 Encyclopaedia of the Social Sciences to the century. They planted Virginia and New tion. Repeatedly after the inauguration of Wash- England, worked their way into control of theington new political movements originated in little settlements of Dutch and Swedes, occupiedthe west or gained there a force, undiluted with the shores of the Chesapeake and Delaware anddoubts, that made them impressive. Continu- began the easier cultivation of the southernously the west drew from the young, the ambi- coastal plain in the Carolinas. Early in the eight-tious and the poor to recruit new frontier settle- eenth century the Germans came, made readyments. The people of these settlements had for emigration by starvation and persecution inenergy and unanimity in pressing their demands the Rhine valley, and settled west of the English for measures of relief upon the government, counties of Pennsylvania and in the Mohawk which they regarded as essentially national. valley above Albany. By their side the descend- As the process of occupying the continent ants of the Ulster Scots came from the north ofcontinued under the constitution, the repetitions Ireland, and from the rest of Ireland and Scot-of the creative process of the frontier cycle oper- land came enough residents to give to each race a ated as a filter upon the ideas and the institutions distinct part in the development of the American of the older east which were transplanted and frontier. On that frontier or, more precisely, onmodified in the governments of the newer states. those frontiers in the second and third genera-There were few restrictions upon the type of tions there was admixture of blood that lessenedgovernment that the new states might erect. the significance of racial origin and enoughThere dropped out of sight among the western concealment of names by marriage or by transla- states many of the qualifications which the east- tion to render forever impossible the task ofern colonies had inherited from their English separating the new race of Americans into itsbackground. Manhood suffrage and eventually racial stocks. The Scotch -Irish moved beyond woman suffrage took foothold in the west. Free the English and the German settlements to schools and state education gained ground. Qual- cheaper lands and between 1763 and 1819 con- ifications for elective offices were whittled away. tributed typical farmer volunteers along theThere was a definite political liberalism and a cutting edge of the advancing frontier line. practical democracy that led the west and its For a century and a half after the first planta-leaders not only to erect progressive govern- tions the frontier in America was a Europeanments for local use but to wage war against what frontier which had sprung directly from itswere regarded as the conservative and aristo- European base. By the middle of the eighteenth cratic habits of the east. The parties of Jefferson, century, when England drove France from the Jackson, Harrison, Lincoln and Bryan indicate, continent and proceeded toreorganize thein turn, waves of political emotion for which the colonies and to erect controls over the directionwest on or near its frontiers provided breeding and speed of occupation of the land, there wasgrounds. Each advanced from the west toward an American social base in the older coloniesthe east as its philosophy gained a national ac- against which for the remainder of the frontierceptance. period itis possible to measure the changes The typical frontier cycle appeared with the brought about by exposure to frontier life. After first settlements on Atlantic tidewater and it the Peace of Paris and the Proclamation of 1763repeated itself so long as there remained land it became more and more an American frontier.capable of development by the cabin farmer. By Among the causes that produced the separa- i800 the frontier states touched the Mississippi. tion of the United States from England was theBy 1821 nearly the whole of the United States, English decision to interfere with the occupationas the boundaries then were, was occupied by of the interior of the continent. Regulations werestates or prospective states; what land remained in vain; Americans defied them without qualm. beyond the western boundary of the new state The common problems of the colonists became of Missouri was generally regarded as incapable clearer along the border than they were among of sustaining the typical agricultural life. Within the separatist seaboard establishments. Thethe next thirty years the political boundaries common lands in the west, gained at the treatywere projected to the Pacific, the western coast of peace, nearly wrecked American federation; was discovered to be both habitable and de- but that once accomplished they constituted onesirable, and much of the intervening country of the earliest forces to give to the new govern-was held to be too good to be left to the primi- ment a national aspect whether under thetive usages of aboriginal man. New tools were Articles of Confederation or under the constitu-necessary to reclaim the trans -Missouri and to Frontier 503 bring it within the reach of the frontier farmer;free or nominally priced lands and large or but new industrial methods in the mid -centuryunrestricted immigration. Pioneer belts of his- provided them. By the date of the census of 1880torical importance are found in west Australia, the statisticians of the government were prophe-South America, especially the Argentine, north- sying the speedy disappearance of free land. Bywest Canada, Siberia and Rhodesia. They differ 1890 the American frontier in its special sense from the American frontier largely in possessing was gone; more than gone, since in the enthusi-lands more subject to extremes of either rainfall, asm of the final phases the land had been brokenclimate or inaccessibility; in leaving less to the on the high plains and along the slopes of theuntrameled individualism of the settlers and Rocky Mountains, where it was not normallymore to governmental policy; and in allowing capable of sustaining the single family farm ofthe unpropertied less access to public domain American experience. There was a recession ofby requiring for its exploitation a larger amount the occupied frontier during the next decade; inof capital. Another difference lies in the fact the forty years since 1890 farms have not againthat the present pioneer does not, like the early reached the margin of the greatest development.American pioneer, leave behind him security, With the disappearance of the frontier thisbut rather the amenities of culture, the artifices episode in human experience came to an end,of comfort and the power of a more highly without precedent and without probability ofmechanized civilization. repetition. It is likely to remain the peculiar part The geographical phases of the movement of of the heritage of the United States. For threea frontier may be best studied in the case of centuries the common American had an easierAmerica. As population spread from the Atlantic opportunity to become a free economic agentseaboard to the Pacific in a series of successive than did any of his contemporaries. The demo-waves, the frontier expanded not as a uniform cratic aspect of American life, its fluidity and its belt but in patches and strips. The first to be adaptability appear to have some connectionsettled, such fertile and accessible areas as the with this environment. The American ideologytidewater, blue grass, limestone valley, black which assumes freedom to be the common lot ofland, delta and prairie, became the centers man may be a part of it. American restivenessfrom which the less attractive surrounding re- under remote or absentee control seems to de- gions were organized as new frontiers. At each rive from it. American suspicion of Europe mayadvance the reversion to untamed nature and be a reaction toward a world whose narrow op-primitive tasks, for which there existed no divi- portunities made men through ten generationssion of labor and no considerable technology, willing to leave its fold. The hypothesis thatcarried with it a regeneration of frontier modes Turner phrased continues therefore to account of life. The vanguard of the advance was led by for much that is vital in the interpretation of"long hunters," explorers, trappers, scouts, out- American history and of American status in the laws, prospectors, gold rushers, Indian traders world, now that the frontier itself is gone. and coureurs de bois. They made the initial con- FREDERIC L. PAXSON tacts with the Indians and learned the folkways of the wilderness. Following these came the GEOGRAPHICAL AND SOCIAL ASPECTS. Themain stream of hunters, ranchers, frontier farm- frontier, or the pioneer belt, is the initial stageers, traders and miners. The frontier, however, in the settlement of a new region by representa-did not of necessity recapitulate in its history tives of a stronger civilization. It is characterized the orthodox stages of economic organization: by sparsity of population, self -sufficing economyhunting, pastoral and agricultural. The Ken- and the crude living conditions and uncouthtucky blue grass, for example, was first settled manners of the less complex cultures. The lineby farmers who afterward adopted grazing, only of frontier settlement in America was drawn byto replace it later with diversified farming in the Bureau of the Census at a density of sixwhich livestock played a large part. As hunting persons per square mile. The frontier is thus adiminished, cow pens, canebrakes and uplands fact of social demography and should be care-became the centers of a respectable grazing econ- fully distinguished from the state frontier, whichomy, while the ease of settlement in any section is a political and military boundary (see BOUND-whence cattle could be driven to market was ARIES). Among the conditions which make fron- often noted. The chief settler was likely to be a tiers possible are unsettled boundary lines, un- squatter farmer with a horse, a cow and a few explored and unclaimed territories, virgin soils, swine, who settled in a forest clearing, large 504 Encyclopaedia of the Social Sciences enough for his log cabin and a corn patch, nearextended "string town" settlement along her a few neighbors of similar tastes. When popu-tidal rivers. Pioneer upland farmers settled in lation became so dense as to disturb the huntingforest clearings around a stockade. No commu- and restrict the range, such a settler was likelynity life was possible on western prairies after to sell to some substantial immigrant and movethe passage of the Homestead Act, for each to the next frontier. As a more stable agricul-settler was required to live on his 16o acres for tural industry grew, frontier transportation de-five years. Had every quarter section been open veloped to supplement its economic autonomy. to occupation, each family would have been lo- It was manned by pack horse traders, hog andcated on the average half a mile distant from its cattle drovers, stage drivers and the roustaboutsnearest neighbor. This barrier to social inter- of the river trade, all of whom served to connectcourse and group organization made for a con- the back country with its markets. tinuation of frontier conditions in well populated The successive advances naturally createdagricultural districts. many frontiers whose temporary stopping places By nature and necessity separate and inde- were largely suggested by terrain. There was apendent, the pioneer developed a self -reliant and frontier at the fall line and another at the Appa-aggressive personality. Forced to become a jack lachians; an army post frontier and a salt springsof all trades, he ended by developing a confident frontier. Spanish frontier, French frontier andindividualism and a studied disregard for in- Indian frontier, Puritan and tidewater, old weststruction and experts. I-Ie came to believe that a and old northwest, southwest and middle bor-fool can put on his own coat better than a wise der, prairie and plains, California and Oregonman can do it for him and that almost any kind country -these are but variations on a moreof timber can be worked into the political ship. fundamental geographico- economic classifica-Where none were rich, learned or polished, a tion into three types: the eastern frontier of for- backwoods democracy prevailed which desired ests and clearings, the western grasslands ofno aristocracy, no civil service, no learned or prairie and plains, and the western mountainsprofessional class. The frontier also developed and mining frontier. In fertile areas of the southa certain ruthlessness, evident in its dealings the frontier gave way to the plantation, but itwith the Indians and in the exploitation of the was not until it debouched from the forests topublic domain. Its rough and tumble fights de- the grasslands that the frontier changed fromveloped after the invention of the Colt revolver the farm to the free range. When the extinctioninto the dueling code of the cow town and min- of the buffalo made it easy for the federal gov-ing camp. It set up its own system of law and ernment to confine the Plains Indians to theirits own conception of order. It eventually made reservations, the cattle man replaced the buffalohorse stealing a capital crime and relegated mur- by the long horn and extended the range frontierder to the category of casual accidents. to the Rockies. In the high plains low rainfall Frontier society was not all individualism and repelled dense agricultural settlement, thus mak-competition in the exploitation of public do- ing for the modification of some frontier traitsmain. Out of crude contacts grew spontaneous and the retention of others. The transition from associations. The frontier farm was a fostering free range to ranch, begun by the innovation ofhabitat out of whose domestic economy came barbed wire, was officially signalized when inthe rapid and easy growth of the family. In its 1884 a special session of the Texas legislatureclosely knit unity children furnished needed made it a penitentiary offense to cut wire fence.labor, married early and received lands from the Whereas property had existed in cattle, it wasfamily or settled farther west Hospitality was a now established in land. It remained for thekind of mutual aid to be extended in sparsely extensive ranches to give way to the advancing settled sections, while logrollings, house raisings, hordes of small farmers before the frontier proc- husking bees, camp meetings, mining camps, ess was completed. The mining frontier, estab-vigilantes and the squatters' and cattle raisers' lished by the California discoveries of 1849, associations testified to the amount of voluntary began in the farthest west and retreated east-cooperation. Indian peril and common hardships ward as far as Nevada. served to consolidate the community and to By gradually changing the settled farm villagescombine in its government democratic and sum- of Europe into isolated farm homes the frontiermary tendencies. formed the physical basis of rural community Moreover, the accumulation of contrasting life in America. Virginia first set the pattern oftraditions tended to set the frontier off from more Frontier 505 populous areas in its attitudes. Sectional antag-important in substituting sects for a more com- onisms early developed with the seaboard states,prehensive church and emphasis on revivals and which used the pioneers as buffer settlementsemotional experience for religious nurture and against the Indians and failed to accord growingconfirmation. The state theocracy of Episcopa- upland counties their proportionate representa-lian Virginia and Puritan New England failed tion in state legislatures. Questions of bounda-to survive the frontier, and the aristocratic im- ries, internal improvements and the clashingplications in the predestination and election doc- economic interests of producing and consuming trines of the Scotch Presbyterians proved unac- areas arose to make relations more strained. Theceptable to the backwoods equalitarianism. The dominant political attitudes of early frontiers- emphasis on ritual was loosened, the demand for men were nationalist, expansionist, imperialist;an educated ministry abrogated, and the circuit they advocated internal improvements and mili- riding Methodist and Baptist preachers took tary action against all Indians. Later their debtor -their toll of more conservative sects. The fron- creditor relation with the east intensified their tier gave American literature new subject matter attitudes, and the west came to be known as the and a new viewpoint, reaching characteristic home of Greenbackers, populism, free silver, theexpressions in David Crockett's Autobiography, initiative, referendum and recall, farmers' blocs, Bret Harte, Hamlin Garland and, above all, non -partisan leagues and party insurgents. Mark Twain. The frontier has had considerable impact on RUPERT B. VANCE American economic life and opinion. It opened See: BOUNDARIES; MIGRATION; CONQUEST; MOBILITY, a new economic hinterland with its wealth of SOCIAL; INDIVIDUALISM; DEMOCRACY; SECTIONALISM; resources and its problems of internal improve- NATIVE POLICY; PUBLIC DOMAIN; HOMESTEAD; LAND ments and government control. It gave the com- SETTLEMENT; AGRARIAN MOVEMENTS,Section on mon man easy access to the public domain. The UNITED STATES; EUROPEANIZATION; COSSACKS; FUR difficulty of maintaining a labor supply in the TRADE; MISSIONS; GEOGRAPHY. Consult: Turner, F. J., The Frontier in American face of free land was partly met in different History (New York 1920); Becker, Carl, "Frederick sections by slavery and immigration. The pres- Jackson Turner" in American Masters of Social Sci- ence of unassimilated Negroes and immigrantsence, ed. by H. W. Odum (New York 1927) ch. ix; conspired with the native working man's tend- Curti, Merle E., "The Section and the Frontier in ency to take up lands in the west to retard the American History: the Methodological Concepts of Frederick Jackson Turner" in Methods in Social Sci- growth of an American labor movement. The ence, ed. by Stuart A. Rice (Chicago 1931) 353-67; laissez faire philosophy of the frontier meant Phillips, U. B., Plantation and Frontier Documents: freedom to exploit natural resources. The situa- 1649 -1863, 2 vols. (Cleveland 1909); Paxson, F. L., tion encouraged land grabbing, hasty skimming History of the American Frontier, 1763 -1893 (Boston 1924), and When the West Is Gone (New York 1930); of natural resources, corrupt politics and specu- Bowman, Isaiah, "The Pioneer Fringe" in Foreign lation in mining, ranching and real estate deals. Affairs, vol. vi (1927-28) 49 -66, and "The Scientific Mistakes were quickly cured by expansion into Study of Settlement" in Geographical Review, vol. xvi the public domain, and the resulting prosperity (1926) 647-53; MacDonald, William, "Some Obser- constituted an argument in favor of lax policies. vations on the Spirit and Influence of the American Frontier" in Colonial Society of Massachusetts, Pub- In this sense the heritage of the public domain lications, vol. xxvi (1924 -26) 165 -8o; MacLeod, W. C., has left America a generation behind Germany The American Indian Frontier (New York I 928); Ga- and England in programs of social legislation. briel, R. H., The Lure of the Frontier, Pageant of In other spheres the frontier has dissolved old America series, vol. ii (New Haven 1929); Mathews, Lois K., The Expansion of New England (Boston patterns and directed an insurrectionary attack 1909); Hibbard, B. H., History of the Public Land on new ones. It cut the ground from under the Policies (New York 5924); Riegel, R. E., America traditional aristocratic political thinking of the Moves West (New York 193o); Branch, E. D., West- Federalists. It displaced the ideological democ- ward; the Romance of the American Frontier (New racy of the thinkers of the French and American York 193o); Webb, W. P., The Great Plains (New York 1931); Trimble, W. J., "The Influence of the revolutions by a workaday democracy that glori- Passing of the Public Lands" in Atlantic Monthly, fied the common man while it left the actualvol. cxiii (1914) 755 -67; Tocqueville, Alexis de, De la machinery of government to professional poli- démocratie en Amérique, 2 vols. (13th ed. Paris 185o), ticians and a spoils system. It served as the tr. by H. Reeve, 2 vols. (New York 1912); Miller, P. setting of experiments in political and social A., "Contemporary Observation of American Frontier Political Attitudes, 1790 -184o" in International Your- adaptation and in the wheat belt aided in assimi- nal of Ethics, vol. xxxix (1928 -29) 80 -92; Veblen, T. lating certain foreign groups. In religion it was B., Absentee Ownership and Business Enterprise (New 506 Encyclopaedia of the Social Sciences York 1923) p. 186 -2o1; Commons, J. R., and others, takes are hardly more numerous than those of The History of Labor in the United States, 2 vols. (New other historians of his time. The extent of his York 1918); Hall, T. C., The Religious Background of American Culture (Boston 193o); The Baptists, ed. by labors, his eloquent style, his insight into char- W. W. Sweet (New York 1931); Thomas, J. M., "In-acters and events, his correction of narrow tradi- fluence of Frontier Life on American Christianity" tional views and his capacity to interest a vast in New Jersey Historical Society, Proceedings, vol. xi number of readers command respect and ad- (1926) 1 -18; Farrington, V. L., The Romantic Revolu- tion in America, 1800 -186o, Main Currents in Ameri- miration. He was brought into contact at Oxford can Thought, vol. ii (New York 1927) pt. iii, ch. iii; with Newman and other leaders of the Tracta- Mumford, Lewis, The Golden Day (New York 5926) rian movement but soon emerged from their ch. ii; I Iazard, L. L., The Frontier in American Litera-influence into a mild form of skepticism. His ture (New York 1927); Sage, Walter N., "Some As- departure from orthodoxy, especially his publi- pects of the Frontier in Canadian History" in Cana- cation of The Nemesis of Faith (London 1849), dian Historical Association, Report of the Annual Meeting, 1928 (Ottawa 1929) 62 -72; Hancock, W. K., excluded him from clerical and educational life Australia (London 193o); Roberts, Stephen I-I., His-and forced him to make his living by his pen. tory of Australian Land Settlement (1788 -1920) (Mel- He lived for twenty years in the closest intimacy bourne 1924); Taylor, Griffith, "The Frontiers ofwith Thomas Carlyle and was entrusted by him Settlement in Australia" in Geographical Review, vol. with the duty of writing his life and editing his xvi (1926) 1 -25; Shann, Edward O. G., An Economic correspondence an d that of Jane Carlyle. His History of Australia (Cambridge, Eng. 593o); Good- rich, Carter, "The Australian and American Labour inexorable truthfulness in portraying the char- Movements" in Economic Record, vol. iv (1928) 193- acters and married life of the Carlyles brought 208; Condliffe, J. B., New Zealand in the Makingupon him much criticism. (London 5930). In 1872 and 1873 he lectured in the United States on the Irish question, contending that the FROUDE, JAMES ANTHONY (1818 -94),Irish were incapable of governing themselves English historian and man of letters. The repu-and must therefore remain under English tation of Froude as a historian stands higher nowguidance. In 1874 he was sent by the govern- than in his lifetime. His literary rather thanment to South Africa and later traveled in historical training and methods, the differenceAustralia and the West Indies making observa- of his judgments from those traditionally heldtions and reports on colonial conditions which and the bitter controversies he arousedall are a curious combination of anticipations of tended at first to deter serious readers and fellowwhat has since actually occurred with disparage- historians from accepting his work as of solidment of the democracy which has alone made value. As time has gone on, however, his excel-those changes possible. He was a convinced im- lences have compelled recognition. Among theseperialist, believing that it was the duty and the his industry takes a high place. The twelveproper destiny of Great Britain to remain the volumes of his History of England were written center of a group of English speaking colonies, within the years between 1856 and 187o (new ed.whose attachment he believed could be retained London 1893), and the work of preparation forby considerate and wise treatment. He believed them was done, after the first six years, whilethat the empire should be held together as a they were being written. His three courses ofplace for the extension of British population and lectures as regius professor of modern history atfor its bracing effect upon the character of Oxford, to which position he was appointed inBritish people at home. 1892, were each a piece of independent histori- He disliked laissez faire and the ideals of the cal research on a large subject. His other his-Manchester school in general, drawing in the torical and biographical writings,his moreconcluding pages of Oceana (London 1886) a purely literaryessays, most of which werestriking if dark picture of a purely industrial and gathered in the four volumes of Short Studies indegenerate England which he feared would re- Great Subjects (London 1867 -83, new ed. 1891), sult from the supremacy of those ideals. his accounts of his colonial journeys and the E. P. CHEYNEY Carlyle correspondence carried his published Other important works: Historical and Other Sketches, work to thirty -eight volumes, produced in forty - ed. by D. H. Wheeler (New York 1883); The English four years. in Ireland in the Eighteenth Century, 3 vols. (London 1872 -74); England and Her Colonies (New York He was partisan, sometimes careless in the 1897);English Seamen intheSixteenth Century use of his sources and he overemphasized the(London 1895, new ed.1895); Thomas Carlyle, a historical importance of great men, but his mis-History of the First Forty Years of His Life, z vols. Frontier-Fruit and Vegetable Industry 507 (London 1882, new ed. 1890); Thomas Carlyle ... cided opposition to the formulation of historical His Life in London, 2 vols. (London 1884, new ed.laws as propounded by Comte and Buckle. 1890); My Relations with Carlyle (New York 19o3); Life and Letters of Erasmus (London 1894, new ed. KOPPEL S. PINSON 1894); Caesar (London 1879, new ed. 1890); LordWorks: Verspreide geschriften, ed. by P. J. Blok, P. L. Beaconsfield (London 1890). Muller and S. Muller, It vols. (The Hague 1900 -05). Consult: Paul, H., Life of Froude (New York 1go5); Consult: Blok, P. J., Verspreide studien op het gebied Bodelsen, C. A., Studies in Mid - Victorian Imperialism der geschiedenis (Groningen 1903) p. 280 -338; Rach - (Copenhagen 1924) p. 176 -205; Dunn, W. H., Froude fahl, Felix, in Historische Zeitschrift, vol. xcviii (1907) and Carlyle (London 1930); Cecil, A., Six Oxford Thinkers (London 1909) p. 156 -213; Gooch, G. P., 507-43. History and Historians of the Nineteenth Century (London 1913) p. 332-39; Fueter, E., Geschichte derFRUIT AND VEGETABLE INDUSTRY. neueren Historiographie (Munich 1911) P. 459 -61; The cultural history of fruits and vegetables goes Clarke, Francis, "Froude" in London Mercury, vol.back to remote antiquity, but their commercial xxii (1930) 354-23. history is largely confined to the last century. FRUIN, ROBERT JACOBUS (1823 --99), DutchTranscontinental and transoceanic shipment of historian. Fruin was born in Rotterdam of Eng-fresh products on any considerable scale began lish ancestry and studied classical philology atwithin the business life of men who are still the University of Leyden. The works of Heeren,active. In the United States the first car of vege- Ottfried Müller and Niebuhr turned his atten-tables under refrigeration crossed the Potomac tion to history, and after preliminary work inRiver on its way north in 1887, and in the same Egyptology he devoted his life to the study andyear the first car of California fruit under re- teaching of the history of the Netherlands. He frigeration crossed the continental divide. was professor of history at Leyden from 186o to The fruits which were identified with early 1893 and after 1868 also editor of Bijdragen voorcivilizations were either easily preserved by vaderlandsche geschiedenis en oudheidkunde. primitive means or yielded a semiperishable Fruin has been called the Ranke of Holland. product. The olive became a source of oil on His work marks the beginnings of the scientific lands so arid and in climates so hot that animal study of history in the Netherlands. Despite thefats were hard to produce and impossible to pre- fact that his writings were mostly in the form ofserve. The date of the tropical desert oasis was scattered essays and addresses they were theeasily dried and usable throughout the year. The most potent influence in the stimulation of his-fig early became the dooryard tree of semitropi- torical investigation in Holland. His interest em-cal races permanently located in regions of light braced the whole field of Dutch history, but hisrainfall. If irrigation was possible the vine and best work was done on the period of the six-the fig were closely associated, as in California teenth and seventeenth centuries. In Tien jarentoday. Inhabitants of humid tropical regions uit den tachtigjarigen oorlog, 1588-1 598 (Leyden have always been and are still dependent largely 1859, 6th ed. The Hague 1904), Fruin's moston the orange or the banana, each available on celebrated work, "all the great problems of thethe tree practically throughout the year in a history of the Dutch Republic are firmly indi- climate which precludes fruit preservation. Di- cated." A determinist in his philosophical out-luted sour wine first became important to peo- look, a liberal in politics and religion and aples whose water supplies were scanty, often follower of the rationalist humanist tradition ofalkaline and always warm. Erasmus, he was attracted more to the objective For centuries the difficulties of primitive ways historical method of Ranke than to the moral-of communication precluded most commerce, istic pleading of Mommsen. He attempted to even in dried fruits. When the wooden cask was understand and enter into sympathy with thedevised as a container for fluids, displacing thought and the milieu of the people and periodsearthen jars and skin bags, long distance water he described. The question of motive was for himtransportation of dried fruits and wines became the central problem of historiography. Althoughpossible. The classical Mediterranean trade in an admirer and follower of Ranke he adopted indried fruits was extended gradually by sailing his later writings more of a genetic approach tovessels to the northern European and British historical problems and criticized Ranke for hisports. Although the Roman occupation extended overemphasis on political history and his failurethe cultivation of pears and apricots in France to deal adequately with social, intellectual andand of apples and cherries in Germany, the institutional history. He also expressed his de- monastic and court gardens alone preserved their 508 Encyclopaedia of the Social Sciences culture during the Middle Ages. Even today thepopulations struggling for food supplies. In the peasants of eastern Europe raise little fruit. far western states the reclamation by irrigation Fruit growing thus became specialized throughof vast areas for purely commercial exploitation the rigid limitations of climate in the days when has been stimulated by the profits of fruit grow- canning and refrigeration were unknown anding. These regions produce the apple, pear, before sugar was available as a preservative.peach, plum, prune, fig, apricot, cherry, orange, When the struggle for existence was largely alemon, grapefruit, grape, avocado, olive, walnut struggle for food, the fruit which afforded the and almond. Except for its fruit growing possi- most sustenance from a given space or a givenbilities this region would have remained pre- supply of moisture tended to supplant all others.dominantly a series of mining, lumbering and Mixed orcharding, affording a considerablegrazing areas. Following closely the methods choice of fruits for local use, came only withdeveloped here, Australia and South Africa are stability of population and a considerable ad-exploiting specialized fruit areas for interna- vance in the standard of living. tional trade. Chile and Argentina are attempting Diversified fruit culture, where climate per- to do likewise. mitted, has kept pace with the increase in The history of the potato is even more phe- wealth. Intensiveness of culture, or the totalnomenal than that of many fruits. Native to quantity grown by prosperous populations, hasthe cooler highlands of South America, the po- been dependent upon the density of populationtato never comprised the chief food resource of or the number of consumers within reach. Theany large native population, but following its radius of distribution for soft fresh fruits wasintroduction into Europe in the sixteenth cen- until recently limited to a land haul of less thantury it rapidly became a principal food of mil- forty miles by wagon or a voyage of twenty -four lions of people. This increased food supply has hours by boat. For apples the distances by landforestalled famine and made possible much of hardly reached sixty miles for any considerablethe increase in European population. But not- quantity. During limited periods of favorablewithstanding its preeminent importance the temperatures the steamship might carry apples potato has never figured largely in European or citrous fruits and bananas in internationalcommerce. It is too bulky and cheap to bear trade, but means of distribution were lacking atrail transportation costs. Water rates permit all ports. shipments from the Canary Islands and Jersey, Accordingly the first modern development andwhich raise new potatoes for export to the Lon- intensification of fruit culture for distant trade don market. was the extensive planting in California of fruits Until within the last fifty years all vegetable for drying. Loaded at first as ship stores, theproduction and most fruit growing were exclu- dried fruits rapidly became cargo and the indus-sively for the local market. Gradually the indus- try grew virtually world wide in scope. Thetries expanded to supply the nearby demand canning industry and still later the tremendousresulting from the rapid growth of cities. The movement of fresh fruits gave new impetus togoal of the early orchardist and gardener was the development of this uniquely favored fruitthe production of a large assortment of varieties growing region. With climatic conditions suchto furnish a salable supply through the longest as those near San Francisco Bay, where winterpossible season. Except that cheaper land was rainfall and summer fog suffice to produce goodavailable, conditions in the United States were crops of fruit without irrigation, general freedom similar to those in most of Europe. from spring frost insures a large proportion of The modern international fresh fruit and veg- full crop years and absence of rain at the ripen-etable trade depends for its existence on trans- ing season makes ideal conditions for drying outportation and refrigeration. Even after the intro- of doors with a minimum of labor and equip-duction of the refrigerator car railroads did not ment, Californian preeminence in sun driedextend the commercial production of fresh fruits was rapidly established and successfullyfruits very far from the centers of population maintained. as long as natural ice had to be obtained at The production of fruit in the Rocky Moun-both ends of the run. But the development of tain and Pacific coast region of the Unitedmechanical refrigeration and the modern cold States has been the primary cause of Americanstorage plant, supplemented by controlled tem- advance in the art of irrigation. Early irrigationperatures in the holds of ocean vessels, have was largely a work of necessity, performed bymade possible the present day fruit and vege- Fruit and Vegetable Industry 509 table industries. The building of the first corn -dependent upon the banana for their existence. mercial ice plants in 1886 and 1887 was followed Special facilities for transporting and ripening within a year by the first long distance ship- are provided in consuming countries. Every step ments of fresh fruits and vegetables under re-of the process from the clearing of the tropic frigeration. Transatlantic steamers immediatelyjungle to the jobbing of the delivered product provided refrigerated space for fresh meats, andin markets on other continents is controlled by as that trade decreased, the increase in fruita few gigantic organizations with national and exports created a demand for refrigerator spaceinternational political and economic influence. to an even larger number of ports. The fruitThe grape and wine industry of the Rhine, the business alone led to refrigerator service fromlemons of Sicily, the oranges of Spain, the Zante Pacific ports through the Panama Canal directcurrants (small raisins) of Greece, the figs of to Europe. Smyrna -each illustrates a localized fruit inter- In internal commerce refrigeration has madeest of international importance, and each is a possible an extension and concentration of berrychief source of income for a region. and bush fruit production far from the larger The mixed orcharding and vegetable growing markets as striking as any aspect of the treeof northern Europe is yielding slowly to the fruit industry. In the United States many thou-tendency toward specialization. Until recently sands of carloads of strawberries are grown onlimited national domains, with the difficulties cut over pine lands in Louisiana, on the coastalwhich beset shipments of perishables across sands of North Carolina and on the relativelynumerous boundary lines and through a maze infertile soils of western Tennessee and the of customs regulations, have checked free corn - Ozarks. These reach all important markets inpetition between producing areas and the grower such volume that the cheapest strawberries ofhas not been compelled to confine his produc- the year in all the country north of the Ohio tion to fruits in which he has a natural advantage and Potomac rivers are those which come fromover other growers. But already French lettuce, a distance and well in advance of the localItalian cauliflower, and tomatoes from Cam- season. Dewberry production for the east cen-pania and Emilia are seen regularly in British ters in North Carolina. The greatest long dis-markets and to some extent in Germany. Eng- tance movement of raspberries is from Pugetland imports onions from Spain from May to Sound. The quick freezing process promises to February, from Egypt in the spring and from put fresh berries, in small packages, into theHolland and Germany in the summer. Heavy hands of every ice cream vendor in the land the shipments of apples from both the United States year around. and Canada are made to England every year. The concentration of production and extentSouth Africa supplies soft fruits. Spain, the of distribution of vegetables, such as tomatoesUnited States and the West Indies supply large and melons, are equally striking. Tomatoes fromquantities of citrous fruits, with Palestine as a the west coast of Mexico are sold in all Ameri-new competitor. London asparagus comes from can markets all winter. Cantaloupes and lettuceWorcestershire, cherries from Kent and cur- from Imperial valley, California, monopolize therants from Norfolk. Paris draws many of its markets of the country for several weeks. Water-vegetables and fruits from Vaucluse and Brit- melons from Georgia and Texas reach all Amer-tany; Normandy sends apples, Beigle near Bor- ican markets. deaux sends artichokes, Lalande near Toulouse Communities are almost as highly specialized sends spinach. Spain sends plums and, with as are the plantings of individuals. The We-Italy, beans and potatoes. natchee valley of Washington is almost one con- Those markets which are open to American tinuous apple orchard. For miles the lowercompetition are in self- defense attempting to Sacramento valley is set almost solidly to Bart-standardize their product and adopt trademarks lett pears. In central Georgia it is the peach, onand modern packing methods. Holland has been Cape Cod the cranberry. most successful in cooperative marketing. Bel- An increasing number of examples of a simi-gium has also attempted to reorganize its mar- lar regional specialization are to be found inketing technique, but until recently Belgian countries outside the United States. It is thecooperative societies buying fertilizers and other banana trade which makes Central America im-supplies have been more successful than selling portant to the rest of the world. Railroads in societies. producing areas and ocean steamship lines are Common interests and problems, arising out 510 Encyclopaedia of the Social Sciences of long time investments, seasonal needs foriron furnace on wheels drawn up and down the labor and packing facilities, and a common mar-rows. Power sprayers with perforated nozzles ket have in the United States also led to co-drive a fine mist through the trees. Thinning operative effort and organization among fruitthe fruit, propping or bracing overloaded trees growers, from the cranberry growers of Capeand picking the crop are among the few remain- Cod to the apple growers of the Pacific north-ing hand operations. Fruit is trucked to packing west and the orange growers of southern Cali-houses at high speed. It goes through an acid fornia and of Florida. Local cooperative effortbath, thence perhaps through a mechanical is almost everywhere successful in fruit regions,drier; then over a grading table to be distributed but an element of monopoly seems to be a pre-through a machine which separates sizes with requisite to large scale cooperative marketing. great accuracy ready for the packers. Mechanical Geographic limitation of orange and cranberry conveyors bring empty packages and carry away production affords the necessary monopolisticthose which are filled. A mechanical device ap- possibility. Deciduous fruits are grown so widelyplies the lid to boxes with a bulge pack. and fall into so many naturally competitive dis- The most highly specialized vegetable areas tricts that cooperation has thus far been strictlyhave, in contrast, tended steadily toward the de- local. The organization of growers into largevelopment of tenancy and absentee landlordism. units for purchasing supplies as well as for mar-Extensive and specialized vegetable production keting crops has forced the consolidation ofhas led to the drainage of vast swamp or muck competing agencies into larger units. As a resultland areas now given over wholly to onions, the entire fruit growing community is effectivelycelery and other so- called muck land crops. The represented by a limited group. The marketingdevelopment of these lands has required much of the crop is accomplished with less loss andcapital, and they have a high rental value be- waste than is generally believed. Few industriescause of their large annual return; but there is in the United States are better represented be-nothing to commend them to the capitalist or fore state and national legislative or officialhis family as places of residence. They are low bodies, a fact which largely explains why fruitsand flat, usually with a long muddy season and enjoy such marked consideration by lawmakingwith water supplies of questionable quality. The bodies and are so very generally sheltered byinevitable result is tenantry by operators who protective tariffs and other trade barriers. are held to the soil only by the hope of quick In earlier periods the growing of fruits andand substantial gains. These tenants are neces- the growing of vegetables were closely related,sarily financed by the landlord or a marketing the two often coming from the same farms inagency. No local bank can afford to finance large the same wagons to the same markets. As theirscale local vegetable operations. A single crop production has been freed from confinement tooften requires an outlay about equal to the value suburban lands by the development of quickof the land on which it is grown. The tenant will transportation and refrigeration, the separationremain on such land only until he is able to of fruit and vegetable growing into two distinctestablish himself elsewhere. A single bad year industries has become more marked. The chan-may provoke a large exodus. Meantime large nels of distribution, particularly of retail dis-numbers of laborers of the least skilful type tribution, remain the same, but methods andmust be imported and released as needed for conditions of production present striking con-specific operations. The financing agencies must trasts. This is especially the case in the Unitedoften attend to this. Obviously such a population States. has little stability; with only an annual interest Orchards represent a long time investment;in the crop and no permanent stake in the com- they require progressive and intelligent care.munity tenants have never yet formed effective Moreover, fruit lands abound in attractive home cooperative groups. sites. Fruit areas therefore usually contain a Not all large scale vegetable farming is on highly permanent farm owning class. The mod-muck land, but in the irrigated deserts and allu- ern fruit industry has undergone a marked proc-vial bottom lands so large a part is conducted ess of mechanization of production as well asofby tenants or by the holders of small equities transportation and distribution. Apple cultiva-who are dependent upon distributors for their tion, for example, is done by the tractor withoperating capital that effective and permanent extension harows which operate underlow, cooperative organization has been found im- spreading trees. Prunings are burned in a sheetpracticable. A few potato growers' exchanges Fruit and Vegetable Industry-Fry 511 have survived for several years and operate on (Berne 1930); Zahn, F. P., Deutschlands Obstanbau a large scale; but these potato regions stand und Produktion (Königsberg 1927); Germany, Aus- midway between orchard and muck land dis- schuss zur Untersuchung der Erzeugungs- und Ab- satzbedingungen der deutschen Wirtschaft, Unter- tricts, the crop being grown almost entirely byausschuss für Landwirtschaft, Die Verwertung der permanent landowning farmers who are largely deutschen Kartoffelernten (Berlin 1928), and Erzeu- able to finance their own operations. gongs- und Absatzverhältnisse im deutschen Gemiise- The specialization of fruit and vegetable grow-und Obstbau (Berlin 1929); Germany, Reichsmini- ing has given rise to a labor problem of some sterium für Ernährung und Landwirtschaft, "Anbau und Absatz landwirtschaftlicher und gartenbaulicher magnitude. Many operations, particularly inErzeugnisse in Italien und den Niederlanden," Be- fruit production, require a large supply of rela- richte über Landwirtschaft, n.s., special no. 19 (Berlin tively skilled labor, but the demand is highly 193o); United States, Bureau of Foreign and Domes- seasonal. In the United States thousands oftic Commerce, "Fresh Fruit Industry of the Union of laborers migrate with the fruit and vegetableSouth Africa" by E. B. Lawson, "Fresh and Canned Fruit Industry of Porto Rico," and "Australian Raisin seasons, often operating through nearly 1500 and Currant Industry and Trade" by E. C. Squire, miles of latitude. An increasing number of theseTrade Information Bulletin, no. 737 (193o), no. 669 migratory workers are Mexicans. In Europe the (193o) and no. 699 (193o); University of California, beet sugar harvest draws laborers from as farAgricultural Experiment Station, "Fruit Markets in Eastern Asia" by B. H. Crocheron and W. J. Norton, as Poland. The problem, however, is of lessBulletin, no. 493 (Berkeley 1930); International La- magnitude for the fruit and vegetable industries bour Office, The Representation and Organisation of of Europe as a whole than for those in the United Agricultural Workers, Studies and Reports, Ser. K, States. The seasonal and migratory character of no. viii (Geneva 1928); National Institute of Indus- such labor militates against effective trade union- trial Psychology, An Investigation of Certain Processes and Conditions on Farms, Report, no. 2 (London 1927) ism, and the securing of satisfactory conditionsp. 58-44. See also United States, Department of for these workers is a problem which still awaits Agriculture, "A Bibliography of the History of Agri- solution. culture in the United States" by E. E. Edwards, WELLS ALVORD SHERMAN Miscellaneous Publications, no. 84 (1930). See: FOOD INDUSTRIES; FOOD SUPPLY; AGRICULTURE; AGRICULTURAL MARKETING; REFRIGERATION; CAN- FRY, ELIZABETH GURNEY (1780 -1845), NING INDUSTRY; MIGRATORY LABOR. English philanthropist and prison reformer. Elizabeth Gurney was the daughter of a wealthy Consult: Fairford, F., Fruit and the Fruit Trade (Lon- don 1926); Smith, J. Russell, Industrial and Commer- Quaker banker and married a London merchant. cial Geography (new ed. New York 1925) ch. vi; Her husband later suffered economic reverses United States, Department of Agriculture, Agricul- which compelled her to manage her own house- ture Yearbook 1925 (1926), containing a large number hold of many children but did not deter her of articles on the fruit and vegetable industry; Sher- from continuing her reformist activities. Early man, W. A., Merchandizing Fruits and Vegetables (Chicago 1928); Jones, H. A., and Rosa, J. T., Truckin life she had undergone a deep religious expe- Crop Plants (New York 1928); Auchter, E. C., and rience and had become a preacher. In 1813 she Knapp, H. B., Orchard and Small Fruit Culture (Newbegan her practical work in prison reform by a York 1929); Gardner, V. R., The Cherry and Its Cul- visit to Newgate prison in London. She was ture (New York 193o); Folger, J. C., and Thomson, C. M., The Commercial Apple Industry of North Amer- horrified by the usual spectacle of the herding ica (New York 1921); Washington State College, Ag- together of the accused, debtors and criminals, ricultural Experiment Station, "Economic Aspects ofby the unspeakable filth, the lack of decent the Washington Fruit Industry" by Neil W. Johnson, clothing, the scanty and miserable food and the and "Economic Aspects of Apple Production in Wash- presence of small children in prison with their ington" by Neil W. Johnson, Bulletin, nos. 238-239 (Pullman 1930); Adams, F. U., Conquest of the Tropics mothers. Mrs. Fry raised money to buy clothes (New York 1914); United States, Bureau of Foreignfor the women inmates, to establish a school, to and Domestic Commerce, "Foreign Trade in Fresh institute Bible reading and religious instruction Fruits" by D. J. Moriarty, Trade Promotion Series, and to provide regular preaching. In 1817 she no. 90 (193o); Great Britain, Committee on Distribu- tion and Prices of Agricultural Produce, Interim andformed the Association for the Improvement of Final Reports (London 1924) rio. ii; Université d'Aix- Female Prisoners in Newgate. She was per- Marseille, Faculté de Droit, "Essai d'enquête écono- mitted by the prison authorities to work out a mique, les fruits et les légumes en Provence et dans les system of prison discipline which embodied the Alpes- Maritimes," Annales, n.s., vol. ix (Aix- en -Pro- separation of the sexes, the differentiation and vence 1922); Berne, Canton, Statistisches Bureau, "Umfang, Zusammensetzung und Sortenaufbau des classification of types, female supervision for bernischen Obstbaues," Mitteilungen,n.s.,no. ivwomen inmates, religious instruction and prison 512 Encyclopaedia of the Social Sciences employment. The results achieved established Throughout his controversies Fuchs, who was Mrs. Fry's international reputation. She ex-not a professor but a practising attorney in tended her activities to other British penal insti-Karlsruhe, proved himself an important figure tutions and sought to influence the governmentin contemporary life. He stood within the cur- to reduce the horrors in the treatment of con-rent of a philosophico- historical development victs deported to Australia. Later she traveledwhich others have advocated under the term extensively on the continent, visiting prisons inInteressenjurisprudenz or Freirechtswissenschaft. France, Prussia, Switzerland, Belgium, HollandYet despite the many who shared his views and Denmark. Mrs. Fry also established sheltersFuchs always preserved his individuality. Lack- and soup kitchens for the paupers and beggarsing the gift of establishing a coherent legal sys- in London. tem he devoted himself to casuistry and espe- HARRY E. BARNES cially directed his biting criticism against many Consult: Memoir of the Life of Elizabeth Fry, ed. by R. decisions of the German Supreme Court. The E. Cresswell and K. Fry (2nd ed. London 1847, abr. tone of his polemical writings was frequently ed. 1856); Timpson, T., Memoirs of Mrs. Elizabethstinging, but for this very reason they had a Fry, 2 vols. (London 1847); Lewis, G. K., Elizabeth Fry (London 1909); Richards, L. E. H., Elizabeth Fry, stimulating effect. The manifest growth of the the Angel of the Prisons (New York 1916); Tabor, M., sociological spirit in present day German legal Pioneer Women (London 1925) ch. i. practise is to be attributed primarily to the work of Fuchs. FUCHS, ERNST (1859-1929), German jurist. J. WILHELM HEDEMANN Fuchs may be considered the founder of the Consult: Gmelin, J. G., "Dialecticism and Techni- so- called free law movement in Germany. He cality: the Need of Sociological Method" in Science of became the champion of a liberal, sociological Legal Method, Modern Legal Philosophy series, vol. approach to law when during the first two dec-ix (Boston 1917) ch. iii, and literature there cited; ades of the twentieth century he published a Hedemann, J. W., Einführung in die Rechtswissen- schaft, Grundrisse der Rechtswissenschaft, vol. ix (2nd series of books which attracted wide attention; ed. Berlin 1927) p. 197 -200. Schreibjustiz undRichterkönigtum (Leipsic 1907); Recht and Wahrheit in unserer heutigen Justiz FUEROS. See CUSTOMARY LAW; CIVIL LAW. (Berlin 1908); Die Gemeinschädlichkeit der kon- struktiven Jurisprudenz (Karlsruhe 2909); andFUETER, EDUARD (1876- 1928), Swiss his- Juristischer Kulturkampf (Karlsruhe 1912). Intorian. Fueter studied at Basel and Berlin. He all these works Fuchs contended that juridicallectured on modern history in the University of theory and practise in Germany had becomeZurich from 1904. to 1921 and acted as political antiquated and senile and needed rejuvenationeditor for twelve years on the Neue Züricher at its head and in its members. He therefore Zeitung. He was a tireless investigator, a man of preached a "juridical modernism" and a juridi- many sided culture, wide knowledge of lan- cal Kulturkampf against the principal evils ofguages and a thoroughly modem point of view his day in the administration of justice. These in historical interpretation. His chief works are evils lay for him in the prevailing habit of "con - Geschichte der neueren Historiographie (Munich structionalism." He meant thereby that both in 1911, znd ed. 1925), the first history of general juristic literature and in judicial decisions con-historiography and a valuable handbook both as clusions were based not on the sociological re-to facts and method, in which the epochs of quirements of life, but upon mere intellectualrationalism (humanism, Renaissance, Enlight- concepts. Since he believed that the exaggeratedenment) are treated with special acumen; Ge- tendency toward a purely conceptional treat-schichtedeseuropäischen Staatensystems von ment of law had been originated by the school1492-1559 (Munich 1919), splendidly arranged, of Roman law predominant in Germany in themodern in conception, with great reserve in the nineteenth century, he spoke of a war against expression of political views; Weltgeschichte der "pandectology." The term cryptosociology, alsoletzten hundert Jahre, 1815 -1920 (Zurich 1921; coined by him, has become especially famous. tr. by S. B. Fay, New York 1922), a less impor- It signifies a method by which a decision istant work which has been much criticized, al- reached on equitable grounds, without thesethough it is a real universal history with an being openly acknowledged; the sociologicalextensive treatment of America and Asia; Die contents are hidden behind forced logico -con-Schweiz seit 1848, Geschichte, Politik, Wirtschaft structivist forms. (Zurich 1928), the best work on recent Swiss Fry-FuFug Family 513 history and the political and economic democ-exploitation of these resources, partially explain racy of Switzerland, with much emphasis uponhis amazing success. But they count for less in sociological and economic points of view. Inthe reckoning than Jacob's innate capacity and addition Fueter published a number of smallerunivalent purpose to "go on making a profit as studies on the fifteenth and sixteenth centurieslong as he could." It was Jacob who more con- and displayed a wealth of critical activity insistently, boldly and ingeniously than any of his newspapers and other periodicals. In all hisrelatives developed the unique organization of works he evinced a very strong interest in andthe Fugger business. Although he himself had understanding of the Romanic and Anglo -Saxon no children, his plans were laid with a view to characters and achievements; his point of viewthe concentration of the family wealth through as a historian was west European but in allhissucceeding generations in the hands of those works he was eminently universal in outlook,members who would employ it for the creation geographically and actually. He died just as heof new wealth. The principles which guided him was preparing to write a handbook ofmodernas well as the devices he contrived to putthem history for American universities; at that timeinto effect are summed up in his last will, made Harvard University was to have called him toa few days before his death. Thepartnership the chair of European history. was to be restricted to male representativesof EMIL DURR the family in the direct Fugger line, and neither outsiders nor relatives by marriage could be FUGGER FAMILY. The family fortunes ofadmitted; there was to be no dispersal of capital these famous south German capitalists of thethrough the withdrawal of large sums by female Renaissance period may be traced back to aboutheirs or others not participating directly in the 138o, when Hans Fugger left his Swabian vil-partnership; none but the ablest members of the lage, Graben, and settled in Augsburg. Probablyfamily were to have a share in the administration he worked there as a mere master weaver untilof the business. the expansion of fustian weaving in south Ger- In the form in which it crystallized under many offered an opportunity to hiscommercial Jacob II the Fugger firm combined the three talent. While many of his fellow craftsmen inactivities of international merchant, banker and town and country were becoming more and moreindustrial entrepreneur. As the primary mer- dependent upon the Augsburg merchants whocantile concern of the family Jacob established . controlled the importation of the raw materialmetals in preference to textiles, which from the from Venice and marketed the finished cloth,time of Hans had engaged the attention of his Fugger rose to the rank of merchant himself.ancestors; the spice trade which in his day was He imported his own cotton and sold his owntempting other famous mercantile firms in south fustian, and gradually began to dispose of theGermany, such as the Welsers, he usually avoided products of other less enterprising weavers as as too speculative. The principalmetals dealt in well. He may also have dealt in other waresby the Fuggers were the silver and copper of which figured in the German -Italian trade. Cer-the Tyrol and Hungary -the two most produc- tainly such transactions were carried on by histive areas for these metals in the world until the two sons, one of whom, Jacob I (1407? -69), middle of the sixteenth century -and Spanish founded the branch of the family known fromsilver and quicksilver. In return for large loans its coat of arms as the Fuggers of the Lily. Withto the reigning princes, particularlythe Haps- this branch the future mercantile history of theburgs, the Fuggers received monopolies in the family is associated. purchase of ore. Thus by the same contract they Jacob I's son, Jacob II (1459 -1525), or "Jacobbecame royal creditors and controllers of the ore the Rich," stands in European economic historytrade; the profits reaped were proportionate to as the outstanding genius ofthe early capitalistic the dexterity displayed. From their interest in period. An apprenticeship served in Venice,regulating the sale of ore they were led grad- where he became permeated by the spirit ofually into investing capital in its production economic individualism and rationalism of Ren-until finally they assumed the actual ownership aissance Italy, and his inheritance from his fatherand direction of the mines and became the pro- and two elder brothers, Ulrich (1441-15 io) andtotypes of modern captains of industry.The George (1453 -1506), whose mercantile exploi-more their capital was absorbedby mining, the tation of the wealth of south Germany hadmore reason they had to retain and augmentthe already broken the path for his far more rigorous emperor's favor or protection; and since their 514 Encyclopaedia of the Social Sciences money was always needed by the Hapsburgs his trade in commodities. As a consequence after they became constantly more deeply involved inhis death, when control of the firm had passed financial transactions with the imperial family.to his son Markus and other members of the The consistency and effectiveness with whichfamily, the Fuggers lost most of their wealth in they placed their financial resources at the dis-the great national bankruptcies- particularly the posal of Maximilian 1, Ferdinand 1, Charles vSpanish and Dutch -of the sixteenth and seven- and Philip II have perhaps never been equaledteenth centuries. In the latter century their com- by any other mercantile house in the service ofmercial activity ceased. What remained of their royalty -even the house of Rothschild not ex-wealth was chiefly the landed property, which cepted. For decades Jacob Fugger was also anJacob Fugger had rendered immune to the vacil- outstanding financier of the popes. The mighti-lations of mercantile and financial fortune. est supplicant for his money could not win his JAKOB STRIEDER assistance without offering at least ample se- Consult: Strieder, J., Jakob Fugger der Reiche (Leipsic curity; but Jacob took still further precautions 1926), tr. by M. L. Hartsough (New York 1931), to insure himself against royal insatiability byDie Inventur der Firma Fugger aus dein Jahre 1527, investing a considerable portion of his wealth Zeitschrift für die gesamte Staatswissenschaft, sup- plementary no. xvii (Tübingen 1905), and Studien in real estate, partly urban but mainly rural. zur Geschichte kapitalistischer Organisationsformen (2nd This property, the most valuable constituents ofed. Munich 1925); Ehrenberg, R., Das Zeitalter der which were the great imperial domains of Swa- Fugger, 2 vols. (Jena 1896), abridged tr. by H. M. bia, became the nucleus of a family entail which Lucas as Capital and Finance in the Age of the Renais- sance (London 1928); Jansen, M., Die Anfänge der Jacob designed to be held in common by the Fugger (bis 1494), Studien zur Fuggergeschichte, vol. i active members of the business and to be in- (Leipsic 1907), and Jacob Fugger der Reiche, Studien alienable by them. When Jacob died in 1525 his zur Fuggergeschichte, vol. iii (Leipsic 1910); Schulte, firm was the wealthiest then existing. From a A., Die Fugger in Rom, 1495- 1523, 2 vols. (Leipsic little over 5o,000 Rhenish (gold) guldens in 1494 1904); Hälbler, K., Die Geschichte der fuggerschen Handlung in Spanien (Weimar 1897); Scheuermann, its capital had swollen to more than 2,000,000; L., Die Fugger als Montanindustrielle in Tirol und an immense sum considering that the RhenishKärnten, Studien zur Fuggergeschichte,vol.viii gold gulden had a gold content approximately (Munich 1929); Duvel, T., Die Gütererwerbungen equivalent to that of two dollars and a purchas-Jacob Fuggers des Reichen und seine Standeserhöhung, Studien zur Fuggergeschichte, vol. iv (Munich 1913); ing power of over ten times that amount. Weitenauer, Alfred, Venezianishe Handel der Fugger Jacob was succeeded as head of the firm by his nach der Meisterbuchhaltung des M. Schwarz (Munich nephew, Anton (1493- 156o), under whose lead- 1931). ership its capital and trade continued to grow in volume. At its peak in 1546 the business prop-FUKUZAWA, YUKICHI (1834- 1900), Japa- erty of the firm amounted to almost 5,000,000nese educator, publicist and reformer. Fuku- Rhenish gold guldens. Nor was Anton inferior to zawa was born of a samurai family and like all his uncle in general influence. The money whichsuch youths in feudal days was trained in the Jacob had extended on behalf of the HapsburgsChinese and Japanese classics until his twentieth to the electors of the Holy Roman Empire hadyear. In 1854. he went to Nagasaki -which was made possible the succession of Charles v asthe one port open to the Dutch, the only for- emperor in 1519; Anton's money permitted theeigners at that time permitted to trade in Japan Hapsburgs to prosecute the Schmalkaldic war-to study the Dutch language, which he thought and thus became a decisive factor in the coursethe key to western civilization. In 1858 Fuku- of the German Reformation. It was to Anton'szawa went to Tokyo (then Edo), where he counting house that the Spanish and Austriantaught Dutch, but soon realized that English Hapsburgs looked for their strongest financialwas a more important language and began to support in all their grosse Politik. Nevertheless, study it. In 186o he went to San. Francisco as before the middle of the sixteenth century the an attendant to the commander of the first company had lost the internal solidity which itJapanese frigate to cross the Pacific and brought had possessed under Jacob. The truth was thatback to Japan the first copy of Webster's dic- in spite of his luminous role in European finance tionary to enter that country. Shortly afterward and politics Anton lacked his uncle's genius forhe compiled and published an English- Japanese business. In the end he found himself powerlessdictionary. In 1861 he served as interpreter to to stem the flood of the Hapsburg demands fora shogunate mission which visited Paris, Lon- money or to offset the outflow by strengtheningdon, Berlin and St. Petersburg, and in 1866 he Fugger Family - Full Faith and Credit Clause 515 published the famous Seiyo jijo (Western con-courts and magistrates of every other state." ditions), a description of what he had observed,Since the clause was thus limited to the "rec- written in a style which could be understoodords, acts and judicial proceedings" of the even by the masses. In 1867 he accompanied acourts, the Congress of the Confederation was mission sent to Washington to buy a warshipempowered neither to provide a method of and guns and returned to Tokyo just after theauthentication nor, as was said in the case of shogun had abdicated in favor of the emperor.M'Elmoyle y. Cohen [38 U. S. 312, 326 (1839)], In 1868 he opened in Tokyo the Kei -O -Gi-to "legislate upon what should be the effect of Juku, the nucleus of a great educational institu- a judgment obtained in one state in the other tion consisting of primary schools, high schoolsstates." Prior to the adoption of this provision and colleges, now commonly called Keio Uni-the courts of the American colonies seem to have versity, which has produced many progressiveregarded the judgments of courts of sister colo- leaders in politics, finance, business and jour-nies as foreign judgments in default of provision nalism. Before his classes Fukuzawa translatedto the contrary, such as was enacted by the orally the works of Adam Smith, Mill, Spencerprovincial Act of 14 George HI, C. z, for the and Darwin, his favorite authors. He ridiculedprovince of Massachusetts Bay. Confucian politico -ethical concepts and urged The brief discussion of the full faith and the substitution of western ideas. In 1882 hecredit clause in the Constitutional Convention launched the J ji shinapo, a non -partisan dailyindicates that the original purpose was threefold: newspaper with a political, economic and socialto prevent repetitious litigation in a federal sys- educational policy. For many years this papertem of justice, to secure uniformity in the proof exercised great influence. Fukuzawa wrote nu-of official records and to make possible the merous books interpreting western civilizationfederal regulation of interstate rights, whether and advocating the rehabilitation of Japan onarising under legislative or executive acts or as progressive lines. He was frequently invited toa result of judicial proceedings. By the act of become minister of education but preferred to1790 the first Congress of the United States work through his school and his writings with-provided for the authentication of state legis- out the interference of the bureaucracy or aris- lative acts and judicial records and further en- tocracy. He was the foremost representative in acted that judicial records and proceedings, duly his fields of the generation of leaders who firstauthenticated, should "have such faith and undertook the making of the new Japan. credit given them in every Court within the KIYOSHI K. KAWAKAMI United States, as they have by law or usage in Works: Fukuzawa zensiu (Complete Works of Fuku- the Courts of the state from whence the said zawa), to vols. (Tokyo 1926); Fuku -o Jiden (Auto- records are or shall be taken." By the supple- biography of the Venerable Fukuzawa) (Tokyo 1899).mentary act of 1804 the provisions of the act Consult: Aston, W. G., "Yukichi Fukuzawa, Authorof 1790 were extended to the public acts, records and Schoolmaster" in Japan Society, Transactions and judicial proceedings of the territories of the and Proceedings, vol. v (1898 -1901) 28o -310; Miya-United States and countries subject to its juris- mori, Asataro, A Life of Mr. Yukichi Fukuzawa (Tokyo 1902). diction. The latter act was held in the case of Embry v. Palmer [107 U. S. 3 (1882)] to be an FULL FAITH AND CREDIT CLAUSE. Theexercise of the general judicial power of the provision in article iv, section 1, of the Constitu-United States government, complementary to tion of the United States, commonly referred tothe provisions of the full faith and credit as the full faith and credit clause, is as follows:clause. "Full faith and credit shall be given in each The fact that Congress has thus far not regu- State to the public acts, records, and judiciallated the effect of other than judicial records proceedings of every other State. And the Con-and proceedings has restricted the application gress may by general laws prescribe the mannerof the full faith and credit clause primarily to in which such acts, records, and proceedingsjudgments of courts within the United States shall be proved and the effect thereof." Theor its territories. The principal questionsin- clause was derived from the provision in thevolved relate to the effect of given judgments of last paragraph of article iv of the Articles ofa state in other states of the United States, to Confederation, which provided: "Full faith andthe defenses available in actions on a judgment credit shall be given in each of these states toof a sister state, to the application of the full the records, acts and judicial proceedings of thefaith and credit clause as between state and 516 Encyclopaedia of the Social Sciences federal courts and to the mode of enforcing sisterstate judgment may be more limited in other state judgments. states than is provided by the state of its rendi- For a brief period it was the prevailing viewtion (M'Elmoyle v. Cohen). Thirdly, the doc- that the full faith and credit clause and the acttrine that actions arising under penal and other of 1790 provided only for the authentication ofadministrative statutes are not transitory has judgments of sister states and did not give themled to the rule that a state judgment on a "penal" a more conclusive effect than was given undercause of action is not entitled to full faith and the common law doctrines of the time to foreigncredit [Wisconsin v. Pelican Ins. Co., 127 U. S. judgments, these being regarded as no more265 (1888)]. Fourthly, as a result of the doctrine than prima facie evidence. In 1813, however,that foreign corporations are not "citizens" a the leading case of Mills v. Duryee [11 U. S. 481state is not required under the full faith and (1813)] decided that "the record duly authenti-credit clause to entertain an action by a foreign cated shall have such faith and credit as it hascorporation on a sister state judgment [Anglo- in the state court from whence it is taken." TheAmerican Provision Co. v. Davis Provision Co. law was thus settled that if a judgment is con-no. I, 191 U. S. 373 (19o3)]. It should be added clusive in the state of its rendition similar effectthat to be given full faith and credit the judicial is to be given it in courts of other states. Theproceeding should be final under the laws of accepted view, however, is that it is conclusivethe state in which it is had. only as evidence; therefore a state court is not As to the recognition of state judgments in required to take judicial notice of the fact thatthe federal courts and vice versa, the broad there has been a prior judgment in the court ofterms of the act of 1790 extend full faith and another state on the same cause of action unlesscredit to state judgments in actions upon them it is pleaded as a defense. A more importantin the federal courts. Conversely, the state result is that, because of the artificial but neces- courts have been required by judicial interpre- sary distinction which is drawn between reme-tation of the act of 1804 to give full faith and dies and rights, the mode of suing upon thecredit to the judicial proceedings of federal as prior judgment and the methods of executionwell as territorial courts. available are determined by the law of the forum. Under the principles of the common law the Consequently, the actual results in the enforce-jurisdiction of a court is territorial and its judg- ment of a state judgment may vary in otherment has no effect of record outside the juris- states from those in the state of its rendition. diction. As a result, a judgment can be enforced The limitations which have been imposed byin other jurisdictions only by action brought judicial interpretation upon the application ofupon the judgment. This requirement generally the full faith and credit clause to state judgmentsprevails in England and the United States as to are chiefly the effect of other legal doctrines.the enforcement not only of foreign judgments The most important is that the court of thebut also of interstate and intercolonial judg- state rendering the judgment must have juris-ments. Australia, however, which has been diction; by the Fifth Amendment to the Con-strongly influenced by the American constitu- stitution the United States, and by the Four-tion in the drafting of its own, has incorporated teenth the states, are prohibited from deprivingin it an improved version of the full faith and any person of life, liberty or property withoutcredit clause providing a more effective federal due process of law. Consequently, unless theremechanism for the interstate enforcement of be in a personal action personal service or therights. By the Service and Execution of Process equivalent and in an action in rem jurisdictionAct, 1901, amended in 1912 and known as the of the subject matter, the judgment of a sisterService and Execution of Process Act, 1901- state is not constitutionally valid and therefore1912, which was enacted in pursuance of the is not entitled to full faith and credit. And, asconstitution of the commonwealth, provision was decided by Thompson v. Whitman [85 U.S. was made not only for the registration of judg- 457 (1874)1, the recital ofjurisdictional facts inments duly rendered in any state with courts the record of a state judgment does not precludeof similar jurisdiction in other states in which evidence to disprove them in the court of anotherexecution is desired, but also for the service of state. Secondly, under the unsatisfactory doc-the civil and criminal process of each state trine as to the remedial character of statutes ofthroughout the commonwealth. The advantage limitation it was decided in 1839 that the periodof the latter provision is that it tends to fix within which action may be brought on a sisterlitigation in the state where the subject matter Full Faith and Credit Clause-Fuller 517 is situate or the cause of action accrued insteadand more particularly of direct federal legisla-. of where the defendant happens to have beention in important fields of commercial law, e.g. served and thus to eliminate ab initio manybankruptcy, interstate commerce, and so on. In possible conflicts of laws. The authorization ofthe absence of federal legislation as to the gen- the direct execution of judgments, a method oferal law of conflicts the courts have been reluc- enforcement familiar incivil law countries,tant to extend the full faith and credit clause largely obviates the delay, expense and difficul-beyond the narrow legislative definition in the ties of obtaining jurisdiction over a judgmentact of 1790. Indeed, in certain fields, such as debtor which are inherent in the more usualdivorce, the jurisdictional requirements under English and American practise. the clause have been the occasion of a restrictive It should be noted, however, that the hardshipinterpretation which has led to confusion. In involved in requiring that a judgment debtorconsequence, the application of the full faith should be personally served in an action broughtand credit clause has been scarcely more effec- to enforce a foreign judgment has been some-tive than the very similar doctrines independ- what alleviated in a large number of Americanently developed by the courts as to foreign states by the enactment of attachment statutesjudgments; nor can it be said to have been sub- which provide for the enforcement of debtsstantially utilized as a means of securing uni- without personal service, if property of theformity in the enforcement of interstate rights. debtor can be attached within the jurisdiction. HESSEL E. YNTEMA The interesting suggestion has been made that See: FEDERATION; CONFLICT OF LAWS; JURISDICTION; Congress might even under the present full faith JUDGMENTS; COMITY; CODIFICATION; UNIFORM LEG- and credit clause constitutionally provide by ISLATION. new legislation for the registration ofjudgmentsConsult: Freeman, A. C., A Treatise of the Law of in other states as well as for service of processJudgments, 3 vols. (5th ed. San Francisco 1925) vol. throughout the Union. iii, ch. xxvi; Willoughby, W. W., The Constitutional Law of the United States, 3 vols. (2nd ed. New York Although the full faith and credit clause has 1929) vol. i, ch. xii; Costigan, George P., Jr., "The been primarily applied to sister state judgments,History of the Adoption of Section I of Article Iv there is some indication of a tendency in certain of the United States Constitution" in Columbia Law types of cases to extend its application by judi- Review, vol. iv (5904) 470 -89; Cook, W. W., "The cial interpretation to state statutes. Thus it hasPowers of Congress under the Full Faith and Credit Clauses" in Yale Law Journal, vol. xxviii (1918 -19) been said that a statute defining the rights and421 -49; Dodd, E. M., Jr., "The Power of the Su- liabilities of members in a fraternal association preme Court to Review State Decision in the Field [Royal Arcanum v. Green, 237 U. S. 531 (1915)] of Conflict of Laws" in Harvard Law Review, vol. and the laws of the state in which a life insur- xxxix (5925-26) 533 -62. ance policy was contracted [AetnaLife Ins. Co. v. Dunken, 266 U. S. 389 (1924)] wereentitledFULLER, (SARAH) MARGARET (MARCHESA to full faith and credit. It is probable that theseD'OssoLI) (1810 -5o), American literary and cases are to be explained by the desirefor asocial critic and feminist. Unusually erudite and certain degree of federal control in corporationself -reliant, Margaret Fuller early sought for and insurance cases. some suitable sphere of activity. To support These cases have led to the suggestion that aherself and her family she at first taught school, considerable degree of uniformity in the solutionfor a time under Bronson Alcott; from 5840 to of the troublesome problems of the conflict of 5842 she edited the Dial with her friend Emer- laws could be secured by a more liberal judicialson as nominal joint editor, at the sametime construction of the full faith and credit clauseconducting in Boston classes for women, called in conjunction with the due process clause. Theconversations, which attracted the attention of alternative suggestion that by federal legislationthe intellectual world. In 1844 she joined the interstate service of process could be authorizedstaff of the New York Tribune, for which she and the conflicts of laws resolved by "a code ofwrote critical reviews and general articles and uniform national laws" accord more directlyfor which she acted as correspondent while in with previous trends and with the powersEurope from 1846 to 1850. granted to Congress to prescribe the effect of Although interested in all problems of social state acts and judicial proceedings. Thus farreform Margaret Fuller was especially occupied tendencies toward uniformity have chiefly takenwith the question of woman's place in society. the form of the enactment of uniform state lawsShe did not believe that women's talents are 518 Encyclopaedia of the Social Sciences necessarily the same as men's, but she main-zen must be dedicated to the service of the state, tained that women could not adequately developand they would have regarded the fulfilment of their peculiar gifts until all artificial restrictionsthe civic obligation through the occasional exer- were removed and for that reason argued thatcise of the right to vote as a travesty of political women should be allowed to enter upon alllife. Nevertheless, Solon organized the constitu- forms of activity as freely as men. Both hertion of Athens on the principle of dividing the writings and her example were influential in the population into four classes according to prop- feminist movement. In her writings on this ques- erty and distributing the various public offices tion and on all social problems her transcen-among three of the classes in proportion to the dentalist tendencies are discernible in her em-value of their ratable property. There is here a phasis on individual improvement rather thanrudimentary indication of the conception that on collective activity. government should be representative of certain In Europe her reputation, based especiallyeconomic interests. on her pioneer study, Woman in the Nineteenth The great political invention of representation Century (New York 1845), brought her widefirst appears in a coherent form in the thirteenth intellectual contacts. In England she had metcentury, although the notion of the representa- Mazzini and when she went to Rome, wheretion of a community by some of its members she remained for more than three years, shemay have been much older. It existed as an im- became deeply interested in the cause of Italianportant part of the organization of the friars, and independence. During the siege of Rome sheparticularly of the Dominican order, as early as served as a nurse. There she married the Mar-1221. Later in the same century the idea was quis d'Ossoli, a youthful participant in the cause. consciously utilized in the formation of the early In 185o she and her husband and child wereEnglish parliaments. Thus in 1254 in the king's drowned on their way to America. absence the regents summoned a great council GRANVILLE HICKS to Westminster to which each sheriff was bidden Works: Collected Works, ed. by Arthur B. Fuller, 4to send "four lawful and discreet knights from vols. (New York 1855 -59). your county whom the county shall have chosen Consult: Higginson, T. W., Margaret Fuller Ossolifor this purpose." At the famous Model Parlia- (Boston 1884); Anthony, K., Margaret Fuller (Newment of 1295 the bishops and abbots were sum- York 1920); Bell, M., Margaret Fuller (New Yorkmoned by name, but the lower clergy were rep- 1930). resented on a definite electoral plant. By the end FUNCTIONAL REPRESENTATION. Theof the century Parliament had taken shape as a term functional representation is used in polit- national assembly consisting of clergy, barons ical science to describe the representation of spe-and commons. There was a rough correspond- cific economic groups, such as the workers orence between these classes and the threefold di- the employers in particular industries or bothvision of society into those who pray, those who workers and employers together, the membersfight and those who work, which in one form or of a profession and so forth. It must be dis-another can be traced back to the ancient world. tinguished from representation by class or rankBut recent historical research has discredited the or wealth, although in some cases the two idea that the early English parliaments were de- groups may coincide. A distinction may also he Iiberately organized on the basis of three estates drawn between conferring on special groups oras such. With the gradual withdrawal of the persons the right to vote with the general bodyclergy Parliament instead of being an assembly of citizens, by reason of the fact that they belong of the three estates became an assembly of lords, to a particular category, and giving separate rep-spiritual and temporal, and commons. The corn- resentation to that category. To the questionmons were probably the organized bodies of whether the purpose of representation by eco-freemen in the shires and towns; they repre- nomic groups is to represent a status or an in-sented the "poor folk of the land" and were dustry or an occupation there is no single answerelected in the full county court. which will fit all the facts and theories. Histori- The idea of embodying representatives of the cal analysis increases the difficulty of clear defi-priestly, military and plebeian orders in a parlia- nition. ment or council was prevalent throughout west- In the ancient world there was no representa-ern Christendom during the Middle Ages. The tion of any sort, functional or otherwise. Theactual institutions which were created varied Athenians believed that the whole life of a citi-from country to country. In France, for example, Fuller-Functional Representation 519 popular parliamentary institutions was essen- meetings of the Estates General weresummoned infrequent in-tially a demand for the representation of persons by the king at irregular and often Stuart Mill tervals from 13oz onward. The EstatesGeneralin their capacity of individuals. John in his influential book RepresentativeGovern- was an assembly ofbarons, clerics and bourgeoi- by elected ment (1861) ignored the whole questionof func- sie, the last named being represented with deputies. Each of these three orders or estatestional representation and dealt exclusively had its own deliberative chamberfor general de- what may be called by contrast territorial repre- cisions, and business was transacted onthe basis sentation. Nevertheless, there existed up to the of one vote for each order. This systemprevailedend of the nineteenth century in various coun- until 1789, when the third estate notonly de-tries electoral requirements which had the in- manded one vote for each memberbut with thedirect effect of producing something approach- Austrian support of the parish priestsdeclared themselvesing functional representation. In the empire, for example, 85 out of a total of 353 a National Assembly. All this relates to central government.In themembers of the lower house of the Austrian Middle Ages, however, local government wasin Reichsrath were elected to represent the largest than the centrallanded proprietors, or those most highly taxed, many ways more important the power. Municipal administration wasfor centu-while a further twenty -one were elected by ries inextricably bound up with theguild sys-chambers of trade and commerce either individ- tem. The governing body ofthe borough or cor-ually or in conjunction with the electoral town poration was largely composed ofmembers ofdistrict, and various persons in the towns were the various merchant and craft guildssituated inentitled to vote by virtue of the office or position the town, and there was often a deliberateinten-which they held. representative The conception of political democracy as a tion of making the town council of iso- of the different guilds. system involving the total representation In the centuries which followed theMiddlelated individuals grouped into territorial units Ages a gradual change took place from astrati-appeared to be firmly established in parliamen- fied society consisting mainly of orders to onetary assemblies all over the civilizedworld by consisting mainly of individuals. Democracythe end of the nineteenth century. In the twen- everywhere relies on the representation ofindi-tieth century, however, it has been severely viduals as such, an essentially atomistic concep-challenged both in fact and in theory in a large tion of society which would have seemed strangenumber of the leading countries. indeed to the political thinkers and statesmenof The most vehement although incoherent at- the thirteenth or the fourteenth century.Repre-tack before the World War came from the revo- sentation, moreover, has come to mean repre-lutionary syndicalists in France. The main em- sentation by election. In the Middle Ages therephasis in the exhortations of Sorel and his fol- was plenty of representationof classes, orders, lowers was laid on the general strike as an instru- occupations, functions, but little in the way ofment of revolution, on the need for violenceand election; in fact, representation did not neces-the desirability of direct action to secure control sarily imply election until the nineteenth cen-by the workers. In all the utterances of the ex- tury. Representatives might bechosen by aponents of syndicalism a fundamentaldistinc- public officer, by lot, by rotation or byothertion is assumed between an economic class and a methods. For the most part also representationpolitical party, and there is an underlying disbe- was not a right claimedfrom below but an obli-lief in the method of parliamentary representa- gation imposed from above -in the caseof par-tion. liament, a service required by the king. The immediate influence of revolutionary When the movement for democraticinstitu-syndicalism was short lived, as might have been tions swept across Europe in thenineteenthexpected in view of its insecure philosophical century there was no talk offunctional represen-foundation, the slender intellectual equipment tation. It is true that Sir Hugh Cairns assertedin of its exponents and the absence of a construc- the House of Commons in 1866 thatParliamenttive program. A more substantial effort to super- should be "a mirror, a representation of everysede parliamentary democracy was made by the class; not according to numbers, butaccordingEnglish guild socialists, who put forward a de- to everything which givesweight and impor-veloped scheme for the entire government of tance in the world without." Buthe was a voicepolitical, economic and social life by means of an crying in the wilderness, for the demandfor elaborate series of functional councils. 52o Encyclopaedia of the Social Sciences The starting point of guild socialism is thenau, formulated a political system which bore in assertion that the idea of democracy has becomemany ways a close resemblance to the guild so- entangled with a particular theory of govern-cialist doctrine. It had also a considerable indi- ment based on a totally false theory of represen- rect influence in forcing upon the public notice tation. This false theory is that one man canthe vital and intimate relationship which nor- "represent" another or a number of others andmally exists between a functional representative that his will can be treated as the democratic ex- and the rank and file of the functional group, as pression of their wills. No man, according to thecompared with the frequently remote and apa- guild socialists, can represent another and nothetic relationship between a territorial repre- man's will can be treated as a substitute for, orsentative and his constituents. The effect of this representative of, the wills of others. True rep-was shown by the admission on the part of such resentation is always specific and functional and severe opponents of guild socialism as Sidney never general and inclusive. What can be repre-and Beatrice Webb that in a socialist common- sented is never man, the individual, but alwayswealth the democratic organization of society certain purposes common to groups of individ-must spring from at least three distinct founda- uals. It follows naturally from this hypothesistions: man as producer, as consumer and as citi- that the theory or the practise of representativezen, with each of these functions adequately government commonly found in legislative as- represented in its appropriate institutions. semblies is utterly false and destructive of per- The radical thinkers to whom reference has sonal rights and social well- being. been made were only voicing in an extreme form Functional representation in the eyes of thethe dissatisfaction with parliamentary institu- guild socialists is open to no such objection, fortions widely felt among practical politicians and it does not profess to be able to substitute thepolitical scientists. The vast increase in the scope will of one man for the wills of many. In propor-of government, its extension into economic fields tion as the purposes for which the representative and the complexity of public administration have is chosen lose clarity and definiteness, represen- made both citizens and representatives aware of tation passes into misrepresentation. Thus, theythe shortcomings of election on a territorial basis. declared explicitly, misrepresentation is seen at The huge increase in the size of modern electo- its worst today in the omnicompetent "repre-rates (especially where women have been en- sentative" parliament, which professes to repre-franchised) has destroyed any real contact be- sent all the citizens in all things and therefore astween the parliamentary representative and the a rule represents none of them in anything. Real voters who elect him. The difficulty of the prob- democracy is to be found not in a single omni-lems with which modern states are confronted competent representative assembly but in a sys-has made it seldom possible for persons who are tem of coordinated functional representativenot experts or prepared to specialize to be able bodies. These guilds would represent particularto contribute usefully to parliamentary discus- functional groups and would in the last resort be sion. The close relation between central and lo- self -governing. cal government on the one hand and industry, The fatal weakness of guild socialism lies inagriculture, commerce and finance on the other the overwhelming amount of power it aims tohas produced a clear realization of the dominant confer on men and women in their capacity aspart played by economic interests in political producers. The selfish interests of particularlife, and a demand for representatives who can groups of producers are nowhere to be effectivelybring to the legislative assembly knowledge of subordinated to the claims of the consumer orindustry, of labor problems, or some other kind those of the general public. The difficulty ofof special experience. The impact of science, carrying on industrial processes under a system education, public health and other social services in which the workers have supreme control over on public administration has intensified the de- their own economic activities was demonstratedmand for the introduction of expertise into repre- by the breakdown of the building guilds whichsentative institutions. were started in England after the World War to It is scarcely surprising in view of all these give practical expression to the guild socialistforces working in the same direction to find in a creed. Little is now heard of guild socialism. Yetnumber of countries a well marked tendency shortly after the end of the war it had a strikingtoward either the supplanting of the parlia- echo in Germany, where many leaders of polit-mentary idea altogether or the supplementing of ical thought, including especially Walther Rathe-it by various devices for securing the representa- Functional Representation 521 tion of significant functions. In the Sovietprotection of their social and economic interests Union the principle of geographic representa-have a right to be legally represented in workers' tion has been entirely replaced by the system ofcouncils established for individual undertakings, soviets, or councils, of workers' representatives.in district workers' councils grouped in connec- Scarcely less significant is the Fascist regimetion with economic districts and in a federal in Italy. There, as in the Soviet Union, terri-workers' council. District economic councils and torial democracy has been completely displaced.a federal economic council are alsocalled for by An attempt is being made to construct a parlia-the constitution in order to combine the workers' mentary system based entirely onfunctionalcouncils with the employers and other classes of representation. The corner stone of the Fascistthe population. This article has been in part im- edifice is the syndicates which are officially au- plemented by the German Works Council Act. thorized to represent the various occupational Article 165 goes on to stipulate that all bills of groups of workers and employers -onefor eachfundamental importance dealing with matters of group. These syndicates arebuilt up into na-social and economic legislation shall before be- tional syndicates, the national syndicates intoing introduced be submitted by the federal gov- national federations embracing both workers'ernment to the federal economic council for its and employers' associations, and the nationalopinion. The federal economic council shall have federations are in turn united in national con-the right itself to propose such legislation, which federations of Fascist syndicates. There is also athe federal government is bound to introduce in complex arrangement of provincial unions. Un-the Reichstag whether it agrees with it or not. A der the present law 800 delegates to the recon-provisional federal economic council, not based structed Parliament are designated by the syndi-on district economic councils, was called intolife cates, and 200 candidates are proposed byvari- by a decree of May 4, 1920, and has been func- ous cultural, educational, charitable or propa-tioning since then. Its constitution has been con- gandist associations. The list of delegates is thensiderably modified by later decrees. revised by the Fascist Grand Council and finally In the international sphere numerous instances submitted en bloc to the electorate, which com-of functional representation are also to be prises all those paying syndicate contributionsfound. For example, the conferences of the In- together with certain other groups. This consti-ternational Labour Office are attended by per- tution clearly displays the corporative state,sons chosen to represent the workers' and em- with such representation as exists based entirelyployers' organizations as well as by government on functional activity. representatives. Such bodies as the International In a number of countries where democraticPostal Union clearly have a functional aspect. institutions based on territorial representation From what has been said it can be seen that have been maintained the idea of functional rep-since about 1910 there has been an almost con- resentation has been worked into the traditionaltinuous reaction at work against the system of fabric. In England numerous instances are to beparliamentary democracy based on territorial found. The Education Act of 1921 requiresrepresentation, which in the nineteenth century every local education authority tohave an edu-succeeded the legitimist principle of monarchi- cation committee which must contain persons ofcal rule in most of the civilized countries of the experience in education and persons acquaintedwestern world. That reaction has in some cases with the needs of various kinds of schools. Theseconsisted only of an intellectual revolt, as in the persons are to be nominated byoutside bodies.case of revolutionary syndicalism and guild so- The National Health Insurance Act of 1924 em-cialism; in others it has taken practical shape, as bodies a scheme for the functional representa-in the case of communism and Fascism. In every tion of specific interests, such as the medicalinstance, associated with the challenge to terri- profession and the suppliers of drugs, medicines torial representation and indeed forming an in- and appliances,inthe various committeestegral part of it, is a scheme for some alternative charged with administering the system of social form of representation based on function. The insurance. The minimum wage legislation en-idea of functional representation has been defi- acted in the Trade Boards acts of 1909 and 1918nitely introduced in greater or less degree in the contains analogous provisions. political institutions of a number of important A more striking example is to be found instates, including Germany, the Soviet Union, Germany. Under article 165 of the constitutionEngland, Italy, France and Jugoslavia. of 1919 workers and salaried employees for the With so much experimentation in process it is 522 Encyclopaedia of the Social Sciences scarcely possible at this stage to arrive at anysecuring expert knowledge in the conduct of final and complete evaluation of the merits ofpublic affairs or as a means of obtaining the the principle. But certain conclusions definitelyrepresentation of sectional interests. The former emerge. The first of these is that the vigor withhas much to commend it in a world of increasing which functional representation has asserted it- complexity where vocational qualifications and self in the past two decades is a symptom of theprofessional standards are being called for with dissatisfaction with which territorial democracyincreasing insistence. There is a growing belief is regarded in many quarters. It is abundantlythat those who take part in a social or industrial clear that the relatively simple legislative and ad-process have something of value to contribute to ministrative institutions which sufficed when thethe discussion of governmental policy where that main work of government consisted of the exer-process is concerned. But it does not follow from cise of police powers are inadequate to carry suc- this that the reins of government and in particu- cessfully the immense burden of positive dutieslar the control of economic enterprises affected and services which governments in all countrieswith a public interest ought to be handed over to are now expected to provide. It is certain there-the representatives of sectional interests. The

fore that large reforms and innovations in theultimate limitation to functional autonomy lies. structure and technique of democratic institu- in the difficulty of securing a disinterested will tions may be expected in the near future as re-in those who represent sectional interests. If the gards both legislation and administration. Itpost office were governed exclusively by repre- must not be assumed, however, that the imper-sentatives of the postal workers, it is almost cer- fections of existing institutions are necessarilytain that the interests of the consumer would due to the fact that they are based on territorialsuffer. In a legislative assembly constituted on a representation. This is not true in any substan-functional basis the disposal of a political ques- tial sense. tion of general import such as disarmament The next fact which emerges is that none ofwould doubtless depend largely on the sectional the advocates of functionalism has devised ainterests of dominant industrial groups. satisfactory method of allocating due weight to It may be inferred therefore that the vital each interest to be represented. No objectivequestion is the amount and character of the standard exists by which "due" weight can be functional representation which is admitted into measured. The importance of a function obvi-the governmental system. Functional represen- ously does not depend on the number of personstatives have, outside Italy and the Soviet Union, performing it; the medical profession, for in-been subordinated to territorial representatives stance, has a social importance out of proportionby numerical inferiority where both enjoy mem- to the numbers engaged in it. bership of a single body or assembly or by legal Another formidable difficulty inherent in func- or constitutional differentiation, such as by re- tional representation is that of determining thestricting functional bodies to advisory powers functions to be represented. Are industries toonly. The introduction of such limited functional be represented as such? Is transport a function?representation may not necessarily have disad- Or are the railways one function and motorvantageous results and may bring a valuable in- omnibus services another? Is the railway indus-fusion of expert knowledge. On the other hand, try a single function which includes diverse if dominance is given to the functional principle, undertakings such as hotels, restaurants and the an entirely different situation is produced, the repair shops belonging to the railways? Orresults of which seem unlikely to be favorable. should the railways' undertakings in each of WILLIAM A. ROBSON these lines be represented with the hotel, restau- See: REPRESENTATION; DEMOCRACY; GOVERNMENT; rant and shop industries respectively? Endless GUILD SOCIALISM; SYNDICALISM; PLURALISM; FAS- problems of this character arise from the lack of CISM; SOVIET;NATIONAL ECONOMIC COUNCILS; clear cut boundaries in economic life. LOBBY; ADVISORY BOARDS; EXPERT; BLOC, PARLIA- It is certain that functional representation if MENTARY; INTERESTS; MINORITY REPRESENTATION; extensively introduced everywhere would be de- FUNCTIONALISM. structive of the political party system as it at Consult: Guizot, F., Histoire des origines du gouvern- ment représentatif en Europe, z vols. (Paris 1851), tr. by present exists. But the precise effects in thatA. R. Scoble (London 1861); Barker, Ernest, The connection are impossible to predict. Dominican Order and Convocation (Oxford 1913); The whole conception of functional represen-Pasquet, D., Essai sur les origines de la chambre des tation may be regarded either as a method ofcommunes (Paris 1914), tr. by R. G. D. Laffan (Cam- Functional Representation - Functionalism 523 bridge, Eng. 1925); Pollard, A. F., The Evolution ofadjustment it referred the chances and changes Parliament (2nd ed. London 1926); Dicey, A. V.,Qf biography and history to necessary law and "The Balance of Classes" in Essays on Reform (Lon- immutable substance. It demonstrated every don 1867) p. 67 -84; Benoist, Charles, La crise de l'état moderne (Paris 1897); Rathenau, Walther, Der neuechange as an expression of changelessness, every Staat (Berlin 1922); Benoît, Francis de, La représenta- activity as a manifestation of substance. Thus tion des intérêts professionnels (Paris 1911); Laski, H. it treated of human nature as immortal soul J., and others, The Development of the Representative equipped with unchanging faculties; it treated System in Our Times (Geneva 1928); MacDonald, J. Ramsay, Syndicalism (London 1912); Lorwin, L. L. of nature as substance, as eternal idea or form, (Levine, Louis), Syndicalism in France (New Yorkunmoved and unmoving in itself but the cause 1914); Cole, G. D. H., Social Theory (London 5920);of the motion of all moving things, making them Webb, Sidney and Beatrice, A Constitution for theone with its oneness, good with its goodness and Socialist Commonwealth of Great Britain (Londontrue and beautiful with its truth and beauty. 192o); Haider, Carmen, Capital and Labor under Fascism (New York 193o); Gianturco, Mario, La legis-According to the philosophic tradition such lazione sindacale fascista e le riforma constituzionale order and direction as may be found in the dark (Genoa 1926); Great Britain, Parliamentary Debates,confusion of experience is an expression or pro- House of Commons, "Discussion of the 'Representa-jection into unreality of the lucid structure of tion of the People (no. 2) Bill' " in Official Report, vol. ccxlix (193,) 1695 -1811. the world of substance beyond. Outside of that world the daily life is a dim stream flowing; FUNCTIONALISM is a term which came intowithin, it is no stream. Reason, art, society, sal- the foreground of philosophic discourse in thevation are each and all projections or exempli- last quarter of the nineteenth century and hasfications of that single order amid the chaos of maintained an increasingly strong position thereevents. Thus all argument is of a foregone con- ever since. It sums up and designates the mostclusion; all invention only discovery; all tech- general of the many consequences of the impactnique- whether of government, law or business of Darwinism upon the sciences of man and-only the explication of priori principles; all ". nature. This was to shift the conception ofknowledge only revelation of a preexisting, self - "scientific thinking" into a temporal perspec-sustaining and self- sufficient hierarchy of sub- tive; to stress relations and activities as againststances; all conduct the exercise, discipline and terms and substances, genesis and developmentperfection of unchanging faculty. The oak exists as against intrinsic character, transformation aspreformed in the acorn, thé-Iiëñ in the egg, the against continuing form, dynamic pattern asman in the sperm. Growth and change are only against static organization, processes of conflictexpansion and emergence of a structure from and integration as against formal compositionits limitations, not the occurrence of new events out of unchanging elements. In short, the shiftcompounding themselves into a new creature. was from "structure" to "function" as the prin- This view is held no less by the materialisms cipal tool of scientific explanation and inter- of the philosophic tradition than by the ideal- pretation. isms. To both, substance or structure is primary These pairs of antitheticals, together withand original, activity or function is secondary others of similar intent, express contrasts whichand derivative. Functions which were so impor- experience is everlastingly turning up and oftant in social life that they might not be sub- which the classic tradition in philosophy hasordinated were hypostatized. Platonism indeed taken characteristic account. Since the life ofcould well be described as a system of hyposta- man is a sequence of events and not an eternal tized functions, extended by the logic of illation substance; since it is recorded as biography andto all events of experience; so, for that matter, history and not as principle or law, it constitutes could Marxism in so far as it holds that history a flux of experiences springing from an unknownis the dialectic movement of matter to a foregone source and flowing to an unknown terminusconclusion. Marxism is in fact a sort of inverted between birth and death. The concern of thePlatonism. classic tradition was to give character, local habi- Broadly speaking, the Darwinian hypothesis tation and name to the source and the terminus.tended to stand all this on its head. It effected It used the achievements and practises of reli- a transvaluation of philosophic and methodo -. gion, of art, of the economic establishment andlogical values, lowering the mighty from their the political institution as extensions of the un-seat in biology, psychology, logic, philosophy known. By means of data selected ad hoc from and the more strictly social sciences and exalting these modes of social interaction and externalthose of low degree. Activity or function, which 524 Encyclopaedia of the Social Sciences had been treated as a dependent variable, ato set up "the functional point of view" both faculty of fixed structure or form, to be definedas a cause and as an expression of the temper of only with reference to such fixity, now beganthe times. Hence even its opposites must assume to receive the primacy formerly accorded to itsit to maintain relevancy. In assuming it, how- referent. Function tended to be regarded as theever, they distort it to congruity with their own original and to be treated as an independentpatterns and trends. variable, while structure or form was demoted The distortion is made possible by the fact to second place, a derivative and consequencethat function can be conceived in two ways: as of the play and sequence of functions. The cum-a going process, a neutral mechanism, calling ulative effect of this change has been to renderfor no external justification and generating its substance defunct. In psychology the soul hasrationale as it proceeds; or as a means to an end, been replaced with the "stream of conscious-. the activities of an agent accomplishing a pur- ness," and the latter with the responses of be-pose. In the concepts of survival of the fit and havior. In logic the "laws of thought" have been survival value the ghost of the agent still lurked. replaced with the theory of scientific method -It made the indifferent processes of Darwinism the techniques of trial and error, doubt, hypoth-easy to translate into the purposive direction of esis, investigation, experiment, verification: theLamarckism and other forms of vitalism, and "normative" with the instrumental. Data ofthus facilitated the absorption of the functional psychology were interpreted like those of anat-point of view into the philosophic tradition. omy and physiology as events in the interplayFunction and purpose, varied function and in- of two dynamic systems, one an organism react-variant purpose, have always been paired to-

ing to the other, an environment of stimuligether. But the real animus of functionalism lies !. among which the first grows but which werein the conception of function without purpose. '. not made for it. At first the reactions wereThe traditional philosophies stripped this con- regarded as functions in a struggle for survivalception of its essential meaning by means of the and were interpreted as survival values. Truthorganismic interpretation of community and was redefined as the survival value of the proc-individuality. All such interpretations involve esses of cognition, goodness as the survival valuethe hypostasis of function into substance. For of other processes of behavior and so on. Theinstead of taking activities at their face value, meaning of all events in biography or historyto observe, describe and measure, the organis- was set in their consequences to the fortunesmal interpretation treats them as a sequence of of the organism. Later, however, the processesparts energized and interrelated by a preexisting of behavior were taken sheer, as a sequence ofand unchanging whole called in one connection functions, without reference to any subsequentinstinct, in another want or wish, in another function, as a phase of any activity under ob- organism. It conceives this whole substantially, servation, without regard toits genesis anda being somehow different from their partsand without imputation of intent. their dynamic interrelations. Bergson, Driesch, The philosophical elaboration and defense ofMarx and the sectaries deriving from them, con- this use of "function" as an instrument of inter-trasted and antagonistic as they are, share this pretation and explanation is called pragmatism. mode of functionalism. But the mental posture and the methodology This derives perhaps from the fact that hu- here involved have a wide range beyond anyman life as it is lived is a compenetration of particular school of philosophy. They appear insurvivals, and the past from which the future fact to pervade all the sciences and to suffuseeventuates is so massive and pervading that and distort the prevailing philosophies. Thewilly -nilly old orders assimilate the new into reason is probably the fact that the whole trendtheir characteristic patterns. Thinking, which of the social process since Darwin has been in is quite largely a suffusion of new situations with the direction of functionalism and might bepast experiences, operates by folkways and mores described as its verification and validation. Theof its own. In these substance, if only as a ghost spread of machine industry with its impersonalor a Gestalt, and teleology, if only as anideal, automatic engines in continuous action; the tre-are continuously operative. Inevitablyspecific mendous acceleration of the tempo of life byproblems and situations are permeated with the industrial establishment; the adoption ofthose categories which automatically embrace "efficiency," "service," "progress" and the likein a defining frame the actual dynamics of con- as measures of value in the community; all tendflict and integration, compensation and control, Functionalism 525 repression and projection, among an individual's ing at an equally thoroughgoing functionalism drives and functions and a society's institutions,in anthropology, insisting that questions of ori- j groups, castes or classes. gins, stages and laws of development in culture Programs of reform and of social innovationare inferential and secondary and must wait exalting function take on a definite color in theupon the discernment of functions. Functions light of these observations. Thus guild socialism, are events going on, operations of bodily needs syndicalism, communism, Fascism put forwardand the instrumental uses of objects which con- radically conflicting philosophies of society. The stitute their cultural character. They are con- first interprets the contemporary socio- economictents of direct experience, susceptible to obser- `. process by means of an idealized mediaeval or- vationand analysis. Seen functionally, religion, der; the next in terms of the Bergsonian élan the arts and sciences become reduced to specific vital; the third through the dialectical material-habits, materials, meanings, activities, within ism of Marx; the fourth is a hybrid of syndi-the context of a cultural situation, and the forms calism and the postulates of capitalist economy.and structures of such cultural objects become They have in common a rejection of many as-derivatives, concretions or deposits of the dy- pects of the cultural aggregate, such as mon-namic relations in play. What ceases to function, archism, democracy, representative governmentceases to be. In the study of law an attempt is and the like. Such establishments, they declare,being made in various ways, notably by Pound, are modes of political operation and controlLlewellyn, Hamilton and Moore, to adapt the either by parties without any other than thecontent of the legal principle in the particular political interest and hence are social parasitesdecision to the observed character of the func- or by parties whose interests are aborted ortioning economic or social situation. Even ar- masked. The power which is said to elect gov-chitecture has caught the contagion and opposes ernment is not the power which actually controls"functional" building to historic styles, orna- it. Waste and hypocrisy automatically super-mentation and the like. Functional architecture vene; the social organism corrupts. For health is construction whose form arises out of the uses the elective and the controlling power shouldfor which it is intended and reenforces and is be identical. So syndicalism and guild socialismreenforced by those uses. It is presumably char- propose what communism and Fascism en-acterized by the economy, simplicity and ele- deavor to accomplish as the communist andgance that go with perfect efficiency, discarding corporative states. Theoretically and program-superfluities and every other mode of obscuring matically such states are organic wholes. Allor defeating the maximum of use. their citizens are organized in industrial unions, HORACE M. RALLEN soviets or corporations. Each division of an in- See: PHILOSOPHY; PRAGMATISM; SCIENCE; PSYCHOL- dustry constitutes a function within the industry OGY; BEHAVIORISM; GESTALT; INSTINCT; ORGANISM, and each industry as such constitutes a function SOCIAL; EVOLUTION, SOCIAL; CULTURE; ECONOMICS, of the state as a whole, integrated with its fellow section on INSTITUTIONAL SCHOOL; GUILD SOCIAL- ISM; FUNCTIONAL REPRESENTATION; PLURALISM; LAW; industries in and through the whole and deriving ARCHITECTURE. through this integration all the value or signifi- Consult: Darwin, Charles, The Origin of Species (6th cance they possess. Closely related to these cor- ed. London 1872); Henderson, L. J., The Fitness of porative and organismal variants of functional the Environment (New York 1913); Hachet - Souplet, political theory is the recent trend toward plu- P., La genèse des instincts (Paris 1912); Ritter, W. E., ralism. The chief animus behind the disintegra- and Bailey, E. W., The Organismal Conception (Berke- ley 1928); Meyerson, E., De l'explication dans les tion of the monistic conception of the state is sciences, 2 vols. (Paris 1921); James, William, Prag- the desire to establish a functional connection matism (New York 1907), and Principles of Psychology, between the principle of growth in a group or 2 vols. (New York 189o); Bergson, H., L'évolution association and its mechanism of control. créatrice (Paris 1907), tr. by A. Mitchell (New York 1911); Dewey, John, Reconstruction in Philosophy In economics functionalism has taken mainly(New York 192o), How We Think (Boston 191o), the form of institutionalism as embodied in theHuman Nature and Conduct (New York 1922), and point of view of Thorstein Veblen and his fol- Experience and Nature (Chicago 1925); Pierce, C. S., lowers. The hates and enthusiasms of Veblen Chance, Love and Logic (New York 1923); Kallen, often deviate him into teleology, but on the H. M., William James and Henri Bergson (Chicago 1914), and Why Religion? (New York 5927); Köhler, whole he appears as the most uncompromisingW., Gestalt Psychology (New York 1929); Thorndike, functionalist among social philosophers of theE. L., Educational Psychology, 3 vols. (New York last generation. Malinowski appears to be aim- 1913-14); Watson, J. B., Psychology from the Stand- 526 Encyclopaedia of the Social Sciences point of a Behaviorist (3rd ed. Philadelphia 1929), and elements within the churches and against purely Behaviorism (rev. ed. New York 1930); Holt, E. B.,scientific or secular interests in American civili- Animal Drive and the Learning Process, vol. i-(New York 1931- ); Sumner, W. G., Folkways (Bostonzation. In the former sphere it attempted to 1907); Malinowski, B., Crime and Custom in Savageexclude from the churches and particularly from Society (London 1926), and The Sexual Life of Sav- the control of their educational institutions those ages in Northwestern Melanesia (London 1929); Ames, who did not share the conservative faith. The E. S., The Psychology of Religious Experience (Boston effort was not generally successful, but in a 1910); Cooley, C. H., Social Organization (New York 1909); Todd, A. J., Theories of Social Progress (New number of denominational colleges the teachers York 1918); The History and Prospects of the Socialwere required to subscribe to the fundamen- Sciences, ed. by H. E. Barnes (New York 1925);talist creed on pain of dismissal and in other Marx, K., Das Kapital, 3 vols. (4th ed. by F. Engels, instances new colleges in which the creed was Hamburg 1890 -94), tr. by S. Moore and others (Chi-. cago 1906 -09); Veblen, Thorstein, The Theory ofmade obligatory were founded. The effort to Business Enterprises (New York 1904), and The Place control the public schools in the interest of the of Science in Modern Civilization (New York 5919); conservative dogma was expressed in the at- Lyon, Leverett S., "A Functional Approach to So- tempt to induce state legislatures to pass laws cial- Economic Data" in Journal of Political Economy, prohibiting the teaching of evolution. This po- vol. xxviii (1920) 529-64; Wolfe, A. B., "Functional Economics" in The Trend of Economics, ed. by R. G. litical phase of the fundamentalist movement Tugwell (New York 1924); Follett, M. P., The New was strongest in the southern and border states State (New York 1918); Russell, B., Roads to Freedom and made itself felt in the middle west but was (London 1918); Postgate, R. W., Bolshevik Theory weak or absent in the New England, middle (London 1920); Hobhouse, L. T., Metaphysical The- ory of the State (London 1918); Cole, G. D. H., Social Atlantic and far western states with the excep- Theory (London 1920), and Guild Socialism Restatedtion of California, where considerable contro- (London 1920); Laski, H. J., A Grammar of Politics versy developed around the textbook question. (2nd ed. London 1930); Elliott, W. Y., The Pragmatic The legislature of Tennessee enacted a bill in Revolt in Politics (New York 1928); Rockow, Lewis, 1925, reaffirmed in 1931, which made it unlaw- Contemporary Political Thought in England (London ful to teach in any tax supported school any 1925); Panunzio, Sergio, Che cos'è il fascismo (Milan 1924); Prezzolini, G., Le fascisme, tr. from Italian theory "that denies the story of the Divine crea- ms. by G. Bourgin (Paris 1925), tr. by K. Macmillan tion of man as taught in the Bible and to teach (London 5926); Wright, Frank Lloyd, Modern Archi- instead that man has descended from a lower tecture (Princeton 1931). order of animals." The constitutionality of the law was tested and upheld in the Scopes trial FUNDAMENTALISM is the name of an ag-at Dayton, Tennessee, in 1925 and in a later gressive conservative movement in the Protestantdecision in 1927 by the Supreme Court of the churches of the United States which flourishedstate. This trial formed the dramatic center of during the decade after the World War. It mani-the fundamentalist controversy. A similar law fested itself chiefly in the Baptist, Disciple andwas passed in Mississippi in 1926, while text- Presbyterian churches but received consider-books teaching evolution were barred in Okla- able support from other ecclesiastical groups.homa from 2923 to 5926. The Florida legislature It was characterized not only by its conservatismadopted resolutions disapproving the teaching of with regard to traditional popular Christian be-evolution but failed to enact a law. In many liefs but also by its aggressive efforts to impose other states, including Louisiana, South Caro- its creed upon the churches and upon the publiclina, Texas, Arkansas, Kentucky, Georgia, Ala- and denominational schools of the country. Its bama, Missouri and West Virginia, attempts to conservative supernaturalism was expressed inpass restrictive legislation of this sort were un- the "five points of fundamentalism," which in-successful, but it became evident through them cluded the doctrines of the inerrancy of thethat the strength of the fundamentalist move- Bible, the Virgin Birth of Jesus, the supernaturalment was considerable. Its effect upon the atonement, the physical resurrection of Jesusschools was measurable not only in terms of and the authenticity of the Gospel miracles. Thelaws passed but also in terms of social pressure, first of these points was interpreted by funda-particularly in many isolated communities in mentalism to apply particularly to the Biblicalthese states. In some instances local or state account of the creation of man in opposition toboards of education were prevailed upon to ex- the theory of evolution, which became the cen-clude textbooks unsatisfactory to the conserva- tral question of the fundamentalist controversy.tive sentiment or to exert corresponding pressure The movement was directed against liberalupon the teachers. Functionalism - Funerals 527 While fundamentalism drew a certain amountare characteristic not only of much traditional of sympathetic support from the conservativeChristianity but also of those groups which have religious groups, such as the Roman Catholicreceived the least profit from a rationalized cul- and Lutheran churches, and from conservativeture and of pioneer or isolated rural societies parties in other churches it often failed to enlistwhich remain most conscious of dependence for them in its aggressive efforts to influence legis-their livelihood on those processes of nature lation; and it remained distinguished from themwhich are least subject to human control. The by the manner in which it threw the weight ofrationalism and self- reliance of the opposing its interest upon the popular dogmas of Biblicalgroups, on the other hand, had been fostered inerrancy and miraculous supernaturalism whilenot only by science and education but also by conservatism remained primarily interested inindustrialized culture with its rational and arti- the doctrines of human sinfulness and divineficial methods of production and its immediate atonement. Fundamentalism shared with con-urban environment, all largely subject to human servatism distrust of human nature and reacted control. with it against the romantic and liberal dogma The fundamentalist movement was related of human goodness and self-sufficiency, but inin some localities to the Ku Klux Klan and to accordance with its non -theological and popularsimilar types of intense racialism or sectionalism. character it placed its emphasis on myth ratherWith them it shared antagonism to changes in than on doctrine. the mores which the war and its consequences, In the social sources from which it drew itsthe rise to power of previously submerged im- strength fundamentalism was closely related tomigrant or racial groups and other social proc- the conflict between rural and urban cultures inesses, brought forth. The political effectiveness America. Its popular leader was the agrarianof fundamentalism was due in part to this asso- W. J. Bryan; its rise coincided with the depres- ciation and to the support which it gave to sion of agricultural values after the World War;political leaders, who found in it a powerful it achieved little strength in the urban and in-symbolism representative of the antagonism of dustrial sections of the country but was activepolitical and economic minorities against the in many of the rural states. The opposing reli-eastern or northern urban industrial majority. gious movement, modernism, was identified on H. RICHARD NIEBUHR the other hand with bourgeois culture, having See: RELIGION; RELIGIOUS INSTITUTIONS; DOGMA; its strength in the cities and in the churches BELIEF; SACRED BOOKS; MODERNISM; RATIONALISM; supported by the urban middle classes. Further- SECULARISM; EVOLUTION; ACADEMIC FREEDOM. more, fundamentalism in its aggressive forms Consult: Cole, Stewart G., The History of Fundamen- talism (New York 1931); Lake, Kirsopp, The Religion of was most prevalent in those isolated communi- Yesterday and To- morrow (Boston 1925); Fundamen- ties in which the traditions of pioneer society talism versus Modernism, compiled by E. C. Vander - had been most effectively preserved and which laan (New York 1925); Shipley, Maynard, The War on were least subject to the influence of modern Modern Science (New York 1927); Kirkpatrick, Clif- science and industrial civilization. Its rejection ford, Religion in Human Affairs (New York 1929); Lippmann, Walter, American Inquisitors, University of a dynamic conception of creative processes of Virginia, Barbour -Page Lectures (New York 1928); was due partly to the inadequate development Smith, T. V., "The Bases of Bryanism" in Scientific of educational institutions for both clergy andMonthly, vol. xvi (1923) 505 -13; Slosson, E. E., laity in isolated and poor communities or reli- "Legislation against the Teaching of Evolution" in Scientific Monthly, vol. xxiv (1927) 473 -77; Lake, gious groups, partly to the static character of Kirsopp, "The Real Divisions in Modern Christian- the culture prevailing in these societies. The ity" in Atlantic Monthly, vol. cxxxv (5925) 755 -61; contrary movement was associated with an in- Ratner, Joseph, "Fundamentalism and the Doctrine dustrialized civilization in which the acceptance of Evolution" in Open Court, vol. xlii (1928) 348 -62. of change as a primary law of life was encour- aged by the dynamic and changing characterFUNERALS. In the United States ancient of the social process, especially in the economic funeral customs and traditions have been modi- sphere, as well as by the more effective contactfied by commercial enterprise: the old wedge with modern science through its schools. Again,shaped coffin has become obsolete; different the fundamentalist attitude reflected the distruststyles and grades of caskets are available, rang- of reason and the emphasis upon emotion, theing from a cheap cloth covered pine box to an doubt of human ability to solve ultimate prob-expensive cast bronze sarcophagus. In Europe, lems and the reliance on divine agency whichon the other hand, the number of styles of 528 . Encyclopaedia of the Social Sciences coffins is relatively small and these still followabsorbed. The average funeral bill in all New conventional lines. Embalming has been devel-York estates was $772; in Chicago it was $480 oped in the United States to a high degree ofand in Pittsburgh $460. The average funeral effectiveness. It is almost universally used, ex-charge for 7871 adult industrial policyholders cept among orthodox Jews, and has had ainsured by the Metropolitan Life Insurance marked effect on funeral customs and inci- Company was $363. The highest average, $484 dentally on funeral costs. The preservation offor New Jersey, was two and one half times the body makes it possible even in the poorestthe lowest average, $194 for North Carolina. funerals for the body to lie in state for severalFuneral charges were highest in the east and days. In most European countries embalminglowest in the south. Ohio, however, with an is seldom practised except when the body mustaverage cost of $415, outranked New York, be shipped to a distant point. where costs were $404. Newark with an average During the last twenty -five years, while thefuneral cost of $493, Philadelphia with $483 population has steadily increased, the annualand New York City with $432 far exceeded death rate has dropped, with the result that thethe costs in southern and mid -western cities. annual number of deaths, with a few minorNashville was lowest in the list of large cities fluctuations, has remained practically stationary.with an average cost of $233. A study of 3123 Yet during this period the burial industry hasclaims submitted to the United States Veterans' had its greatest expansion both in regard to the Bureau for the hundred dollars awarded by the number of persons and firms engaged thereinbureau for the burial expenses of veterans and the total money volume of business trans-showed that in towns under 10,000 in popula- acted. In 1900 there were 16,200 undertakerstion funeral expenses averaged $241, in cities of in the United States; in 1920 there were 24,469,from 10,000 to 250,000 they averaged $270 and an increase of 51 percent. The estimated num-in cities of over 250,000, $336. This is perhaps ber of deaths in 1900 was 1,352,703; in 1920what should be expected, for land values, wages, it was 1,394,078, an increase of 3 percent. Inrent and taxes are usually higher in larger cities, 1880 the average number of deaths per under-increasing operating costs. That funeral ex- taker was 194; the number steadily declinedpenditures were much higher among the Irish until in 1920 the average was only 57 deathsand Italians than among the Jews was shown for each undertaker. The business is not evenlyby a study of 319 dependent widows receiving distributed among undertakers; in New Yorkgrants from the New York Board of Child City 8 percent of the undertakers handle 44Welfare. Irish widows spent on the average percent of the business. The other 92 percent $452, which absorbed 44 percent of the net have each only two funerals a month. Theassets, and the Italians $421, representing 50 marginal undertaker is therefore an importantpercent, while funeral expenditures by Jewish factor in the problem of high funeral costs.widows averaged only $247, 27 percent of net There has been practically no elimination ofassets. marginal establishments, and the industry to Public ownership and operation of the mor- make profit has persuaded the public to pur-tuary industry to prevent the exploitation of chase more expensive merchandise and to holdthe poor and middle classes by commercial more elaborate funerals. The casket manufac- undertakers and to provide burial for those turers have made itpossible for the smallwithout funds are found in many European undertaker to survive by helping him to sell cities. Some cities provide only a partial service more expensive goods. In 1889 the averageand that often in competition with private wholesale value of burial merchandise wasundertakers, while other cities have a complete $10.11 per funeral; in 1927 it was $55.38. monopoly of funeral services. Since 1890 Swiss A survey of all the social and economic factorscantons have established free burial service, which determine funeral costs on the basis ofsupported in part by the municipality or canton 15,100 samples of funeral expenditures amongand in part by the state, for all persons holding various economic groups and from typical com-certificates of residence, regardless of citizen- munities revealed that for estates of less thanship. Services are exceedingly simple and are $loon in New York City funeral expenses ab-uniform for all. Interments are made in rows sorbed 52.2 percent of the assets and 62.1 per-in the municipally owned cemeteries. Individ- cent in Brooklyn, while in estates valued at overuals may, however, elect more expensive coffins $100,000 less than i percent of the estate wasand extra carriagehire, but the municipal Funerals-Funk 529 hearse must be used. Various towns and citiesSwitzerland does the government offer free in Saxony are operating, with some modifica-burial service. tions, on the Swiss principle. From the begin- This survey would be incomplete without ning of the nineteenth century until December,reference to the provisions made by the working 1904, funerals in France werecontrolled by thepopulations toassure themselves funds for Catholic church, which sublet the business to decent burial. Burial clubs are the oldest known the highest bidder. In 1904 the control of theform of mutual aid association. Today fraternal disposal of the dead was withdrawn from theorganizations and friendly societies and even church and granted to the municipality andmany trade unions grant death benefits totheir now all French cities have amunicipal monop-members and pay them funeral honors. In oly. The burial service may be conducted eitherEngland and America and to a lesser degree directly by the municipality or by a conces-in the countries of northwestern Europe indus- sionaire. Eight classes of funerals are provided,trial life insurance companies, working largely ranging from the very simplest, which is littleupon the fear of a pauper's grave, haveenrolled more than a pauper burial, to a veryelaboratelarge sections of the wage earning population and expensive affair. In Frankfort on the Mainas policyholders. The efficient postoffice mo- funeral management has been regulated sincenopoly of Japan is rapidly increasing its indus- 1828. By 1900 abuses had become apparent and trial insurance business. Allowances for funeral in 1907 the city attempted to prohibit privateexpense are granted by the sicknessinsurance enterprise entirely. When this was declaredlaws of Norway, Germany and many of the illegal, the city entered into competition withcentral European countries. The almost uni- private undertaking firms, with the result thatversal workmen's compensation laws provide they have disappeared with one single excep-for families faced with death caused by indus- tion, which is under the control of the munici-trial accident. In America group insurance has pality. A rigid scale of prices based upon annualincreased from a total value of a billion and a income is fixed by the municipal burial office.half dollars in 1921 to more than nine billion For adults the prices of the uniform funeralsdollars in 1927, and is regarded by many as a range from $57.12 for the group whoseannualsubstitute for some of the forms of social in- income is 8000 marks ($1904.76) or over tosurance prevalent in Europe. $8.57 for those whose income is less than 1200 In the English speaking countries insurance marks ($285.71). In Munich there are no com-benefits and wages something over the sub- mercial undertakers and the city has a monop-sistence level have provided burial funds ade- oly, providing six distinct classes of funeralsquate enough to prevent a widespread demand for adults and four for children with pricesfor public funeral services. Commercial under- ranging from $15.48 to $176. The municipali-takers are still in complete control of funeral ties of Milan and Genoa have monopolies ofpractises and prices. the undertaking business and furnish various JOHN C. GEBHART classes of funerals at fixed prices. In 1908 See: DEATH CUSTOMS; FRIENDLY SOCIETIES. Madrid began a monopoly of the undertakingConsult: Gebhart, J. C., Funeral Costs (New York business through the concessionaire system. A 1928), and The Reasons for Present -Day Funeral Costs single firm, granted a concession to care for the (New York 1927); Dowd, Q. L., Funeral Management and Costs (Chicago 5925); Hoffman, F. L., Pauper dead, paid into the municipal treasury a per-Burials and the Interment of the Dead in Large Cities centage of the price of funerals rangingfrom (Newark 1919); Chadwick, Edwin, Report .. on 8 to 20 percent. In 1922 this plan was abandoned.the Results of a Special Inquiry into the Practice of Prior to 1919 the funeral business in CologneInterment in Towns (London 1843); Fischer, Ed- undertakers, but mund, and Bärbig, Kurt, Die Sozialisierung des Be- was in the hands of private stattungswesens, Veröffentlichungen der sächsischen since then the city administration has entirelyLandesstelle für Gemeinwirtschaft, vol. xvi (Dresden assumed this function. There are in Cologne 1921); Puckle, B. S., Funeral Customs (London 1926). about fifty undertakers, who do not have charge of funerals but merely deliver coffins, decora-FUNK, FRANZ XAVER VON (1840 -1907), tions and other material. A similar arrangement German Catholic historian. After graduating exists in Copenhagen. Berlin, Dresden andfrom the University of Tübingen Funk com- Vienna provide all of the services connectedpleted his theological training at the seminary with funerals but do not have a complete mo-for priests at Rottenburg. A period of study at nopoly of the business of the city. Only inParis settled his interest in social and economic 53o Encyclopaedia of the Social Sciences problems. In 1870 he succeeded Hefele as pro- FUOCO, FRANCESCO (1777 -5841), Italian fessor of theology in Tübingen and six yearseconomist and publicist. Fuoco was one of the later became associate editor of the Theologischeablest expositors of the theory of rent in Italy Quartalschrift published by the university. With during the first half of the nineteenth century, both of these institutions he remained connectedand his writings cover a wide range of economic until his death, the contributions which as earlytheory. He defined political economy as the sci- as 1867 he began pouring into the Quartalschrift ence which "investigates how industry is cre- continuing uninterruptedly throughout the en-ated, how the system develops, what direction tire period. These articles, with numerous others, it takes, what causes favor and disturb it; how, were later collected as Kirchengeschichtliche Ab-from the nature and development of the system, handlungen and Untersuchungen (3 vols., Pader- there results today either convenience and com- born 1897- 1907). fort, abundance and prosperity or scarcity and Funk's early writings, showing the influencepoverty." He recommended a judicious use of of his study at Paris, revolved primarily aboutthe algebraic method as the easiest, shortest, the relation of Catholic ethics to economic insti- clearest and most exact way of presenting eco- tutions. Two significant works belong to thisnomic problems. He added, however, that cal- period: Zins and Wucher (Tübingen 1868) andculus does not measure causes but effects, not Geschichte des kirchlichen Zinsverbotes (Tübingen productive forces but products. To those who 1876). Starting from the assumption that "every blamed Canard for the attempt to use mathe- normal institution and category of economic lifematics in scientific research Fuoco replied that is in itself either morally indifferent or morallythe latter erred not in the use but in the abuse legitimate" (Zins and Wucher, p. z66) he con- of the new method. His essays (Saggi economici, sidered interest on loans to be legitimate in itself2 vols., Pisa 1825 -27) on the theory of rent, the and to be forbidden only when the commonmetaphysics of economics, the theory of limits norms of law and justice were violated eitheras applied to economic problems and on the through deceit or through usury. So long asorigin and nature of public and private wealth loans had been made primarily for consumptionexhibit an unusual critical spirit. In discussing purposes, interest had been correctly identifiedstatic and dynamic industry in Introduzione... with usury. But with the change in economicdell' economia industriale (Naples 1829) Fuoco relations such identification was no longer pos-displayed a clear conception of the conditions sible. Accordingly the church's ban on interestof equilibrium in industry. In the field of credit signified only a ban on usury. With the sametheory, which he treats in Magia del credito candid and exhaustive scholarship that madesvelata (Naples 5824) published under the name these early works acclaimed by economists asof Giuseppe de Welz, to whom Fuoco, poverty well as by theologians Funk applied himself instricken, sold the manuscript, Fuoco supported his later writings to the investigation of thethe theory that credit creates capital. Fuoco de- literature, culture, discipline and in particularserves a distinct place among Italian economists. the constitution of the early church. BesidesIf the recognition accorded to him fell short of numerous monographs he contributed to thehis intellectual attainment it was due to the lack knowledge of this field two important compila-of clarity in his writings and to the fact that he tions of documents, Opera patrum apostolicorumdid not systematize his ideas into a unified (2 vols. Tübingen 1878 -80, 2nd ed. 1901, vol.treatise. ii 3rd ed. 1913; German translation 2vols. RICCARDO DALLA VOLTA Tübingen 1901, vol. ii 2nd ed. 1924) and Dida- Consult: Fornari, Tommaso, Delle teorie economiche scalia et constitutiones apostolorum (z vols., Pa- nelle provincie napolitane dal 1735 al 1830 (Milan derborn 5906). Funk's Lehrbuch der Kirchenge- 1888); Mancarella, Antonio, Le dottrine di Ricardo e schichte (Rottenburg 1886, 6th ed. Paderborngli economisti italiani della prima metà del secolo xix (Naples 1906) p. 33 -4o; Ricca- Salerno, G., Storia 1911; tr. by P. Perciballi, 2 vols., London 1914)delle dottrine finanziarie in Italia (znd ed. Palermo has been widely used not only in Germany but 1896) p. 471 -75. throughout western Europe as a convenient and accurate manual. FUR TRADE AND INDUSTRY. For this G. BRIEFS article it will be assumed that the Oxford dic- Consult: Koch, A., "Zur Erinnerung an Franz Xaver tionary definition of fur as "the short fine soft von Funk" in Theologische Quartalschrift, vol. xchair of certain animals growing thick upon the (59o8) 95-137. skin and distinguished from ordinary hair which Funk-Fur Trade and Industry 531 is longer and coarser" relates chiefly to the furthe rise of luxury demands, since the large num- of the small non -migratory, non -hibernating car- ber of pelts of small animals necessary for cloth- nivorous animals, especially the Mustelidae, anding precludes their use as common wearing ap- the amphibious animals of the Rodentia, chiefly parel. It may be doubted whether Mediterranean beaver and muskrat, and not the coarse fur, haircivilizations developed an extensive fur trade, or wool of large animals. The fur tradeandbut in northern Europe the trade became impor- industry are concerned with the pelts of animalstant with the spread of feudalism. to be made into clothing because of the warmth The rise of guilds concerned with the fur and thickness of the fur and not of the suita-trade reveals the course of its development in bility of the skin for the production of leather.western Europe. In Leipsic organization of the Warmth and lightness are demanded by wearersindustry began in the fourteenth century and of fancy furs, and thickness by manufacturersthe furriers' guild (Kürschner Innung) dates from of hat felt from fur cut from the skin. The thick1423. In England the Skinners' Company dates fur of amphibious animals, especially of the ro- from 1327 and by 1369 furs were being imported dents, is best adapted to the production of felt,from Flanders and badger skins from Germany while that of the smaller carnivorous land andand Flanders. The Haberdashers' Company, water animals is sufficiently light to beusedhowever, absorbed hatters and furriers in 1501, for clothing. The beaver has consequently beenuntil the spread of the fashion in felt hats made of importance to the felt and hat industry, andfrom fine Spanish wool during Elizabethan times the carnivorous animals to the manufacturer ofled to the formation of a separate felt makers' fancy furs. company in 1604. Probably because of the pro- In general fur is produced as a physiologicalnounced rise in Spanish prices with the inflow reaction to seasonal changes and is at its primeof American treasure in the late sixteenth cen- during the coldest months of the winter. It istury there was a decline in imports of Spanish dependent also on such factors as food andwool and a demand for new sources of felt. shelter and varies in character with changes ofBefore the sixteenth century it is diffiuclt to climate and the age, health and species of thetrace the history of French furriers as such, animal. The vast continental land areas of thesince for several centuries they tended to be north temperate regions, especially the northerndominated by hat makers, who used furs and regions of North America and Asia, are thefelts. In northern Europe trade in furs prior to important fur producing areas. Within these1600 was confined chiefly to supplies from the areas in territory unfavorable toagriculture be-Baltic. cause of geology or climate areextensive conif- The spread of Italian fashions, especially to erous forests, which are essential to anabun-France, had probably led to a decline in demand dance of Rodentia and, in turn, of the importantfor fancy furs and an increased demand for fur bearing Carnivora. staple fur for hats. The rise of this demand coin- The production of fine fur in large quantitiescided with French penetration of the Gulf of demands a vast, thinly populated forested areaSt. Lawrence in search of areas suitable to the with transportation limited to water in the openproduction of dried fish for the growing Spanish season. Production consequently hasbeen largelymarket. Contact was made at the mouths of the dependent on peoples who have evolved cul-northerly tributaries of the St. Lawrence with tural traits adapted to these areas, i.e. peoplehunting Indians and a supply of beaver fur for primarily concerned with hunting. Palaeolithicthe expanding hat industry was tapped. There man was probably dependent onwild animalswas an immediate and rapid expansionof the for food and clothing in contrast to the depend- fur trade across the northern half of the North ence of neolithic man on domesticatedanimalsAmerican continent, whose history suggests the and cereals. During the period of abundant for-trade's general characteristics over a long period ests fur was probably an important itemof cloth-and over a wide area. The fur trade was the ing, as suggested by Tacitus. With the clearingpoint of contact between two widely divergent of the land, the increasing scarcity of fur bearingcultures, depended upon the absolute advan- animals, the rise of feudalism and the latertages of the different cultures and had important growth of towns the fur trade emerged and fureffects on both. The Indians obtained access to increased in value. The consumption of fur isEuropean goods, especially iron, which revolu- linked to luxury trades and historically thetionized their culture to the extent that large growth of the fur trade is closely correlated withnumbers of people disappeared. When the bea- 532 Encyclopaedia of the Social Sciences ver, by virtue of the Indians' knowledge of itsCanada. The importance of inbound cargo even- habits together with the assistance provided bytually led to the disappearance of the long Mon- European goods, was rapidly wiped out, thetreal route, and following the amalgamation of Indians penetrated farther to the interior, open-the Northwest Company with the Hudson's Bay ing up new lines of trade with more distantCompany in i8zr the Hudson Bay route by tribes for the first time and utilizing the largeYork Factory controlled the western trade. Cen- eastward flowing waterways of Canada to de-tralized organization was particularly important velop rapid exploitation of furs. in negotiations over boundary disputes, and the The relatively small bulk and high value ofeconomic boundaries of the fur trade came to furs meant a light return cargo in exchange forcorrespond closely to Canada's political bounda- a heavy cargo of cheap and bulky manufacturedries. The significance of the fur trade for Canada goods. Penetration to the interior accentuatedwas shown in the rapidity with which the coun- the effects of this characteristic of the trade astry was explored and exploited and in the prob- it became necessary to take heavy goods longlems which followed the adaptation of later types distances, in many cases upstream. Consequentlyof economic development to the political bound- ocean transportation adapted to the fur tradearies. The rapidity of its exploitation facilitated was opposed to the migration of settlers, andthe intrenchment of its institutional inheritance increasing costs of transportation to the interiorand contributed to the problems which arose drained the energies of the colony, accentuatedwith its disappearance and the emergence of new problems of competition and in the main tendedtypes of economic activity. The peculiar char- toward the growth of monopoly and centralizedacteristics of Canadian development, such as the control. From the beginning of the seventeenthtranscontinental and centralized type of rail- century the tendency toward centralization hasways, banks and other institutions, and the im- been conspicuous. portance of government ownership are closely With the lengthening of transport lines to therelated to the early dominance of the fur trade. interior competition threatened from adjoining Improved transportation, such as river steam- drainage basins, first that of the Richelieu Riverboats, railroads and gasoline transport, hastened and later that of the Mohawk route to Lake On- the breakdown of centralized control by encour- tario and Hudson Bay. The centralized organiza-aging competition and by exhausting fur sup- tion of the colony dependent on the fur tradeplies. The Hudson's Bay Company has lost faced serious direct losses of trade and militarycontrol relatively but has gained through the expenditures to check competition. The Frenchrise in frontier land values, the establishment of fur trade was characterized by a continued drainretail stores and depots for mining explorations. on the colony and by collapse of political con-Improvement in transportation facilitated cen- trol; eventually the geographic limitations on thetralized control within the organization and the trade under the prevailing technique led to theshare system of the Northwest Company disap- downfall of New France. peared in favor of the increasing centralization The trade also had serious effects on the con- of the Hudson's Bay Company and the intrench- suming country, not only involving it in thement of the wage system by the end of the colony's production difficulties but also in diffi- nineteenth century. culties from the standpoint of consumption. In The fur trade of the United States differed the latter part of the seventeenth century thefrom that of Canada primarily because of its rapid decline of the consumption of beaver,relatively minor importance. Its development largely as a result of fashion changes and thewas linked more closely with other economic competition of other raw materials, created seri-activities and consequently it left no such defi- ous problems for both New and old France innite stamp on the political and economic struc- industry, trade and finance. ture. Explorers and traders, first from the St. Improved transport technique and organiza-Lawrence basin and later from New York and tion together with industrial and marketing effi-St. Louis, penetrated the fur trading areas of ciency facilitated English trade expansion fromthe United States. Centralization was worked Montreal. The tendency toward centralizationout by Astor in the American Fur Company and was shown especially after the outbreak of theits subsidiaries but never satisfactorily included American Revolution in 1775 in the formationthe whole of the northern United States. The of the Northwest Company, which included inrapidity with which settlement followed the fur its trading territory practically all of moderntrade led inevitably to difficulties between the Fur Trade and Industry 533 government and the Indians which were muchthe northern half of the northern hemisphere the more serious than in Canada. In the Unitedlegacy of the fur trade was shown in centralized States as in Canada the tendency toward cen-economic and political control and in the sudden tralization led to early concentration of wealthchanges in development which characterized de- and enabled the fur trading interests to takelay, followed by extraordinarily rapid develop- advantage of other rapid economic developmentsment dependent on the application of mature which followed. Astor in the tea trade and intechnique to virgin natural resources. The highly New York real estate and Lord Strathcona invalued fine furs consequently increased in price Canadian railways may be cited as examples. and in turn were subjected to more rapid ex- In Russia the early fur trade centered inploitation. The trend in production of fine furs the northwest, especially at Novgorod, passingis downward. It may be increased as a result of across the Baltic Sea through such organizationsthe work of biologists engaged in the study of as the Hanseatic League, and in the northeast,periodic fluctuations in animal life; but, on the especially at Nizhni Novgorod, wheince mer-other hand, the spread of humanitarianism may chandise was shipped south, toward the Blackhasten an increase in production of furs from and Caspian seas. In the last half of the six-farms and a decline in production of furs from teenth century trade developed across the Uralwild life. Mountains and in its tracks came Russian domi- Rapid improvement of transportation and ex- nation of Siberia. Fancy furs, particularly thehaustion of supplies have created serious labor highly valuable sable, occupied a position similarproblems. The spread of diseases introduced by to that of the beaver in North America. Thethe white man and the hardships of their work problem of transportation in Siberia was accen- have threatened the existence of the Eskimos and tuated by the northward flowing rivers. Thethe Indians who have concentrated their ener- supply of furs was less certain than in the casegies on trapping while the increasing effective- of North America, since the cultural discrep-ness of trapping methods introduced by the ancy between the peoples of Siberia and Russiawhite man and the widening of the latter's range was less pronounced; consequently furs werethrough use of the gasoline engine have made obtained by the Cossacks in tribute rather thanprofitable trapping more difficult for the natives. in trade. Depots were established from Tobolsk Industrial fluctuations in frontier industries and eastward to Omsk on the Ob, to Yeniseisk andthe reluctance of frontiersmen to enter mecha- Irkutsk on the Yenisei, to Yakutsk on the Lena,nized industry have acted to maintain a large and to Okhotsk on the Pacific in 1639. Aboutsteady supply of white trapping labor. 174o penetration to Kamchatka and northeast- The decline of native populations and the in- ern Siberia led to the discovery of the fur sealscrease of white trappers have affected the mar- and sea otters of Bering Strait and the land fursketing structure of the industry. With increasing of Alaska. The difficulties of trade led to a con-competition monopoly has steadily weakened and tinuation of the tribute policy. The severe com-large numbers of new centers have challenged petition which followed the decline of furs andthe importance of the older centers. As trans- the high costs of penetrating Alaska led to cen-port has improved, cash payment has tended to tralized control in the Russian American Furdisplace the credit system and the white trapper Company especially after 1799 and to centralhas spread the auction market. While marketing political control. Exhaustion of furs on the south- and manufacturing technique have tended to ern Pacific seaboard was hastened by the dis-broaden out as a result of mechanization, the coveries of Cook in 1778. English and American difficulty of grading furs has restrained the ships engaged in the trade, especially that of the growth of the marketing structure. profitable sea otter, to China. By the end of the The marketing structure of raw furs has been eighteenth century virgin fur areas had prac-tremendously influenced by the increasing im- tically disappeared in North America and Asia.portance of the United States. The sale of furs In the nineteenth century there was a steadyat the various fairs in Russia and in turn at decline of wild furs and a rapid development ofLeipsic has become less important because of agriculture, lumber, pulp, paper and miningSoviet centralized control and despite strenuous industries in areas formerly occupied by the furGerman efforts to regain the pre -war trade. The trade. The industrial revolution hastened theefforts of the Hudson's Bay Company to main- demand for new supplies of raw material andtain control of the London market have met with the movement of population to new areas. Inconsiderable success by reason of its substantial 534 Encyclopaedia of the Social Sciences control of important Canadian producing areasto support the enforcement of regulations may and its prestige in marketing. On the other hand,by increasing costs accentuate the problems so- the cheaper furs, for which the demand for effi-lution of which is sought. Nevertheless, various cient grading has been less conspicuous, havecontrol devices have been developed. Especially been sold to an increasing extent in new market- since 1900 the more important fur producing ing centers in North America, such as St. Louis, animals have been protected by closed season New York, Montreal and Winnipeg, whichregulations and prohibitions as to methods of emerged during the war. Improvements in conn- capture, enforcement being supported by license munication, especially the radio, and in trans-fees paid by trappers and traders, royalties and port have contributed in hastening importantfines. British Columbia has established definite changes in marketing structure. boundary lines for small areas and licensed trap Decline in supply has been accompanied bylines. Especially in Canada and the United a rise in demand. The growth of metropolitanStates reservations have been established and centers, especially in the New World, and theorganizations for forest fire protection and the rise of a wealthy class seeking luxuries have beeneducation of public opinion to the conservation responsible for a marked increase in consumptionof wild life have been encouraged. The Soviet and rise in the prices of furs, especially sincegovernment now fully controls the production 1900. The long run effects of decreased supplyand export of furs in Russia. International agree- and increased demand which become conspicu- ments have contributed to the control of very ous after that date have reduced the relativevaluable fur bearing animals, as in the case of importance of short run fluctuations. Short runthe monopoly of the United States over the fur fluctuations in demand through changes in fash- seals of the Pribilof Islands in Bering Sea, where ion or through the general effects of the business in 1927 there were 808,870 animals in hand and cycle after 1900 have been responsible for more30,298 skins were taken. rapid and violent changes in fur prices, tenden- The raising of animals for the production of cies which have been most conspicuous withfurs has been a striking development following fine furs but have also become important forthe rise of prices. After a long period of experi- lower grade furs. The World War shut off thement problems of technique in breeding and Leipsic market and disrupted the trade; lowraising animals, in finance and in marketing purchasing power of European countries andhave been gradually solved; for example, fur temporary prosperity of the United States in the farming of silver fox has become an important post -war period have tended to accentuate the industry in Prince Edward Island as well as in effects of the preceding period. The rise invarious provinces of Canada, in the United prices, especially of fine furs, has contributed States and in Europe. Other species have been to the decline in supply. New sources have beenadded and the technique of domestication is tapped, such as the white fox of the arctic regionbeing slowly worked out. Cheaper grades of fur, during the war, the chinchilla and the nutria ofespecially muskrat, have been the object of South America, the wombat and the kangaroosimilar interest. Despite fluctuating prices and in Australia. High prices have coincided withchanging fashion the industry has steadily gained increased efficiency of transport; larger numbersground. of trappers, improved trapping technique and The most significant contribution to the prob- more intensive competition have contributed tolem of meeting the increased demand for furs decline in supply. has been the development of improved dyeing The circle of destruction of product andand manufacturing processes. Sewing machines higher prices followed by increased demand,became increasingly important after 188o, vari- which characterizes luxury products, has led toous inventions after 1900 led to the application conservation measures and attempts to increaseof motors and the use of high speed machines, the product from other sources of supply. Con-and coal tar dyes were improved and adapted servation measures have been difficult to adaptto furs especially after 1888. Now that large to the trade. The multiplicity of jurisdictions inquantities of cheap furs (rabbit, opossum, skunk, any one fur trading area make uniformity ofdomestic cat, dog, lamb) can be placed on the legislation and administrative machinery diffi-market as products similar in appearance to fine cult to achieve. The character of the commodityfurs, new production areas, including South facilitates smuggling and adequate supervisionAmerica, Australia and Africa, have become is expensive if not impossible. Taxation designedimportant. As a result of the introduction of the Fur Trade and Industry 535 new methods of preparation the advantages offrom the country collectors or imports them highly technical skill concentrated first in thefrom abroad, contracts with the dressers and guilds and later in special localities tended to dis- dyers and sells to manufacturers, whom he fre- appear. Dressing and dyeing industries, formerlyquently finances. In addition the large dealer in centered in England, Germany and France, be-raw furs may have interests in other branches gan to spread to the United States, which madeof the industry; one large raw fur company in further gains as a result of the war and the emi-New York, which increased its business from gration of technical skill from Germany. Thus$300,000 in 1901 to $12,000,000 in 1929, re- the value of the output of the fur dressing andcently acquired the controlling interest in the dyeing establishments in the United States in- largest fur coat jobbing concern in the United creased from $2,875,000 in 1914 to $34,656,000 States. Most of the dealer business is transacted in 1929. This development was also encouragedon credit; in 1928 the credit sales of members by a tariff on dressed and dyed skins, while theof the American Fur Merchants' Association import of raw furs is free of duty. Consequentlywere $138,000,000, the cash sales only $15,000; the import of raw furs increased enormously000. Cash transactions are the rule at the fur in the post -war period, while that of dressedauctions, which handle in addition to some im- and dyed merchandise suffered a comparativeported furs about one third of the American decline. fur take. All branches of the industry tend to The expansion in American dressing and dye-concentrate in the New York area; in 1927, for ing was concomitant with the rapid growth ofexample, 2029 of the country's 2756 establish- the entire fur industry in the United States. Thements were located in New York City. value of the output of fur manufacturing shops Changes in the industry have affected the rose from $43,633,000 in 1914 to $198,042,- marketing structure of the finished product. The 000 in 1923 and $277,058,000 in 1929. Thedifficulty of standardizing fine furs has been increase was due primarily to post -war prosper- responsible on the one hand for the continued ity and reflected the general growth of the luxuryimportance of the highly skilled firms and of the trades; higher prices, however, were also a fac-exclusive stores, especially in fashion centers, tor. This popular demand stimulated large scaleand on the other hand for the importance of a production and the handling of cheaper furs,large number of small firms. The enormous the transformation of which into imitations ofincrease in the production of low grade furs has more expensive furs was facilitated in recentmade the fur manufacturing industry sensitive years by important technical improvements. As to style changes and enhanced its speculative a result the misnaming of furs increased tre-character; it has also emphasized the importance mendously and created a real marketing prob- of standard marketing machinery, strengthening lem. In 1928 the Federal Trade Commissionthe position of such organizations as department called a conference of the interested parties tostores in the handling of the finished product. eliminate objectionable practises; and rules wereThe luxury character of the commodity and its adopted to standardize the naming of furs, which speculative character intensify the importance of offered partial relief. firms with an established reputation. The three constituent factors in the fur indus- The highly speculative character of the Amer- try, in addition to the trappers and collectors,ican fur industry has been aggravated in recent are the dyers and dressers, the manufacturersyears by rapid growth, an increase in the num- and the wholesale dealers. The dressers andber of small competitive concerns and the preva- dyers have a considerable investment in theirlence of credit transactions. The slump which plants; they work on a charge basis and some-began in 1926 grew steadily worse, so that the times finance wholesalers and manufacturers.output of fur goods in 1929 was considerably The manufacturers prepare for garments the lower than in 1927. Among its basic causes were skins obtained from the wholesale dealers andoverbuying of raw materials, overproduction, dispose of their product to garment jobbers andthe maintenance of prices on a high level de- department stores. The workers in fur shops,spite the sharp fluctuations, and the lowered skilled craftsmen with a good sense of color, cut, quality of products. The results were most se- match and sew the skins together in sections;vere among the smaller dressers and dyers, 382 individual manufacturing processes are neces-of whom failed in 1928 with losses of $13,528,- sary in accordance with the nature of the furs.000. The industry has been considering plans The wholesale dealer purchases the raw skins for control and stabilization. There have also 536 Encyclopaedia of the Social Sciences been attempts to stabilize conditions on an in-the status of the nouveaux riches at the same ternational scale; the Leipsic International Furtime that it undermined the supply of fine furs Exposition in 193o, at which the United Statesfor the future. The aristocracy now found that was well represented, discussed proposals forfurs were no longer of distinctive importance an international court of arbitration, an inter-to the maintenance of its position and its de- national credit bureau and agreements on grad-mand for fine furs declined accordingly. The ing, misnaming and other subjects. increasing demand of larger numbers of women The instability of the industry creates ex-for furs has been met only by recourse to the treme insecurity of employment. Wages areincreasing efficiency of machine industry. The apparently high, but they benefit only a minorityrise of democracy has become the dominating of highly skilled and steadily employed workers;factor in the world's fur trade. the rest earn considerably less primarily because HAROLD A. INNIs of chronic unemployment. Since the 1926 slump See:HUNTING;FRONTIER; NATURAL RESOURCES; approximately one half of the workers employed GAME LAWS; COMMERCE; COMMERCIAL ROUTES; FAIRS; in the fur manufacturing shops in New York AUCTIONS; DRESS; FASHION; GARMENT INDUSTRIES. City have been almost continuously unemployed. Consult: Saint Louis Public Library, Furs and Fur These conditions produced unrest among theBearers of the United States and Canada, a List of members of the International Fur Workers' Books and Articles on the Technology and Romance of Union and the left wing secured control of the the Subject (St. Louis 1929); Bachrach, M., Fur, a union in 1926. A strike in 1927 was unsuccess- Practical Treatise (New York 193o); Brass, Emil, Aus dem Reiche der Pelze (2nd ed. Berlin 1925); Lomer, H., ful, and the continuous internal dissensions ledDer Rauchwaaren -Handel (Leipsic1864); Veblen, to the reorganization of the union by the corn- Thorstein, The Theory of the Leisure Class (new ed. bined efforts of the old officials, the employers New York 1912); Malbin, Max, Der internationale and the American Federation of Labor; its mem- Rauchwarenhandel vor und nach dem Weltkriege unter bership, however, declined to less than 3000 in besonderer Berücksichtigung Leipzigs (Osthatz 1927); Fougerat, L., La pelleterie et le vêtement de fourrure 1929 as compared with 11,400 in 1925. The dans l'antiquité (Lyons 1914); Hennig, Richard, "Der communist group organized an independentnordeuropäische Pelzhandel in den älteren Perioden union with a considerable membership; it is ader Geschichte" in Vierteljahrschrift für Sozial - part of the Needle Trades' Industrial Union. und Wirtschaftsgeschichte,vol.xxiii(193o)1 -25; Peckert, Joachim, Die Edelpelztierzucht im Rahmen The fur trade is an index of the decreasingder deutschen Volkswirtschaft (Markt Grafing 1929); disparity between the cultures of the northernMemminger, Anton, Die Entwicklung des wiirzburger hemisphere resulting from the spread of indus-Kürschnerhandwerks (Würzburg 1927); Heiderich, J. trialism. Machine industry, seeking forests and H., Das Leipziger Kürschnergewerbe (Heidelberg 1897); mines, has taken possession of territory formerlySchiller, "Die Kürschnerei in Breslau" in Verein für Sozialpolitik,Schriften,vol.lxviii(1896)63 -98; controlled by the fur trade and has contributed Newiasky, Mosche, Die russische Pelz- und Lederindus- to the decline of wild life and of fur trappingtrie (Kaunas 1927); Klein, J., Der liberische Pelzhandel by the aborigines. The effects of machine indus- und seine Bedeutung für die Eroberung Sìberiens (Bonn try on demand have been scarcely less impor- 1906); Innis, H. A., The Fur Trade of Canada (To- ronto 1927), and The Fur Trade in Canada (New tant. The demand of metropolitan centers in the Haven 193o); Reflections of Inkyo on the Great Com- north temperate areas of Europe and Asia forpany (London 1931); Fur Resources of the United States, furs was dependent on the existence of distincta Special Report (Washington 1930); Laut, Agnes C., social classes. Furs were used as an item of dress The Fur Trade of America (New York 1921); Belden, designed to emphasize class distinction becauseA. L., The Fur Trade of America (New York 1917); Vandiveer, Clarence A., The Fur -trade and Early they were obtained from distant areas and were Western Exploration (Cleveland 1929); Stevens, Wayne correspondingly expensive. Their early signifi- E., The Northwest Fur Trader 1763 -1800 (Urbana, Ill. cance with relation to men's clothing declined1928); Davidson, Gordon C., The North West Com- with the growing importance of women's cos-pany (Berkeley 1918); Johnson, I. M., The Michigan Fur Trade, Michigan Historical Publications, Univer- tumes as a more subtle device for enhancing sity Series, vol. v, pt. i (Lansing 1919); Fuller, G. W., the prestige of wealth. The increasing use ofA History of the Pacific Northwest (New York 1931); silk for that purpose was accompanied by the Gottlieb, Abraham, Fur Truths, the Story of Furs and employment of fancy furs, especially in the man- the Fur Business (New York 1927); Rosebury, A., ufacture of coats as a complement to lighter"Furs and Fur Workers" in American Federationist, vol. xxxvii (193o) 306 -12; United States, Bureau of clothing. Rapid exploitation of the resources ofForeign and Domestic Commerce, "International the New World created new demands for furs Trade in Furs" by T. J. Biggins, Trade Information as a most satisfactory medium of emphasizing Bulletin, no. 590 (1928). Fur Trade and Industry - Furniture 537 FURNITURE apparent in the soft mattresses, the beautiful GENERAL AND HISTORICAL. The history of the dressings of the beds, the dyed and embroidered invention and development of furniture must silk and woolen covers. study man's pursuit of comfort from the rigors In the commercial civilization of the Hellen- of migratory life to the sedentary domesticity ofistic period the elements of luxury were inten- contemporary centralized living. Fulfilling a lesssified. In the hands of the provincial Romans crucial function than shelter or clothing, the usewho had become world conquerors Greek furni- of furniture follows upon the accumulation ofture underwent a considerable change. The Ro- an economic surplus and the establishment ofman genius for power and organization preyed the home, with the consequent opportunities forupon Greek perfection with clumsy fingers, at- leisure and for the cultivation of comfort, pres-tempting to possess an art which in becoming tige and aesthetic pleasure. The nomadic char-the vehicle of power, wealth and ostentation lost acter of much of primitive society, with theits magic. The Romans used the same forms as frequent migration of families to better sourcesthe Greeks, the throne, chair, couch, stool and of food supply, forbids the transportation andchest, and in addition the three -legged pedestal hence the use of furniture; a bed of skins on thetable and an ancestor of the parlor sofa. But hard ground fulfils the needs of tough activethey made heavy the clear grace of Greek form bodies. The emphasis in primitive society, how-and added bronze, gold, ivory, rare veneers of ever, is on community life rather than on thatofwood and shell, precious marbles and gems. the individual dwelling. Furniture becomes aSuch furniture was needed for a landowning concern only with the development of a settledand commercial aristocracy that lived in palatial and relatively peaceful life either in cities or inhouses thronged with slaves. It transcended its agricultural communities. Then arises the sacred functional uses and became luxurious and even tradition of hearth and home, and the home purely decorative. acquires its nucleus of bed, table and chair. In Byzantium the survival of Hellenistic cul- Although the nature of the Greek climate isture continued for centuries to inspire furniture such that no actual examples of Greek furnitureof elaborate and debased, strongly orientalized are extant, some knowledge of it is possible,classical forms in an almost static tradition down thanks to the countless illustrations of the dailyto the fall of Constantinople in the fifteenth life of the Greeks which still exist in vase paint- century. In western Europe the growth of new ing and sculpture. In the earliest Greek periodcities after the barbarian invasions called forth there appears the thronos, the high seat of godfurniture which was but the further perpetua- or dignitary when the Olympians consortedwithtion of late Roman forms in a series of ever mortals. In council or at the games headmen satuglier repetitions. Among Teutonic peoples the ceremonially on thrones, while subordinates oc-making of furniture was practised as a craft, cupied benches or stools. The figures are shownwith almost no variation from the late Roman feasting, reclining on their beds or couches, eat-type, down to the end of the fourteenth century. ing from small three -legged tables which couldThroughout the great ages of Gothic architec- be removed or slipped beneath the couch. Theture this furniture shows, save in the churches wooden couches either have turned legs identical and monasteries, no direct influence of Gothic in pattern with earlier Egyptian examples ordesign. As a craft it retained a fair degree of borrow somewhat clumsily from architecturalutilitarian dignity. In Scandinavia a wild and design. Except for the beautiful klismos, or re-primitive people made furniture of solid wood clining chair, used chiefly by women, the Greeks carved with intricate interlacery, full of dragons, owe all their furniture forms to the Egyptians.scenes of fighting, piracy and treasure hunting. They invested these borrowed patterns, how-In París, the world renowned center of the ever, with that same regard, fresh and new tofurniture industry throughout the Middle Ages, the world, for plastic and not merely symbolicartisans made rich seats, couches, tables, chests, form which made Greek architecture the sub-dressers and cupboards for king and baron. lime achievement of antique art. Although earlyGreat skill if little taste was shown in handling furniture is largely ceremonial, the functionalsolid gold, ivory and precious stones at fabulous element played an important part in Greek costs. Furniture in the Middle Ages as in Rome furniture. The Greek, still the soldier, had aboutfollowed consuming power and was chiefly re- him only what he could use, utilitarian formsserved for those at the apex of the social pyramid. exquisitely molded and decorated. Luxury wasLike the landless proletariat who had poured 538 Encyclopaedia of the Social Sciences into Rome the mediaeval serf had little if anytocracy and the broadening of the middle class furniture -a bench, a table, possibly a bed. with its rising standard of living increased the The brilliant consumers' civilization of the demand for furniture. A society in which the fifteenth to seventeenth centuries broadened theold class structure had disintegrated and in market for costly furniture. The commercialwhich pecuniary values were dominant had to revolution brought with it the rise of the richresort to what Veblen calls "conspicuous con- Flemish and Burgundian cities and the dawningsumption" to maintain the boundaries between Renaissance culture of the Italian city -states. A the new classes. The home became a social ideal rich bourgeoisie became part of the class struc--the object of sentiment and the criterion of ture, and in the homes of wealthy merchantsprestige -and the demand for furniture, once furniture of a new elegance superseded the linked with court and mansion, was now linked heavy clumsiness of the Middle Ages. The pomp with the middle class home. The era of roman- of a reestablished court life demanded the dec-ticism led ultimately in furniture to the practise orative furniture of luxurious living. A freshof eclecticism, or the choosing of period styles impetus was given to furniture design. A newfor reproduction in furniture design. The fan- structural principle, first seen in van Eyck'stastically romantic forms of the Victorian era paintings of Ghent, liberated design from thecorrespond to a vogue for "life as it is not," the confines of solid wood to a new structural tech-escape of a people to ideas more felicitous than nique of holding thin panels between rails and the unlovely reality of the dawning machine age. stiles -thus was the Gothic structural principle The coming of the machine meant more than at length translated into wood. From this inno-the displacement of the skilled cabinetmakers, vation grew larger and more elaborate forms oflocal craftsmen and home construction of furni- chest and dresser, especially since the division ofture. It meant also quantity output and stimu- the design into horizontal and vertical memberslated selling. The furniture industry was forced was perfectly suited to the pilasters, cornices to exploit every weakness of humanity under the and panels of the renascent classical manner.necessity to sell. Period styles furnished the Italy throughout the sixteenth and seventeentheasiest and surest approach to popular taste and centuries produced pieces of unmatched crafts-could with the aid of photography be ever more manship and imagination. The fire of her dec- readily copied. Furniture was now made in orative artists, now at the peak of their glory"suites" for the purpose of selling five or six as pope and merchant prince demanded morerather than one or two pieces at a time. The and newer beauty, produced chests, beds andprocess of democratization and high pressure cabinets of great fineness. selling has left scarcely a home, even among the Architecture and furniture now came to par-poor, uncluttered by a miscellaneous array of allel each other in development and to playfurniture. But the imitation of handcraft by related roles. With the rise of the French mon-machine technique has proved wasteful and archy the baroque style is seen in constantaesthetically barren. Craftsmen have practically struggle with the purer classical manner ofdisappeared. Vignola. Already apparent is the gradual en- In an effort to remedy this situation, the result croachment of dogmatic rules of design, whichof romanticism plus commercial exploitation, reached its climax in the triumph of empiricalthe so- called modern movement is attempting classicism in the French Revolution. Through-to rehabilitate creative design in furniture. The out this era the ever increasing mastery of fur-modern designer is taking stock of modern living niture technique, the richness and luxury of theconditions, modern architectural innovations pieces with their exquisite carving, rare veneers,and modern needs and by so doing is trying to tortoise shell, gilt, inlay and marbles reflect thereintroduce the method of functionalism. He is gratified tastes of the aristocracy. compelled to take account of the heightened The dominance of classicism in eighteenthmobility of life and the urban congestion which century art had its effect on furniture forms.makes every inch of space valuable. He is also But the revival of the concept of classical democ- considering the problem of the difference be- racy in the French Revolution, the introductiontween hand and machine technique and the of the machine and the spread of an industrial- profusion of new structural materials and meth- ized and relatively democratic culture in theods. Metal furniture forecasts the application of nineteenth century had more far reaching ef-steel engineering to furniture. fects. On the one hand, the decline of the aris- EDWIN AVERY PARK Furniture 539 FURNITURE INDUSTRY. Until recently furni-chinery and reduction of costs, the substitution ture was produced mainly for the requirementsof quantity production for custom made goods, of an aristocracy of wealth; other people had tothe rapid growth of transportation facilities and make their own crude furniture or live withoutthe widening of markets, the increased purchas- any. During the seventeenth and eighteenth cen-ing power of a rising middle class and the greater turies in most European countries the output ofavailability of liquid capital, the factory began furniture increased considerably -ornate andto dominate the industry and pushed the old luxurious furniture for the aristocracy, substan-cabinetmaker farther and farther into the back- tial furniture for the rising middle class; but theground. output was still for a very limited class market. Under the influence of industrialization, quan- Even throughout a large part of the nineteenthtity production and widening markets the out- century the common man still depended forput of the furniture industry increased rapidly. what little furniture he had on the ordinaryIt rose in the United States from $17,663,000 house carpenter or on his own manual dexterity.in 1849 to $77,846,000 in 1869 and $125,316,000 The producer of fine furniture, the masterin 1899. Output in 1914. was $265,706,000,an cabinetmaker, usually worked in a small shopincrease even more moderate if the rise in prices with a bench, a number of hand tools, his ap-is considered. In this the furniture industryre- prentice and perhaps a few journeymen. Evenflected the general slowing down of economic before the introduction of machinery, however,expansion during the period. Another great in- many large producers of furniture in Europecrease occurred from 1919 to 1929, when output operated on a factory basis and developed con-rose from $579 ,906,000 to $940,918,000, an siderable specialization. In the United States inincrease so much the larger because of the sub- 1816 there were some cabinet shops with a yearlystantial decline in prices. This growth reflected output of $100,000 and many shops which spe-the increase in consumer purchasing power and cialized in the production of chairs. But smallthe increased demand for store and office equip- cabinet shops and custom made furniture werement. typical. While the industry grew tremendously, the During the first two thirds of the nineteenthgrowth of concentration was not correspondingly century furniture making was slowly trans-great. The number of furniture making estab- formed from a handicraft into an industry underlishments declined considerably from 1869 to the influence of widening markets and techno-1899, but they have since increased twofold- logical progress. As the basic woodworking ma-from 1814 in /899 to 3763 in 1929. This is to chines, such as power saws and wood turningbe explained largely by the fact that mechaniza- and planing machines, were developed they weretion was not so great as in other industries. gradually introduced into the cabinet shops. TheAlthough the total horse power used by the in- machines generally did not cause specializationdustry almost quadrupled between 1899 and at first and were regarded merely as additional1927, horse power per wage earner in the furni- tools. As they became more complex, however,ture industry increased only 79 percent as com- a specialized group of highly skilled machinepared with an increase of 117 percent for all craftsmen appeared, and in the larger establish-manufacturing industries in the United States. ments there developed a subdivision of laborQuantity production, considered in terms of even among the users of hand tools. thousands in automobile plants, remains in terms The industrialization of furniture making wentof hundreds in even the largest furniture fac- on most rapidly and reached its greatest devel-tories. The whole productive process has been opment in the United States. By 1860, althoughgreatly accelerated, but some case goods still the industry still centered in New England andrequire from 3o to 120 days to build. While the middle Atlantic seaboard towns, where it wasindustry has grown enormously, a great many largely carried on in small establishments forsmall furniture establishments have persisted local trade, it had started to move to the newand in several centers they still dominate the centers of population in the west, where manyindustry. These small shops generally make lim- factories were equipped with machinery fromited quantities of furniture to order anduse only the start. One factory in Cincinnati, for example,a few simple machines for work preliminary to had over 500 employees and eighty power driventhe more difficult tasks of cabinetmaking. machines. It was not until the seventies, how- The leading type of furniture manufactured in ever, that with the further improvement of ma-the United States has been wooden household 540 Encyclopaedia of the Social Sciences furniture, some of which is upholstered. While Furniture manufacture is still a comparatively this class has accounted for most of the industry'ssmall scale industry; but, while there were 3763 growth, in recent years production of furnitureestablishments in 2929, the concentration which for offices and stores and of metal furnitureprevails is considerable, although not so large as especially for offices and hospitals has becomein most other industries. There have been sev- increasingly important. eral important mergers since the World War, and in 1925 one seventh of furniture making VALUE OF FURNITURE OUTPUT IN THE UNITED STATES, establishments produced two thirds of the total 1929 output. But in no instance did a single firm con- (In $r000) trol any major branch of the industry. In 1923, however, the Federal Trade Commission re- FIBER, vealed that certain practises of four leading fur- RATTAN, CLASS OF TOTAL WOOD METAL REED niture manufacturers' associations, whose mem- FURNITURE AND WILLOW bers produced about 3o percent of the country's household furniture, tended to fix prices. Among Household 659,0236r 1,68130,44316,899 other things these associations hired one expert Office and store 193,359135,84957,510 Public buildings 41,04428,69112,353 who without making any real cost studies pub- Professional 14,283 6,454 7,829 lished theoretical minimum "selling values" of Lockers 5,233 8 5,225 - representative articles of furniture which prac- Total 912,942781,14511336018,387 tically determined prices. In 1920 these manu- * Included in figure for wood to avoid disclosing output of indi- facturers made an average net profit of z8 per- vidual establishments. cent on their investment. During the eight years Source: Preliminary reports of United States Census of Man- ufactures, 1929. following the investigation severe competition among the majority of manufactures revived. An outstanding characteristic of the industry The growth of large furniture factories and has been its concentration in a few states. Newthe widening of market areas have been accom- York was the leading producer from 1859 topanied by the development of a number of 1929, but its lead steadily diminished. With themarketing devices which have largely displaced growth of new population centers and the open-the old relationship between cabinetmaker and ing of new timber resources in the middle west,consumer. Because most furniture is bulky, un- Illinois, Michigan and Indiana became of majorstandardized and difficult to evaluate without importance in the eighties, and at this timeexamining, the system of holding markets for Grand Rapids became an outstanding center.short periods of time two or four times a year During the nineties North Carolina turned toat leading furniture centers has grown in popu- furniture manufacture as an early step in itslarity since the first market was held in Boston industrialization and in 5929 it ranked fifth. Inin 2874. With the growth of the furniture indus- 1889 the five leading furniture states (New York, try in the southern states the Southern Furniture Illinois, Massachusetts, Michigan and Ohio) Exposition was organized at High Point, North produced 63 percent of the total output and inCarolina, in 1913. Markets are also held by 2929 the share of the five leading states (NewPacific coast manufacturers, who largely supply York, Illinois, Indiana, Michigan and Northlocal needs as eastern competition is made diffi- Carolina) amounted to 57 percent. Certain states cult by high freight rates. But the most impor- produce a very large proportion of certain classestant markets are held at Chicago and Grand of furniture. Thus in 1929 Indiana was theRapids. The one held in Chicago, which is by largest producer of wooden kitchen furniture,far the largest in the country, attracts hundreds New York and Illinois of metal household fur-of manufacturers, practically all of whom bring niture. The industry has also for many yearsout at least one new style of furniture at each formed important centers in certain cities, al-market. In 1928 manufacturers accounting for though the aggregate importance of these cen-over 90 percent of the country's furniture pro- ters to the industry has diminished. Thus theduction were represented at the Chicago market, value of the product of the seven largest furni-where they did almost a quarter of their total ture producing cities (among them New York,business for the year. Furniture buyers either Chicago, Grand Rapids and Philadelphia) was place orders with manufacturers or examine the 53 percent of the total in 1889 and only 32exhibits with the idea of placing orders later in percent in 2925. the season. This latter practise has increased with Furniture 541 the growth of hand to mouth buying. Since 1920a considerable amount of skill, is being sub- groups of buying syndicates have frequentlydivided so that it can be performed by semi- been formed, generally by small retailers, toskilled workers. Nevertheless, a number of tasks secure the price concessions that manufacturerseven in the highly mechanized plants require a grant for large purchases and to compete suc-great deal of skill, as, for instance, the construc- cessfully with larger retail units. Most furniture,tion of samples, some finishing jobs and setting however, is sold to the retailer on the basis ofand operating certain machines. Wages vary photographs and descriptions by the travelinggreatly and not always in relation to skill. In commission broker, who represents a number of1929, for example, the average actual earnings different manufacturers. per week of hand carvers were $42.66; male up- More furniture is sold by independent furni-holsterers $33.61; female upholsterers $16.93; ture and house furnishing stores than by anymale assemblers and cabinetmakers $28.44; male other type of retailer, but the relative impor-helpers $15.13; and female helpers $10.37. The tance of their sales is declining. During theaverage for all furniture workers in the United decade following the World War departmentStates was $25.12 for males and $16.03 for fe- stores and chain stores in the United Statesmales; and among the leading furniture states it greatly increased in importance as furniture out-ranged from $30.21 for males and $21.17 for lets; in 1926 chain stores made almost one thirdfemales in Illinois to $17.61 for males and $10.00 of the furniture sales in eleven cities. Mail orderfor females in North Carolina. Average yearly houses are important outlets for the rural sec-earnings in 1929 amounted to $1235 compared tions. There is an overabundance of retail fur-with an average of $1306 for manufacturing niture stores: one existed for every 2665 peopleindustries as a whole. In the same year the aver- in 1925; in eleven cities t I percent of the inde-age number of hours actually worked per week pendent stores accounted for 69 percent of the by all furniture workers was fifty. total sales. Competition is severe and failures Unionism in the furniture industry is insig- numerous. Except during the regular Februarynificant. The first important trade union of fur- and August sales most retailers have a particu-niture workers in America, the Furniture Work- larly high mark up, too percent being quiteers' National Union, founded in 1873, was com- usual. This is partly due to high sales costs, theposed primarily of German cabinetmakers. In unusually high expense required for shipping,1895 it merged with the Machine Wood Work- repairing and refinishing work and the ignorance ers' organization and became the Amalgamated of most consumers. The majority of consumersWood Workers' International Union. In 1912 must depend on the retailers' statement to knowthe Amalgamated merged with the Brotherhood what they are purchasing. Even where misrep-of Carpenters and Joiners, which since then has resentation is not intended -and it is more gen-had jurisdiction over the majority of furniture eral and flagrant in this industry than in most -workers but, with the exception of a small num- a large proportion of the salesmen know veryber of highly skilled men, has had very few little about what they are selling, and there is amembers in the industry. By 1931 it had prac- tremendous amount of ambiguity in ordinarytically given up the idea of organizing furniture furniture terminology. The consumer, more-workers. Five other craft unions with consider- over, is forced to pay the price of the wide able jurisdiction in the industry have practically choice of furniture styles. Several hundred com-no members in this field. The Upholsterers', peting manufacturers bring out at least one newCarpet and Linoleum Mechanics' International style two or four times a year, which perhaps Union , however, for many years has had a num- results in an excessive variety, as most peopleber of members scattered through small shops. make large purchases of furniture only once or Mechanization and large scale production twice in a lifetime. started much later and have not gone nearly so In 1929 the American furniture industry em-far in Europe as in America. The greater part ployed 192,057 wage earners. Most of them wereof furniture is produced in small shops by man- semiskilled and unskilled workers, because ofufacturers who are frequently also salesmen and departmentalization and division of labor within artisans, by skilled workers generally trained in departments, automatic machinery and, espe-the apprentice and master tradition or by crafts- cially since the World War, the introduction ofmen working in their own homes. There is a straight line production methods. Even the work large output of fine furniture, particularly in of the upholsterer, which for years had requiredParis, Vienna and London, and a great number 542 Encyclopaedia of the Social Sciences of small shops specializing in the imitation ofhowever, a considerably larger interchange of period furniture. Modern factories exist, how-furniture within Europe. In 1927 European ever, in all the important furniture producingcountries imported, mainly from each other, countries, and in certain regions the smaller$32,674,000 worth of furniture and exported establishments and especially the home workers$$17,657,000 worth; two thirds of the exports are finding it difficult to compete with the fac-were by France, the United Kingdom, Ger- tory. Industrialization is greatest in Germany,many, Belgium and Czechoslovakia. The small where many furniture factories are highly mech-importance of foreign trade is largely due to the anized and specialized and manufacturers arebulk of furniture, differences in construction organized in closely knit trade associations. Theneeded for different climatic conditions, the production of office and metal furniture is in-popularity of national styles, particularly among creasing in France, England and Germany.the wealthy, and the comparatively small pur- Nevertheless, the custom cabinet shop holds itschasing power of lower middle and working position in Europe because of the large propor-classes in countries other than the United States. tion of individualistic high grade furniture de- GEORGE MARSHALL manded by the wealthy and the relatively small See: ART; ARCHITECTURE; INDUSTRIAL ARTS; TASTE; purchasing power of the European masses. This FASHION; HANDICRAFT; HOUSING; STANDARDS OF LIV- is strikingly apparent in France, the greatest ING; ROYAL COURT; LANDED ESTATES; MIDDLE CLASS; European furniture producing country. Fumi- HOME OWNERSHIP. ture making in Asia is still at the handicraft Consult: FOR GENERAL AND HISTORICAL: Richter, G. stage, producing massive, richly carved and in- M. A., Ancient Furniture; a History of Greek, Etruscan laid furniture for wealthy natives and foreigners; and Roman Furniture (Oxford 1926); Feulner, A., Kunst- geschichte des Möbels seit dem Altertum (3rd ed. Berlin there are, however, a few modern factories in 1927); Viollet -le -Duc, E. E., Dictionnaire raisonné du Japan and India. mobilier français de l'époque carlovingienne d la renais- In Great Britain between 1907 and 1924 thesance, 6 vols. (Paris 1854-75); Falke, O. von, Deutsche selling value of the products of the furniture, Möbel des Mittelalters und der Renaissance (Stuttgart cabinetmaking and upholstering trades increased 1924); Bode, W. von, Das italienische Hausmöbel der Renaissance (Leipsic 1902), tr. by M. E. Hewick (New from £Io,969,000 to £28,518,000 and employ- York 1921); Schottmülier, F., Furniture and Interior ees increased from 74,119 to 82,841. In 1924 Decoration of the Italian Renaissance (New York 1921); about a fifth were females; 16 percent of the Félice, Roger de, Le meuble français sous Louis xzv et males and 37 percent of the females were underla régence (Paris 1922), tr. by F. M. Atkinson (London eighteen years old. About half of the boys and 1927); Macquoid, Percy, A History of English Furni- ture, 4 vols. (London 1904 -08); Cescinsky, Herbert, many of the girls were apprentices or learners. English Furniture of the Eighteenth Century, 3 vols. Weekly wages ranged from seventy to eighty -six (London 1909 -11); Lockwood, L. V., Colonial Furni- shillings in London and from sixty to eighty -two ture in America, 2 vols. (New York 1913); Park, E. A., shillings in the provinces. In 1927 the industry New Backgrounds for a New Age (New York 1927) ch. iv; Veblen, Thorstein, Theory of the Leisure Class was quite well organized and the normal work(new ed. New York 1918) ch. vi; Mumford, Lewis, week was from forty -four to forty -seven hours. "The American Dwelling- House" in American Mer- Approximately eight trade unions had jurisdic- cury, vol. xix (193o) 469 -77. tion over the industry; of these the National FOR FURNITURE INDUSTRY: United States, Federal Amalgamated Furnishing Trades Association Trade Commission, "Household Furniture" Report on and the Amalgamated Union of Upholsterers House Furnishings ... , 3 vols. (1923 -25) vol. i; John- son, A. P., and Sironen, M. K., Manual of the Furni- were the most important. Since 1893 the Deut-ture Arts and Crafts (Grand Rapids 1928); Kor- scher Holzarbeiter Verband has done a great stian, C. F., The Economic Development of the Furni- deal to improve the conditions of German furni- ture Industry of the South and Its Future Dependence ture workers. upon Forestry, North Carolina, Department of Con- Foreign trade on the whole plays a very minor servation and Development, Economic Paper no. 57 (Raleigh1926);Dankert, ClydeE.,Trends and part in the furniture industry with the exception Problems in the Marketing of Furniture (typewritten, of expensive and high quality furniture, as inChicago 1930), and "The Marketing of Furniture " the case of French exports, and metal office fur-in journal of Business, vol. iv (193 1) 26-47, 149-73; niture in the case of the United States. In the United States, Immigration Commission, Immigrants in Industries, pt. xv, United States, Senate, 61st latter country imports and exports comprisedCong., and sess., Document no. 633 (1911) p. 463- barely i percent of its total production of wooden603; United States, Bureau of Labor Statistics, furniture in 1927; total exports amounted to"Wages and Hours of Labor in the Furniture Indus- $3,183,000 and imports to $4,631,000. There is, try 1910 to 1929," Bulletin, no. 526 (1931); Berglund, Furniture-Gagern 543 A., and others, Labor in the Industrial South, Univer- nomena, which he believed gave rise to law; in sity of Virginia, Institute for Research in the Socialhis later works a larger place is given to material Sciences, Institute Monograph no. ix (Richmond 1930) p. 2I-38, 155 -67; Great Britain, Ministry ofinterests. Labour, Report of an Enquiry into Apprenticeship and Fustel's work was very much discussed during Training for the Skilled Occupations in Great Britain his lifetime, and although many of his theses are and Northern Ireland, 1925 -26, 7 vols. (London 1927- now contested itstill has profound influence 28) vol. ii, p. 69 -93; United States, Bureau of Foreign and Domestic Commerce, "European Markets forupon historians and upon French sociologists. Furniture," Trade Information Bulletin, no. 374 (5925); The political conclusions that have been drawn Bouchieu, Jules, L'industrie du meuble à Toulousefrom his writings by members of the Action (Toulouse 1922); Hofstetter, C. A., Die wirtschaft- Française cannot be attributed to him. His influ- liche Organisation der schweizerischen Möbelindustrie ence in England is revealed in the writings of (Weinfelden 5922); King, E. T., and Baldwin, Elbert, "Can America Export More Wooden Furniture ?" in Seebohm and Ashley; it was much more tardy Furniture Manufacturer, vol. xxxviii (August 1929) in Germany. 39-42,84 -87. MARC BLOCH Important works: La cité antique (Paris 5864, 28th ed. FUSTEL DE COULANGES, NUMA -DENYSParis 5924), tr. by Willard Small (Boston 1874, 12th (1830 -89), French historian. Fustel de Cou- ed. Boston 5905); Histoire des institutions politiques langes, who was successively professor at the de l'ancienne France (Paris 1875), ed. by C. L. Jullian in 6 vols. (Paris 1888 -92; vols. i -iii 3rd ed. 1901 -13, University of Strasbourg, the Ecole Normale, vol. v 4th ed. 1914, vol. vi znd ed. 1907). the Sorbonne and finally director of the ÉcoleConsult: Arbois de Jubainville, H. d', Deux manières Normale, made his reputation through his fa-d'écrire l'histoire (Paris 1896); Guiraud,_Paul, Fustel mous La cité antique, which was a pioneer corn-de Coulanges (Paris 5896); Champion, Édouard, Les parative study of Roman and Hellenic societies.idées politiques et religieuses de Fustel de Coulanges Without giving up his studies of antiquity, as (Paris 5903); Pfister, Christian, Bloch, Marc, Grenier, Albert, Piganiol, André, and Cavaignac, E., in L'Al- diverse memoirs testify, he then undertook his sace française, vol. xix (1930) 204 -16; Diehl, Charles, Histoire des institutions politiques de l'ancienne Julian, Camille, Glotz, Gustave, and Pfister, Chris- France, which he completed only as far as thetian, in Revue internationale de l'enseignement, vol. Carolingian period. His work betrays both thelxxxiv (1930) 578-203; Tourneur -Aumont, J. M., unconscious influence of romanticism, which Fustel de Coulanges (Paris 1931). had introduced into the interpretation of history the notion of the spontaneous, and a very de- GABELLE. See SALT. cided reaction against romantic thought in some of its significant features. He hated subjectivism GAGERN, HEINRICH VON (1799-1880), in historical interpretation, practised CartesianGerman statesman. Gagern was the son of an im- doubt regarding all testimony and based all hisperial judge and diplomat. After serving against conclusions on original texts. Of archaeology heNapoleon he studied at Heidelberg and Jena. had little knowledge. It has been possible to He kept himself free of all radical tendencies and reproach him for not weighing the authenticityabsorbed the Burschenschaft's political ideal of of his documents with sufficient care; but onceGerman unity and freedom. In 1821 he entered he admitted a text as genuine he insisted onthe Hessian administrative service and in 1832 determining its exact meaning, and his analyseswas elected to the Hessian second chamber. He of vocabularies remain models. He rejected thesoon became leader of the opposition and re- abuse of the racial interpretation of history dearsigned his government post, fighting for moder- to romanticism and was dominated by the ideaate constitutional principles until he failed of re- of evolution. He attempted to prove that theelection in 1836 and retired to a country estate. Teutonic invasions of the fourth and fifth cen-He continued his liberal activities and when he turies were gradual, not violent and destructive,reentered the chamber in 1846 became at once and to refute the idea that the Middle Ages were leader of the opposition. In consequence of the a Teutonic creation. The elements of the pastrevolution of March, 1848, he was made prime found in the French Middle Ages were in hisminister and minister of foreign and home af- opinion chiefly of Roman origin. The ignorance fairs. He sought to solve the question of German of the ancient German societies which he dis-unity at once by sending a common embassy of plays was due to insufficient means of informa- all south German governments to offer the lead- tion, not to nationalistic bias. In La cité antiqueership of Germany to the king of Prussia, in the his main emphasis is laid on religious phe-conviction, partly a result of the influence of his 544 Encyclopaedia of the Social Sciences brother Friedrich, that this state alone was in aa work closely related in respect both of general position to unite Germany. The attempt failed,plan and of subject matter to his Res cotidianae. largely because of the Berlin March revolution,In each of those works Gaius presented a survey and Gagern sought the solution by a popularof the entire Roman private law including the movement. He was among the foremost in ef-jus honorarium as well as the jus civile, and in forts to hinder the radical extension of the revo-each of them the treatment was primarily dog- lution, to preserve the monarchical form of gov-matic. Begun at the very close of the reign of ernment and to assure Prussian leadership inAntoninus Pius (died 161) and completed in the Germany. Changes in his attitude in 1848 wereearly part of the reign of Marcus Aurelius, the but tactical means to the same end. He wishedGaian institutional treatise is the one classical not to separate Austria entirely from Germanywork on Roman law that has been preserved al- but to join it in a confederacy with a federationmost entire. of the other German states. He became presi- The rise of Gaius to a position of eminence is dent of the national assembly in Frankfort andattested by the famous Law of Citations, or ¡ex later of the imperial ministry, where his influ-de responsis prudentum (C. Th. 1.4.3.), of Theo- ence was decisive in uniting a majority upon thedosius II and Valentinian Iu (426). By this law, program of a federal state under Prussian leader-which is the earliest certain reference to Gaius, ship. After the work of the Frankfort assemblyimperial approval was given to all the writings of was destroyed by the king of Prussia, Gagern at-Papinian, Paul, Gaius, Ulpian and Modestinus; tempted to attain his objectives by supportingto Gaius the same authority as that enjoyed by Prussian diplomatic ambitions; hence he tookthe other four jurists was expressly conceded, part in the unsuccessful assembly of 1850 at Er-while the citation of all his works by judges was furt. Concluding that Prussia preferred its ownsanctioned. At length the high authority of Gaius national egoism to German unity and that itswas recognized by Justinian in his work of codi- government throughout was disinclined to fulfilfication. Out of a total of 9142 extracts from the the primary condition he had always attached tojurists embodied in the Digest by Tribonian and leadership -realliberalconstitutionalisminJustinian's other commissioners 535 are from home affairs -he came gradually to the opinionthe writings of Gaius. The chief influence, how- that Austria might better be able to solve theever, exerted by Gaius on the Justinianian codi- problem of German unity. After 1859 he be-fication and hence on the Roman law of later came more and more hostile to Prussia and intimes was through his Institutes. The commis- 1864 he went to Vienna as ambassador, retainingsioners drew by far the greater part of the sub- this post until 1872, when he retired to privatestance of Justinian's Institutes from the Insti- life. tutes and Res cotidianae of Gaius; and they also LUDWIG BERGSTRASSER modeled the plan of Justinian's Institutes upon Consult: Meinecke, F., Weltbürgertum and National- the one which Gaius had followed in his own. staat (7th ed. Munich 1928); Wentzcke, Paul, "Zur Apart from knowledge of the Institutes gained Geschichte Heinrich von Gagerns" in Quellen andfrom the Collatio legum mosaicarum et romano- Darstellungen zur Geschichte der Burschenschaft and der rum (c. 390), the Breviarium alaricianum (506), deutschen Einheitsbewegung (Heidelberg 1910) p. 162- 239; Die hessische Politik in der Zeit der Reichsgründung non juristic writers of the late empire and the (1863 -1871), Historische Bibliothek, vol. xxxiv (Mu- Justinianian codification, this now celebrated nich 1914). work by Gaius had been lost to modern scholars until in 1816 Niebuhr discovered in the chapter GAIUS (second century A.D.), Roman jurist.library at Verona a manuscript in which works Only his praenomen "Gaius" is known, whileof St. Jerome had been written over the text of many of the facts of his life and career, to beGaius. gathered almost entirely from evidence found in Niebuhr's finding of the last Gaius, commu- his writings, are much disputed by scholars. Bornnicated at once to Savigny, intensified an already not later than the time of Hadrian, he was activeawakened interest in Roman legal history; it as teacher and writer in the following reigns; it iscoincided indeed with the rise of the historical certain that he was at work as late as the yearschool. The scholarly study of Gaius during the 178. His most important contribution to legallast century has in fact illumined not only the literature and the only one that has survived in-law of the second century but also, since Gaius dependently of Justinian's Digest was his trea-in contrast with Justinian introduced much his- tise entitled Institutionum commentarii quattuor,torical matter, the law of still earlier times. Gaius Gagern -Gaj 545 has likewise exercised a marked influence ondevelop their national cultures and awaken the legal education during the last century. Slavic consciousness. Their influence, especially For originality and creative genius Gaius can-that of Jan Kolár, the standard bearer of the not be ranked with the greatest of the classicalromantic historical movement forpan -Slav jurists, such as Julian and Papinian; nor perhapsrenaissance, determined all of Gaj's subsequent can he be given a place with Ulpian andcertainactivities. His pamphlet on the principles of a other celebrated legal writers of the classical age,new orthography of the Croatian language,which such as Paul. As Kruger has pointed out, Gaiusappeared in 183o in both German and Croatian, appears to have taken Pomponius as hismodel;became vastly important not merely for the cre- and his close relationshipto Pomponius isation of a modem uniform orthography and shown not only by his taking the whole field ofliterary medium for the Croatians and Serbs but the private law, in contrast with the public law,also for the development of cultural and national as his province, but also by the treatmentof hisideologies, because in it the principle of the materials. In the writings of Gaius not less thanliterary and cultural unity of the southern Slays in those of Pomponius casuistry, or the scientificwas asserted. handling of cases, is combined with dogmatic After his return to his native country Gaj by elaboration; and the exposition of both jurists,his active national agitation made Zagreb, the composed in clear and simple style, is marked byold center of Croatian culture, the focus of a ease and breadth. While modern criticsrightlynew nationalistic, so- called Illyrian movement. point out the defects in the work of Gaius, suchA gifted popular leader filled with a prophetic, as his lack of thorough preparation,his errors inmessianic faith in his mission, Gaj awakened legal history and his want of courage in the faceunderstanding and fanned enthusiasm for na- of controversial questions, there is, however,tional ideals and aspirations and for the southern general agreement among scholars in accordingSlav and pan -Slav movements among the to him a high place among the world's greatyouth, the intellectuals, the bourgeoisie and the jurists. Catholic clergy. In 1835 he founded the Hrvat- H. D. HAZELTINE sko-slavonsko- dalmatinske novine, the first Cro- Consult: Gai institutiones iuris civilis, `ed. by E. Poste,atian newspaper, whose aim was to awaken with translation and commentary (4th ed. by E. A.the Croatian people, defend their interests and Whittuck, Oxford 19o4); The Institutes of Gaius andformulate their national aspirations. It became Rules of Ulpian, ed. by J. Muirhead, with translationthe organ of the Illyrian movement, which not and notes (new ed. Edinburgh 1904); Girard, P. F., Textes de droit romain (5th ed. Paris 1923) p. 22o -37o, only spread to all the Croatian provinces but also reproducing text of the Autun Gaius; Zulueta, F. de, affected the other Jugoslav peoples. This move- "The Oxyrhynchus Gaius" in Law Quarterly Review, ment represented the first attempt to organize vol. xliv (1928) 198 -208; Krüger, P., Geschichte der all national activities in the fields of politics, Quellen und Litteratur des römischen Rechts (2nd ed. literature and general culture. The political aim Leipsic 1912) §§ 24, 40, 43, 44; Kipp, T., Geschichte der Quellen des römischen Rechts (4th ed. Leipsic 1919) of Illyrianism was national self- defense against §§ 18, 20, 22, 23 -26; Karlowa, O., Römische Rechtsge- the imperialistic expansion of the Magyars. The schichte, 2 vols. (Leipsic 1885 -1901) vol. i, p. 657 -778; literary and cultural program of the movement Roby, H. J., Introduction to the Study of Justinian's included the creation of a cultural union of all Digest (Cambridge, Eng. 1888) chs. vi, ix, xiii, and appendices; Buckland, W. W., A Textbook of Romansouthern Slays. Law from Augustus to Justinian (Cambridge, Eng. In 1840 Gaj traveled by way of Vienna and 1921) p. 21 -5o; Kniep, F., Der Rechtsgelehrte Gaius Dresden to St. Petersburg in order to win the (Jena 1910); Ledlie, J. C., "Gaius" in Great jurists ofinterest and aid of foreign, especially Russian, the World, ed. by St. John Macdonell and Edwardofficial circles for his aims and activities. During Nanson, Continental Legal History series, vol. v (Boston 1914) p. 1 -16. the Revolution of 1848 he again became a lead- ing figure especially because of the desire of the GAJ, LJUDEVIT (1809 -72), Croatian states-nations which formed part of the Austrian mon- man and writer. In his youth underthe influencearchy to reorganize the absolutist state on a of the German culture which prevailed in Cro-democratic and federal basis. He conducted im- atia during the first half of the nineteenth cen-portant political and diplomatic negotiations on tury Gaj wrote in German. During his studiesbehalf of the Croatians, proposed the nomina- at the universities of Graz and Pest he was influ-tion of General Jelacie as ban of Croatia, and enced by the ideas of Slavic intellectuals whoin Vienna at the head of a Croatian deputation were striving to cultivate their native tongues, presented to the emperor a program which called 546 Encyclopaedia of the Social Sciences for the union of all Croatian lands, the establish- of our governmental history surpassed that of ment of an independent Croatian assembly and all other politicians of the day combined. During the abolition of feudal privileges. He was careful the later stages of the slavery controversy, how- to prevent the movement for the national libera-.ever, his influence declined as he persisted in tion of the Croatians from directing itself againstadhering to his conciliatory views. the dynasty and the state and sought political ALLAN NEVINS backing at the courts of Vienna, St. Petersburg Consult: Bleyer, W. G., Main Currents in the History and the Serbian ruler. Hence in Croatia oppos- of American Journalism (Boston 1927); Nevins, Allan, ing tendencies and new movements soon pre- American PressOpinion(Boston1928);Seaton, vailed against him, especially since after the Josephine, William Winston Seaton of the "National restoration of the absolutist government he Intelligences" (Boston 1871). placed himself and his services as editor of theGALIANI, FERDINANDO (1728 -87), Italian official newspaper at the command of the gov-writer on political and economic subjects. Al- ernment in Vienna. though born at Chieti, Galiani was educated at JOSEF MATL Naples. At sixteen he was already beginning to Consult: Déselié, Velimir, Ljudevit Gaj (Zagreb 191o); write, upon the basis of Vico's political doctrines, Sisie., F., y. Strossmayer i juznaslovenska misao (Bel - a number of treatises dealing with aspects of an- grad1922)p.131 -6o;Bogdanovié,D., Pregledcient economic and political life. He also trans- knjizevnosti hrvatske i srpske, 2 vols. (Zagreb 1915- 18) vol.ii,pt.i,p. 126 -63; Fischel, Alfred, Derlated Locke's treatise on money, adding notes Panslawisnzus bis awn Weltkrieg (Stuttgart 1919) p. which became the nucleus of his classical Della 131-43. moneta (Naples 175o; new ed. by F. Nicolini, Bari 1916). The principal element which renders GALES, JOSEPH, JR. (1786- 186o), Americanthis treatise extraordinary among the economic editor and congressional reporter. For morewritings of the time is its clear analysis of the than fifty years, from 181 o till his death, Gales question of value. Galiani makes the value of was an owner and editor of the Washingtoncommodities -including the commodity money National Intelligencer -most of the time in-dependent upon utility, or the capacity of an association with his brother -in -law, W. W.object to satisfy human needs, and subject to the Seaton. Until 182o Gales and Seaton were ex-modifying influence of scarcity, which he defines clusive reporters of the proceedings of Con-as the relation between the existing quantity of gress, the former sitting in the House, the latteran object and the quantity desired. In the case of in the Senate. They remained printer to bothgoods produced by human labor he points out houses until Jackson became president. Their that value is determined by the number of labor- running reports, in the majority of cases abbre- ers required during the period of production, a viated, were collected from the Intelligencer filescost which, however, will vary according to the and with other material enabled them to pub- factors fixing the normal value of the means of lish the indispensable source of early congres-sustenance in question. Galiani manifests acute sional history, Debates and Proceedings in Con-perception of the interdependence of the various gress, 1789-1824 (42 vols., Washington 1834-elements affecting value; in his discussion of 56), continued in the Register of Debates inutility, in his gradation of human needs, in his Congress (14 vols., Washington 1825 -37). Asrealistic approach to the nature of these needs, an editor Gales early gained wide influencehe clearly anticipates later psychological theories because of his semi -official position. He wasof value. The year after the publication of his the recognized spokesman for the MadisonDelle lodi di papa Benedetto xry (Naples 1758), administration and although of English birthnoteworthy for its development of the theory of warmly advocated hostilities with England inpolitical passivism, Galiani was sent to Paris as 1812. Later he became known as a conserva-secretary to the Neapolitan embassy. There his tive, supported J. Q. Adams against Jacksoninexhaustible flow of wit made him an outstand- and together with Seaton made the Intelligencering figure in the principal salons and brought one of the leading Whig organs. He espousedhim into intimate contact with the most influ- the cause of the United States Bank, protectiveential Parisians of the time. When he was re- tariff legislation and internal improvements andcalled to Naples because of a diplomatic error deprecated the antislavery agitation. For manycommitted in 1769 he left behind his uncom- years his editorials carried great weight, andpleted but famous Dialogues sur le commerce des Daniel Webster declared that his knowledgeblés (London 177o), which created such a storm Gaj-Galileo Galilei 547 of intermixed praise and criticism that Morellet(1924) pts. 3-4, P. 193-2IO, and "Ferdinando Galiani was commissioned on behalf of the governmentet les physiocrates" in Revue des sciences politiques, vol. xlv (1922) 346 -66; Bierman, Wilhelm, Der Abbé to answer it. Despite Galiani's earlier adherence, Galiani als Nationalökonom, Politiker und Philosoph at the time of the edict of 1764, to the cause of(Leipsic 1912); Blei, Franz, Abbé Galiani und seine unlimited freedom in the export of grain he here Dialogues sur le commerces des blés (Bern 1895); Som- showed himself a defender of moderate duties mer, Louise, "Abbé Galiani und das physiokratische and a determined, although hardly solemn, op- System" in Zeitschrift für Volkswirtschaft und Sozial- politik, n.s., vol. v (1925-27) 318 -41; Kaulla, Rudolf, ponent of the physiocrats, whose fundamental Die geschichtliche Entwicklung der modernen Wertthe- assumptions he challenged. During his ten yearsorien (Tübingen 1906); Nicolini, F., "Giambattista in France Galiani had at the same time identifiedVico e Ferdinando Galiani" in Giornale storico di himself with the problems of the French En- letteratura italiana, vol. lxxi (1918) 137 -207. lightenment and kept intact his Italian heritage, the ideas of Vico and Machiavelli. In contrastGALILEO GALILEI (1564- 1642),Italian with the theorists of natural law he maintainedphysicist and astronomer. Galileo occupies a the historical, relativistic approach, holding ittwofold place in the history of science. He dis- absurd to posit an absolute law, such as the pri- covered most of the physical truths that were macy of agriculture, without regard to place,later embodied in Newton's great synthesis, and time and circumstance. While it was no doubthe vindicated the rights of modern science by true that cosmic activities proceeded accordinghis propaganda for the Copernican theory. It is to law (herein Galiani, even as an exponent offrom the second aspect that Galileo's work has historicism, manifests his customary balance),direct significance for social thought. the diversity of conditions evoked varying laws While he had been converted to the Coper- and produced varying results. The problem ofnican theory in his student days Galileo did not the statesman was one of practical adjustment.become publicly identified with it until after he An antidemocrat and pragmatist in the mold ofhad made the astronomical discoveries which Machiavelli, Galiani also had the elements of afollowed upon his invention of a telescope in utilitarian theory; he declared that it was possi-1609. These discoveries, such as the existence ble by means of plotting an algebraic graph toof the satellites of Jupiter and of the phases of discover the maxima et minima, the greatest good Venus, added new weight to the Copernican with the least pain. In one of his last works, De'theory, although they were far from demon- doveri de' principi neutrali (Milan 1782), designed strating it completely; and in defending them as an apology for the neutrality of Naples duringGalileo soon found himself a vociferous cham- the continental counterpart of the American Warpion of the new astronomy. Thus he brought of Independence, he applied this formula to thehimself into conflict with the Catholic church, problems of international law. Galiani's lastwhich had withheld its censorship of the Coper- years, passed at Naples in what seemed to him nican theory so long as that theory had been exile from France, were occupied with various regarded as a mere hypothesis and so long as its official positions, which drew from him a num- implications had not been drawn. The reason ber of significant reports on economic and politi-for the Catholic opposition was not that the cal questions, with unofficial compositions ontheory contradicted Scripture -so did the Ptole- subjects ranging from politics to the Neapolitanmaic system -but that it broke with the unity dialect and with a voluminous correspondence of doctrine which had hitherto existed between with Madame d'Epinay and his other Frenchtheology, ethics and science. For this unity friends. This correspondence (collected in Cor-Aristotle's philosophy provided the framework, respondance inédite, 2 vols., Florence 1818; new and it had been possible to incorporate the ed. Paris 1881) is the best mirror which has been mathematical epicycles of the Ptolemaic astron- preserved of his talents and point of view. omy without disturbance to the rest of the FAUSTO NICOLINI structure. Galileo did more than defend an Consult: Introductions and bibliographies in the se- astronomical theory irreconcilable with the or- lections from Galiani's writings made by Fausto thodox system of knowledge: he carried on a Nicolini, Il pensiero dell' abate Galiani (Bari 1909), philosophical polemic against Aristotle's physi- and by F. Flora, Le più delle pagine di Ferdinando cal ideas which involved a direct attack upon Galiani (Milan 1927); Rossi, Joseph, The Abbé Galianithe whole Aristotelian cosmology. Since the in France (New York 1930); Hall, E. B., Friends of Voltaire (New York 1907) ch. iii; Arias, G., "Il pen - same reasons which made Aristotle's system siero economico di F. Galiani" in Politica, vol. xxi ideal from the point of view of the Catholic 548 Encyclopaedia of the Social Sciences church made it deadly to scientific progress,GALL, FRANZ JOSEPH (1758- 1828), Ger- Galileo was literally fighting for the right ofman anatomist and founder of phrenology. Gall science to exist. was born at Tiefenbrunn, Baden, and studied In February, 1615, he was denounced to themedicine in Strasbourg and later in Vienna, Inquisition. During the investigation which fol-where he received his doctorate in 1785. He lowed it was intimated to him that he would gotemporarily abandoned the practise of medicine unharmed and everybody would be satisfied ifin order to devote himself to the study of the he would teach the Copernican theory as a merebrain and in 1796 gave public lectures in Vienna mathematical hypothesis of convenience. Gali- on the new doctrine of phrenology. Thelectures leo refused to accept a condition tantamount towere soon prohibited as subversive ofreligion maintaining the mediaeval suzerainty of theol-and morality; and Gall thereupon betook him- ogy over science, and in February, 1616, he wasself to Berlin, where he inaugurated a similar called before Cardinal Bellarmine, who informedcourse which did not meet with success. After him that the Copernican theory had been con-making a tour through Germany, Denmark, demned by the Holy Office two days before andHolland and Switzerland he settled in Paris; that he was henceforth forbidden to hold orthere together with his pupil Spurzheim he pre- teach the doctrine in any way. Although Galileosented to the Institute of France in 1808 a accepted and signed Cardinal Bellarmine's pro-memoir incorporating the results and conclu- hibition, it was impossible for a man of hissions of their researches. Cuvier and Pinel were intelligence to forswear a scientific opinion inmembers of the committee which returned an his heart, and for a man of his temperament itunfavorable report. was almost as difficult to refrain from writing Although phrenology has been discredited as about it. In 1624 he profited by the accession ofa science, Gall's work was not withoutmerit. It Urban vutt to publish a covert defense of thewas he who suggested the idea of brainlocaliza- Copernican theory. After this was well receivedtion, although his division of the cerebrum into he set to work on his great Dialogues on the Twofaculties misled many psychologists until recent Principal Systems of the World. It was the pub-years. The interest and oppositionwhich his lication of this work in 1632 which broughttheories aroused served to focus attention in about the attack upon Galileo by the Inquisitionbiological and physiological circles upon im- in 1633-34, his imprisonment, his trial and hisportant problems. Max Meyer has regardedhim because he was tragic abjuration. as a forerunner of behaviorism While a nominal victory for the church, thenot concerned with introspective psychology; proceedings against Galileo really marked theand in his own day he was looked upon as a end of the mediaeval era of the union of science materialist because he placed so much stress on and theology. It was not, however, until 1835the brain as the organ of all psychic functions. that the Catholic church explicitly rescinded theNeither of these ascriptions is correct. He was a prohibition of Copernican teachings. nativist in his philosophy, claiming that men are BENJAMIN GINZBURG born with definite capacities and propensities. In contrast with the French naturalists, Cuvier, Works: Galileo's writings dealing with his defense of the Copernican theory are Sidereus nuncius (VeniceBichat and Flourens, with whom he had scien- i6xo); Il saggiatore nel quale ... (Rome 1623); Dia- tific contacts and who discussed his views rather logo dei due massimi sistemi del mondo (Florence 1632); unfavorably, he did not attribute as much im- as well as the letters to the Princess Christine and toportance to the vital organs as to thebrain. In Castelli. These may all be consulted in the national his Des dispositions innées de l'ânie he defended edition of his works, ed. by Antonio Favaro, 20 vols. (Florence 189o- 1909). The Sidereus nuncius has been himself against the materialistic charges made translated by Edward S. Carlos (London 1880), and against him. the Dialogo and the letter to Princess Christine by Gall was a skilful controversialist and at- Thomas Salusbury in his Mathematical Collections tracted a large number of followers, especially and Translations (London 1661). Antonio Favaro has training. Gas- published Galileo e l'inquisizione: documenti del pro - among persons without scientific cesso galileiano (Florence 1907). par Spurzheim and George Combedid the most Consult: Fahie, J. J., Life of Galileo (London 1903); to promulgate his teachings inEngland and Stimson, Dorothy, The Gradual Acceptance of theAmerica, where phrenology asa profession Copernican Theory (Hanover, N. H. 191'7) ch. ii;throve for over a century. Wohlwill, Emil, Galilei and sein Kampf für die coper- A. A. ROBACK nicanische Lehre, 2 vols. (Hamburg 1909 -25); Wieser, Fritz, Galilei als Philosoph (Basel 1919). Works: Philosophisch- medicinische Untersuchungen über Galileo Galilei-Gallatin 549 Natur und Kunst im kranken und gesunden Zustande sylvania he had applied the public lands to an des Menschen (Vienna 1791, 2nd ed. Leipsic 1800); extension of economic democracy and relief Recherches sur le système nerveux en général et sur celui du cerveau en particulier (Paris 1809); Anatomie et from taxation, and he had been largely respon- physiologie du système nerveux en général et du cerveau sible for passing through Congress the Land en particulier, 4 vols. (Paris 1810 -19), with an atlasAct of 1796. As secretary of the treasury he of plates, and Des dispositions innées de l'âme et de planned the Cumberland Road and in 1808 l'esprit, du matérialisme...(Paris 1811), both writ- submitted to Congress the plan for an extensive ten in collaboration with G. Spurzheim. system of internal improvements and of national Consult: Blondel, C., La psycho - physiologie de Gall, education to be financed by the sale of public ses idées directrices (Paris 1913); Hollander, B., .Mc- Dougall's Social Psychology Anticipated by One Hun- lands. As a member of the American peace dred Years (London 1924); Möbius, P. J., Franz commission in 1814 Gallatin was largely re- Joseph Gall (Leipsic 1905). sponsible for securing the highly favorable terms of the Treaty of Ghent. From 1816 to GALLATIN, ALBERT (1761 -1849), Ameri-1823 he was minister to France, and as special can statesman, financier and scholar. Gallatincommissioner to Great Britain in 1826 he settled was born in Geneva, Switzerland, but at theoutstanding differences between the two nations age of nineteen, inspired by enthusiasm forand negotiated a treaty of commerce. Later he nature and for liberty, he set out for Americapresented with great skill the American case in and on the banks of the Monongahela in westerntwo boundary controversies with Great Britain Pennsylvania established a frontier estate. An-the northeast and the Oregon. aristocrat by breeding, he soon became the After 1827 Gallatin resided in New York politicalspokesman offrontierdemocracy. City, where he identified himself closely with Without deep local attachments he consistentlythe business and cultural life of the metropolis. spoke the language of nationalism despite hisAs president of the National Bank of New York affiliation with the party of decentralization.he exerted a powerful influence for sound bank- From his first appearance in the Pennsylvaniaing and sound money, forcing almost single legislature Gallatin displayed moderation, in-handed a resumption of specie payments after dustry, eloquence, integrity, a genius for ad-the panic of 1837. His ultrabullionist essays, ministration and finance, a painstaking attentionwhich reveal a broad grasp of economic prin- to detail, a mastery of parliamentary tactics,ciples, were widely circulated by the National an enlightened humanitarianism and abroadBank. Always an ardent proponent of free trade, and farsighted conception of democracy. Enter-he presented in 1831 the memorial of the free ing the national arena in 1795 he was prominenttrade convention of Philadelphia calling for a in organizing and directing the opposition todrastic reduction of tariff duties to conciliate Federalist policies during the Adams adminis-the South Carolina nullificationists. He was tration. As secretary of the treasury underpresident of the New York Historical Society Jefferson and Madison from 1801 to 1813 heand the most prominent of a group of citizens undertook to translate the ideals of agrarianwho founded New York University in 1831. democracy into reality through the medium ofHis interest in the North American Indians had "a wise and frugal government ...whichled him around 1824 to undertake an intensive should not take from the mouth of labor thestudy of their linguistic groups and to prepare bread it has earned." His statesmanlike admin-an ethnographical map of North America. istration brout severe order into the businessUnder his influence the American Ethnological of the governet;t and economy into its depart-.Society of New York was organized in 1842, ments. He formulated a policy of debt reductionand to the pages of its transactions Gallatin which despite the expense of the Louisianacontributed two pioneer monographs on the Purchase and the Tripolitan war was singularlygeography, philology and civilization of the effective until the outbreak of the War of 1812.native races. He was the first to show the fallacy involved During the later years of his life Gallatin in the old sinking fund idea as accepted bywas out of sympathy with the current of Ameri- Pitt and Hamilton and also the first to introducecan politics. He bitterly opposed theannexation the custom of annual reports by the secretaryof Texas and the Mexican War and sympathized of the treasury. Aside from economy and peacewith the antislavery crusade. In his old age he Gallatin's chief interest during these years waswas an anachronism: a child ofromanticism the creation of a public land system. In Penn-who lived to see the harsher realities of Jack- 55o Encyclopaedia of the Social Sciences sonian Democracy. "I find," he confessed intwo parties and alternating his support between 1834, "no one who suffers in mind as I dothem the king was able to use them to his own at the corruption and degeneracy of our gov-advantage, either to further his control over the ernment." bishops or the royal courts as the case might be HENRY STEELE COMMAGER or to provide pawns for his own dealings with Works: The Writings of Albert Gallatin, ed. by Henry the papacy. Adams, 3 vols. (Philadelphia 1879), vol. iii containing complete bibliography. Although embryonic Gallicanism appeared much earlier in the writings of two archbishops Consult: Adams, Henry, The Life of Albert Gallatin (Philadelphia 188o); Mai, Chien Tseng, The Fiscalof Reims, Hincmar (806 -82) and Gerbert (e. Policies of Albert Gallatin (New York 1930). 940-1003), later Pope Sylvester ii, the doctrine received its first complete expression during the GALLICANISM is a body of doctrines andstruggle between Philip iv and Pope Boniface practises designed to limit the papal power inVIII, carried on from 1296 to 1303. Bishops and France without removing the country from thelawyers united in upholding it; pamphleteers fold of the Catholic church. During the ancienpropagated it among the educated public; and régime there were evolved two parallel and dis-the result of the controversy was the over- tinct types of Gallicanism, ecclesiastical and po- whelming defeat of Boniface by Philip. The next litical. The former was maintained by the theo-important stage in the evolution of Gallicanism logians of France, but in reality its doctrine merges into the conciliar movement, which grew referred less to France in particular than toout of the Great Schism. Profiting by the weak- Christendom in general. Its basic principlesened state of the papacy two French theolog- were that the bishops, who represent the suc-ians Pierre d'Ailly and Jean Gerson, inspired cessors of the apostles, are established by Godthe Council of Constance (1414 -18), at which no less than the pope, who represents the suc-the dignitaries of all Europe both ecclesiastical cessor of St. Peter; that the government of theand temporal were represented, to set its official Catholic church is therefore a monarchy limitedseal upon the doctrine that the general council by the episcopal aristocracy; and specifically thatwas superior to the pope. When the Council of the power of the pope is subject to the canonsBasel a few years later sought to extend the vic- of the church and inferior to that of the generaltory won at Constance and under the leadership councils. Political Gallicanism, owing its devel-of certain radicals made exaggerated demands opment to the legal class, found its starting pointfor control over the papacy, Christendom re- in a principle as universal as ecclesiastical Galli-acted against the conciliar movement. Never- canism: that the spiritual and temporal powerstheless, in France the result of the movement although both derive from God must be strictlywas the recognition by King Charles vu of separated. But in fact it was chiefly concernedepiscopal rights. Through the Pragmatic Sanc- with defining the relations between the Frenchtion of Bourges, a joint act between Charles vii king or state and Rome. It made two funda-and the bishops entered into in 1438, the French mental assertions: first, that the pope had nochurch became a virtually autonomous organi- control over temporal affairs within the domain zation, the bishops being elected by their chap- of the right Christian king; secondly, that heters and the abbots by their communities. The could not exercise his spiritual power in FrancePragmatic Sanction remained in effect, although without the consent of the king, whose authori-submitting to occasional modifications, for nearly zation was required for the publication of alleighty years; and the doctrine of ecclesiastical papal bulls and encyclicals. Gallicanism which it represented was reenforced The two types of Gallicanism were at onceduring the reign of Louis xi' (1499 -1515), who allies and foes. The principal point of contentionfinding the bishops valuable allies in his war was the matter of judicial prerogative. Violentagainst Pope Julius II encouraged an outburst of disputes over numerous questions of jurisdictionpamphlets asserting their position. But in 1516 raged between the ecclesiastical and the royalLouis' successor, Francis 1, who desired to live courts until gradually the latter and particularlyat peace with Rome, superseded the Pragmatic the parlements acquired sufficient strength toSanction by a concordat with Leo x, according establish their preeminent right. On the otherto which he sacrificed the interests of the bishops hand, the bishops frequently joined the parle-in an arrangement highly advantageous to him- ments in a common war against Rome for Galli-self. The concordat endured as the definitive can "liberties." By skilfully manipulating thesettlement until 1789 and the period marks the Gallatin--Gallicanism 551 effective realization of political Gallicanism. The At the beginning of the French Revolution bishops, far more shackled by the king, whothe Constituent Assembly of 1789 demolished according to the provisions of the concordatthe first estate as a privileged corporation; but appointed them, than by the pope, who merelyit continued to be dominated by the essence of invested them with the spiritual insignia of theirthe Gallican tradition, the idea that the French office, were soon reduced to a state of virtualchurch should be a national church. The Civil vassalage to the crown. The king distributed Constitution of the Clergy, by which the Assem- bishoprics as favors in the families of his min-bly in 1790 reorganized the government of the isters, courtiers or officials and the recipientschurch, was an attempt to strengthen that tradi- gave divers marks of their gratitude.Frequentlytion. Contrary to expectation the Civil Constitu- they lent him financial assistance out of the verytion, which made the appointment of bishops considerable incomes which their offices en- and curés dependent upon popular election and tailed, and always they supported him in histransferred their salaries to the national budget, claims against Rome. instituted a reactionary movement among the The coalition between monarch and bishopsfaithful, bringing the militant Catholics closer was officially recognized by theFrench churchto Rome. The war thus unbridledbetween the in the seventeenth century, when ecclesiasticalrevolution and the church continued until Na- Gallicanism received its classical expression frompoleon negotiated the Concordat of 1801. Ac- its most eminent representative, Bossuet. Ascording to the provisions of this pact Napoleon promulgated at the Clerical Assembly of 1682,and Pope Pius vii agreed to reinstate the system Bossuet's manifesto declared in its first article established by Francis i for the appointment of that the pope is without power in temporalbishops. That Napoleon really intended to ex- affairs. The other three articles asserted that in trude the influence of the papacy from the na- matters spiritual the pope must respect the can-tional church was amply demonstrated when he ons of the general councils, that in mattersofsupplemented the concordat, without the con- faith his judgment becomes infallible only after sent of the pope, by the Organic Articles, which receiving the approbation of the church, andunder the guise of police regulations gave him finally that the Gallican church is entitled toextensive powers of interference in the affairs preserve its traditional usages. During the sev-of the clergy. But in authorizing and even forc- enteenth century and continuing through theing Pius VII to depose those prelates either eighteenth the theory of political Gallicanismémigré or constitutional who refused to resign on its side was being constantlyrestated andin order to make way for the new regime of the buttressed by the innumerable writers who com- concordat, Napoleon made a compromise with mented upon the famous Les libertéz de l'égliseultramontanism, the effects of which were never gallicane (Paris 1594) of Pierre Pithou. Howeradicated. strong was the allegiance of the articulate French The mortal blow to Gallicanism was the trans- public to the settlement sanctioned by the con-formation of the denominational state into a lay cordat became apparent when Louis xiv in hisstate. This process, begun by the revolutionand declining years abandoned the uncompromisingcontinued under Napoleon, who refused to con- Gallican policy of his prime and solicited thecede that Catholicism was more than the "reli- assistance of the pope against Jansenism. The gion of the majority," was finally consummated bull Unigenitus of 1713, the condemnation ofafter the Catholic reaction of the restoration by Jansenism with which the pope gratified Louis'the July Monarchy, which recognized the equal- request, aroused a storm of opposition whichity of all religions. Henceforth ultramontanism raged from the parlements as a center for thirtymade rapid progress both among the clergy and years. Gallicanism had indeedachieved suchthe faithful of the laity. When at the Vatican tremendous prestige in the eighteenth century Council of 187o the papacy for the first time in that it stimulated imitation outside France. Inhistory ventured a formal denunciation of Galli- Germany Bishop Hontheim (1701 -90) institutedcan doctrines, few French Catholicsresisted his a movement known as Febronianism(from Hon - fiat or sought escape by joining the ranks of the theim's Latin pseudonym) modeled on ecclesi-Old Catholics in Switzerland. astical Gallicanism; while in Austria Emperor But while the Gallican doctrine is obsolete it Joseph 11 thrust upon his hereditary dominions ahas been survived by the Gallican spirit, which replica of political Gallicanism which acquiredcertain Catholic groups hostile to papal inter- the name of Josephism. vention in French politics have perpetuated. 552 Encyclopaedia of the Social Sciences Examples of such groups are the "rebellioustion or the collaboration of races by the French royalists" who violently opposed the suggestionand indirect rule by the British -transformed of Pope Leo xii' that they affiliate themselvesMadagascar. "Galliéni received an insurgent with the republic; and the royalists of the Actionforest," wrote Gabriel Hanotaux; "he made it a Française, whose wrath has been aroused by thetranquil and prosperous colony." His program condemnation of their doctrines pronounced by-even in such details as social taxation and Pius XI in 1927. agricultural education -was ahead of his time GEORGES WEILL and at present is advocated as the ideal native See: RELIGIOUS INSTITUTIONS; SECULARISM; ANTICLER- policy for progressive colonial powers. It was ICALISM; CONCILIAR MOVEMENT; FRENCH REVOLU- this innovation which made Madagascar the TION; CONCORDAT; ACTION FRANCAISE. seminar of a new system of dealing with native Consult: Hanotaux, Gabriel, Essai sur les libertés de races and which, a successful military career l'église gallicane depuis les origines jusqu'au règne de notwithstanding, remains Galliéni's chief claim Louis xiv (Paris 1888), reprinted from the introduc- tion to vol. i of Recueil des instructions données aux to fame. ambassadeurs et ministres de France à Rome ... (Paris STEPHEN H. ROBERTS 1888); Imbart de la Tour, Pierre, Les origines de la Works: Accounts by Galliéni of his reforms in Mada- réforme, vols. i -iii (Paris 19o5 -14) vol. ii, bk. i, chs. gascar will be found in his Rapport d'ensemble sur la ii -iii; Galton, A. H., Church and State in France,pacification, l'organisation et la colonisation de Ma- 1300 -1907 (London 1907); Mathiez, Albert, Rome et dagascar (Octobre 1896 à Mars 1899) (Paris 1900); le clergé français sous la constituante; la constitutionMadagascar de 1896 à 1903, z vols. (Tananarivo 1905); civile du clergé, l'affaire d'Avignon (Paris 1911); Weill,Neuf ans à Madagascar (Paris 1907). Georges, Histoire du catholicisme libéral en France, 1828 -1908 (Paris 1909); Martin, Victor, Le galli-Consult: Roberts, S. H., History of French Colonial canisme politique et le clergé de France (Paris 1928);Policy, 2 vols. (London 1929) vol. ii, p. 390 -406; Ellie, P., Le Général Galliéni (Paris 1900); Grandidier, G., Préclin, E., Les jansénistes du xvfile siècle et la consti- Galliéni: les grands figures coloniales (Paris tution civile du clergé (Paris 1928). 1931); Homberg, O., L'école des colonies (Paris 1929) p. 200- GALLIÉNI, JOSEPH -SIMON (1849- 1916), 55- French colonial administrator. Galliéni, a mili-GALLUPPI, PASQUALE (177o- 189.6), Italian tary colonial de carrière with a long experience,philosopher. Galluppi's works are concerned landed in Madagascar in 1896. Earlier in hischiefly with the problem of knowledge and with career he had secured the treaty of 1881 with discovering a way out from subjectivism, which Ahmadou and in this Niger protectorate hadhe still found in Condillac and Kant, in the worked out the "policy of races" which wasdirection of an objective doctrine of reality. But to transform Madagascar. During the yearshe also felt a lively interest in practical prob- from 1891 to 1895 he had subdued the remotelems, and from his conception of an autonomous provinces of upper Tonkin by a system whichethics he was led under the aegis of Filangieri consisted of a gradual percolation of territoryto expound a theory of political liberalism. The by non -military influences and which becamestate he defined as the guardian and champion widely known under the nickname tache d'huile.of the natural rights of the citizen. It cannot At the time of his arrival in Madagascar thecompel its subjects to act against the dictates of colony was the determinant of French colonialconscience and hence cannot deny them civil policy, and during his nine years there heand religious liberty. All the state can do is to introduced an administrative technique whichlimit the outward manifestations of these rights. has since become the normal French practise.Applying this principle to worship Galluppi Breaking with the accepted colonial tradition ofdefended the right of nonconformity and de- "assimilation" and ruthless exploitation in theclared that the state can protect public worship exclusive interests of the mother country, his from attack, but it can neither impose nor pro- administration relied on more generous protec-hibit it. From this right of nonconformity Gal - torate methods and on the tache d'huile system.luppi concluded that the concordat which left He held that military conquest, while an essen-the control and regulation of marriage in the tial preliminary to constructive organization,hands of the Catholic church as a sacrament should be strictly subordinated to political paci-was a violation of the natural right of the citizen. fication. In carrying out these principles Gal-This for the time and place in which it was liéni evolved an elastic policy which allowedenunciated was a very bold and advanced idea. each native race to develop to the limit of its RODOLFO MONDOLFO possibilities. This policy -later called associa- Consult: Tulelli, P. E., "Intorno alla dottrina ed alla Gallicanism-Galton 553 vita politica dei Barone Pasquale Galluppi" in RealeLower Canada and Church and State (Montreal Accademia di Scienze Morali e Politiche di Napoli, 1876). His detached outlook gradually led him Atti, vol. ii (1865) 101 -21; Gentile, G., Dal Genovesi al into international affairs as Canada's ambassa- Galluppi (Naples 1903), and "Pasquale Galluppi, gia- cobino?" in Rassegna storica del risorgimento, vol.i dor-at- large. He was the dominant member of (1914) 389-412; Mondolfo, R., La filosofia politicain the Halifax Commission, arbitrating the finan- Italia nel secolo xzx ( Padua 1924); Di Carlo, E., "Intor- cial phase of outstanding fisheries questions no agli scritti politici di Pasquale Galluppi"in Uni - between the United States and Canada. He be- versity of Messina, Istituto di Scienze Giuridiche,came the dominion's foremost diplomat andin Economiche, Politiche e Sociali, Annali, vol. iii (1929) 1880 was appointed first Canadian high com- 79 -90. missioner to London. Returning to Canada Galt GALT, SIR ALEXANDER TILLOCH (1817-devoted the final years of his life to the opening 93), Canadian business man and statesman.Galtof the far west, in which he again demonstrated was born in London and enteredCanadian lifehis lifelong trait of being in the forefront of in 1835 as a clerk in the office of the Britishdecisive Canadian developments. American Land Company organized by his O. D. SKELTON father, John Galt, which held over a millionConsult: Skelton, O. D., Life and Times of Sir Alex- acres in what is now the provinceof Quebec. ander Tilloch Galt (Toronto 1920). Within nine years he was in control of the highly successful colonizing company. AvailingGALTON, SIR FRANCIS (1822 -1911), Eng- himself of the opportunities offered by increas-lishpsychologistandeugenist.Galton,a ing settlement and economic development, Galtgrandson of Erasmus Darwin, was born near went on to industrial undertakings andlater intoBirmingham. After studying medicine at the railway promotion. He became the outstandingBirmingham Hospital and in King's College, figure in the railway activities of the fifties, in-London, he was graduated in 1844 from Trinity terested chiefly in the roads which eventuallyCollege, Cambridge. He traveled extensively as became part of the Grand Trunk system. a young man, especially in the Sudanand in It was then a short step from business tosouthwest Africa. He never espoused an aca- politics. Galt entered Parliament as a Liberal indemic profession or specialty but preferred to 1849 and with one brief gap held a seat untildirect his interests at different times to the 1872. He was throughout more a pioneerin diverse fields of anthropology, psychology, me- policy than a leader of parties. Declining theteorology, genetics, natural history and crimi- premiership in 1858 he forced the Cartier -nology. Macdonald ministry, which he entered in that Galton has been most influential through his year as minister of finance, toadopt the policywork in eugenics, a movement which he inau- of federation of the scattered British Northgurated in 1905. He founded a laboratory of American colonies. His terms as finance min-eugenics at the University of London and at his ister, which were marked by administrative effi- death left to the university a fund for a pro- ciency, saw the accomplishment of debt con- fessorship in the subject. His studies of genius solidation and the introduction of decimal cur-and heredity, in which he failed to distinguish rency. In spite of his freetrade leanings hesharply between biological and cultural deter- advocated "incidental protection" and achievedminants of character and success, have had great fiscal independence by his successful insistenceinfluence upon later writers on heredity. In on the right to tax Britishimports. psychology he discovered the existence of imag- Galt was the most influential factor in shapinginal types, initiated that branch of the science the details of the federal scheme which camewhich deals with individual differences, and into force in 1867. After confederation he served administered tests. He did important work in as first dominion ministerof finance, advocatinganthropometry and biometry, originating the independence and later imperial federation,process of composite portraiture andperforming neither of which was adopted although bothpainstaking researches on fingerprints. It was were present in the eventualsynthesis of inde-largely through his efforts that Bertillon was pendence within the British Commonwealthofpersuaded to introduce the fingerprinting of Nations. In the seventies he carried on a vig-convicts as a means of identification. His work orous campaign against theultramontane tend-on correlations has given the impetus to many encies of the Roman Catholic church,expressinginvestigations of a functional character in the his views in two brochures, CivicLiberty infield of education. 554 Encyclopaedia of the Social Sciences Galton was not erudite. His forte was notestablished by Gálvez' reglamento of 1778, pro- analytical philosophical analysis but vivid liter-duced an era of prosperity in the colonies. In ary description and the social application of his 178o Gálvez became a member of the Council laboratory findings. He was essentially a socialof State. reformer. LILLIAN ESTELLE FISHER A. A. ROBACK Consult: Priestley, H. I., ,dosé de Gálvez (Berkeley Important works: Hereditary Genius: an Enquiry into 1916); Smith, D. E., The Viceroy of New Spain Its Laws and Consequences (London 1869, 2nd ed. (Berkeley 1913) ch. vi. 1892); English Men of Science: Their Nature and Nur- ture (London 1874); Inquiries into Human Faculty and GAMA BARROS, HENRIQUE DE (1833- Its Development (London 1883); Natural Inheritance (London 1889); Finger Prints (London 1892); Finger- 1925), Portuguese historian. Gama Barros re- print Directory (London 1895); articles on eugenics inceived his degree in law from the University of Sociological Society, London, Sociological Papers, vol.Coimbra in 1854. In the course of his successful i (19o4) 43-5o, vol. ii (1905) 1-53. career as a public official he held the office of Consult: Galton, Francis, Memories of My Life (Lon-. secretary general and civil governor of the dis- don 1908); Pearson, Karl, The Life, Letters and La-trict of Lisbon in 1876 and again in 1878 and bours of Francis Galton, 4 vols. (Cambridge, Eng. 1914 -30); Constable, F. C., Poverty and Hereditary was president of the Tribunal de Cuentas, the Genius; a Criticism of Mr. Francis Galton's Theory ofhighest administrative body in Portugal, from Hereditary Genius (London 1905). 1900 to 191o. He was connected with the liberal reform movement led by Joao Franco and in GÄLVEZ, JOSE DE, MARQUÉS DE SONORA 1906 was made a peer of the realm with mem- (172o -87), Spanish statesman. Galvez studiedbership in the upper house. He was an active law at the University of Salamanca and laterhonorary member of the Academy of Sciences practised in Madrid, where in 1764 he was ap-of Lisbon. pointed a municipal justice. Gama Barros' chief work is the Historia da He was chosen visitor general of New Spainadministrafio publica em Portugal nos seculos xrz and an honorary member of the Council of thea xv (4 vols., Lisbon 1885 -1922), a vast, thor- Indies in 1765. As visitor he inspected the de-oughly documented, analytical study of Portu- partments of government in Mexico in order toguese social life in the Middle Ages. It begins improve administration and increase the reve-with a description of the legal systems that gov- nues. He centralized the collection of taxes, es-erned mediaeval society; Visigothic, customary, tablished the tobacco and other monopolies andcharter, canon and Roman law and the general reduced peculation among financial and customslaws promulgated by the first Portuguese kings officials. He also helped to expel the Jesuits from are explained. Royalty as the central organ of Mexico in 1767, took measures for the defense ofthis society is studied in detail, with discussion the realm and provided for the pacification ofof the extent of the king's power, of the advisers the north Mexican provinces. The frontierand officials who assisted him and of the limita- provinces were organized into the comandanciations set to his arbitrary power by the Cortes general, and, in 1769, upper California was occu-and the immunities of the different classes. In- pied under his orders. terspersed are pages of critical comment on the In 1775 he was appointed minister of theold problem of the existence of feudalism in the Indies and governor pro tempore of the CouncilIberian Peninsula. A great deal of space in the of the Indies, with the right to vote in the ab- first two volumes is devoted to a treatment of the sence of the president. As minister Gálvez con- various social classes, military organization, the siderably improved the whole colonial adminis- Cortes and the economic and social life of the trative system by carrying out the reforms heperiod. The third volume is a treatise on the had suggested as visitor general. One of hisregulation of various types of property rights, greatest measures was the systematization of the including possession, fishing, hunting, mining administration of the colonies through the de-and prescriptive rights. Contracts, inheritance, cree of 1786, which organized them into uni-tenancies and protective legislation are also dealt formly governed intendancies. This reorganiza-with. The last volume is devoted to agriculture, tion was especially directed toward greater cen-commerce and industry, the treatment of which, tralization and the reform of the fiscal systembecause of the author's intimate contact with and put new vigor into the decadent colonial ad- original and largely unedited documents, is dis- ministration. The system of restricted free trade,tinguished by itsoriginality. Gama Barros' Galton-Gambling 555 scholarly work has had great influence and hashowever, lacked the courage to follow his counsel. given its author a leading place among the prom- JOHN M. S. ALLISON inent historians of both Portugal and Spain. Works: Discours et plaidoyers politiques de Gambetta, FIDELINO DE FIGUEIREDO ed. by Joseph Reinach, I1 vols. (Paris 188o -85). Consult: Ots y Capdequi, José, "Gama Barros" in Consult: Reinach, Joseph, La vie politique de Léon Anuario de historia del derecho español, vol. iii (Madrid Gambetta (Paris 1918); Deschanel, Paul, Gambetta (Paris1919), English translation (London 19zo); 1926) p. 590 -95; Figueiredo, Fidelino de, Historia da García Kohly, Mario, Gambetta (Paris 1929); Stan - litteratura realista (znd ed. Lisbon 1924) p. 83-86. nard, H. M., Gambetta and the Foundation of the Third Republic (London 1921); Hanotaux, Gabriel, in Revue GAMBETTA, LE-ON (1838-82), French states- des deux mondes, 6th ser., vol. lx (1920) 5 -23; Pratt, man. Gambetta, a Genoese by birth, went toJ. W., "Clemenceau and Gambetta -a Study in Po- Paris in 1857 to study law and soon becamelitical Philosophy" in South Atlantic Quarterly, vol. xx (1921) 95 -104; Kühn, Joachim, in Der Natio- known for his impassioned oratory and his ha- nalismus im Leben der dritten Republik (Berlin 192o) tred of the imperial regime. His contributions to p. II -20; Carroll, E. M., French Public Opinion and the new Revue politique et littéraire gained for him Foreign Affairs 1870 -5954 (New York 1931) chs. iv -v. a larger hearing, and in 1869 he was elected dep- uty. With Gambetta in the Corps législatif theGAMBLING popularity of Thiers' oratory was overshadowed. GENERAL AND HISTORICAL. The term gam- Like his older rival Gambetta opposed the bling designates the deliberate wagering or stak- Franco -Prussian War but once it had been de- ing of important or valuable considerations upon clared he became the great patriotic orator ofevents which, so far as the parties to the wager France. After the revolution of September 4can know, lie in the realm of pure chance, or Gambetta as minister of the interior undertook"luck," to use the more or less mystical con- the reorganization of the French army in theception of chance common among gamblers. provinces. He came to regard himself as theGames of chance are widely found among primi- defender of the frontiers and of the liberties oftive communities. They are associated in the the people and opposed the peace counseled byprimitive mind with the disposition to personify Thiers. Gambetta's republicanism resembledall consequential objects and facts and to attrib- that of the Restoration although he was alwaysute events to the work of good or evil spirits. the advocate of legal and peaceable means. AsThis animistic apprehension of things, which long as the menace of a monarchical restorationassumed the form of a widespread belief in remained, he was identified with the extremeluck, was and is a very persistent human attri- Left, but when this likelihood was passed hebute and constitutes an extremely important used his great influence to rally moderate menelement in gambling. To the barbarian bent to the republican idea. He advocated universalupon some perilous venture the disposition of suffrage as a prerequisite to national sovereigntythe guardian spirit was of preeminent impor- and upheld the principle of a powerful Chambertance. His standing with the favoring or disfa- of Deputies elected by the nation and checkedvoring deities was presumably disclosed by the by an upper house. An uncompromising cham-results of situations of chance. In fact, the in- pion of religious toleration, he frustrated thestruments of gambling were frequently used for attempt begun under MacMahon's regime to divination. As the propitious gods shaped cir- restore the power of the Catholic church. Aftercumstances to insure the individual's triumph Thiers' retirement Gambetta was the outstand-over the hazards of uncertain existence, they ing statesman of the young republic and uponalso directed the instruments of chance so as to the resignation of MacMahon was proposed asreward their favorites. a presidential candidate. He refused, however, As primitive man gradually came to regard to allow his name to be brought before thecertain aspects of his environment in terms of National Assembly. Several months before hismechanical cause and effect, gambling became a death, in 1882, he formed a ministry that wasmore specialized activity and in its practisethe short lived. Gambetta in his later years was aanimistic apprehension continued to enjoy free strong advocate of a new colonial and foreignexercise. An individual had the favor of the policy for France. He advised the establishmentdeities, or was lucky, when the machinery of of a firm alliance with Great Britain and achance reacted in his favor. A wager almost in- policy of cooperation with that country in itsvariably fortified his feeling of good luck, for it Egyptianactivities.The Freycinetcabinet,seemed unlikely to him that the forces corn- 556 Encyclopaedia of the Social Sciences monly friendly to his interests would desert hiscards, in which the results are more dependent cause in face of a generous display of faith inon fortuitous distribution than on the skill of their benignity. The tense alertness induced by play, have enjoyed wide popularity among gam- the suspense involved in the gambling situation blers. In simple dice and card games the duration exhilarated the human organism and very oftenof suspense and uncertainty between the casting may have enabled it to accomplish feats other-of the dice or the dealing of the cards and the wise impossible. No doubt this contributedexamination of the results is relatively short and greatly to the persistence of the belief in ani-allows frequent repetition. Such games are often mism or luck. A belief in luck is anachronisticthe chief forms of gambling offered by public in a machine age, but nevertheless it persists andgambling houses and have been favorite sub- goes far to explain the extent to which men stilljects of ingenious although futile schemes for indulge the passion for gambling. defeating the laws of probability. The line between gambling and other activi- More complicated games and feats, requiring ties is often hard to draw. Even in the most staticfortitude and skill, have frequently acquired circumstances chance plays an important partimportance as gambling opportunities. These in the distribution of gains and losses; and wher-games may be indulged in for their own sake, ever the factor of pure chance can be segregated,and when wagers are laid they are as often laid activities that are essentially gambling may de-to heighten the winning side's ascendancy at the velop. Ordinary commercial transactions involve cost of the loser as they are for profit. Sometimes calculations based on rational data as to thethis love for emblematic representation of prow- future course of the market; but the data areess is satisfied by a very mild sort of gambling in never exhaustive, and in default of certainty ac-the form of prizes for the winners. Where the tion may be dominated by a spirit of "plunging"gambling feature emerges as one of the most virtually identical with gambling. It is particu-important features of the contest, the element of larly difficult to distinguish the gambling ele-pure chance is segregated so far as practicable ment from others in the specialized transactionsthrough odds and handicaps which neutralize known as speculation. the effect of the differing degrees of skill pos- In its simplest form speculation is the act ofsessed by the contestants. Within this class of buying or selling commodities, securities orgambling situations would be included seden- rights in order to benefit from changes in theirtary games and athletic contests, in which some prices. In so far as the speculator is governed byof the partisans may participate directly in the rational calculations based on factual data, how- play, and also horse racing and animal combats, ever inadequate, the transaction is essentiallywhere the partisans simply sponsor one side. commercial. When he buys or sells simply in the Testimony before the subcommittee of the blind hope that the market will turn his way heUnited States Senate Judiciary Committee in is gambling. In some jurisdictions the legal dis-.1920 held that race track gambling in the United tinction turns on the point of bona fide delivery, States resulted in wagers amounting to $230; as on the organized exchanges. Bucket shop000,000 annually. In view of the fact that race transactions are readily and correctly classifiedtrack gambling is legal in only four states of the as gambling, since they are nothing but bettingunion, these figures proclaim the existence of on the changes of prices. Where delivery is madean efficient and far flung under cover organiza- the gambling element may still predominate,tion which is further attested by the ever present especially where speculation is carried on with"dope" sheets and bookmakers throughout the perilously narrow margins. As in a lottery, acountry. In Great Britain, where race track gam- small sum, although it will probably be lost,bling is the most popular form of gambling in may possibly yield enormous gains. connection with sports, testimony before the Of purely gambling activities the simplest areHouse of Commons Select Committee on Bet- those for which the circumstances of chanceting Duty in 1923 variously estimated that in may be reestablished easily and frequently at thespite of laws designed to curtail such gambling will of the participants and in which the ele-from £75,000,000 to L500,000,000 was wagered ments of skill and foreknowledge of the outcomeannually on horse races and sports. Public bet- are reduced to a minimum. These requirementsting in Great Britain was conducted almost en- have contributed greatly in ancient and moderntirely through bookmakers until after 1926, when times to the popularity of the die and its varia-financial difficulties moved the government to tions. For the same reasons simple games oftax race track gambling and in order to simplify Gambling 557 the collection of taxes to authorize the adoptionof thousands of visitors are attracted annually of the pari mutuel gambling machine. This ma-by the mere existence of the casino and these chine automatically records the bets and deter-visitors spend huge sums at hotels, cafés and mines the odds in accordance with the relativeshops. The annual government charge for the popularity of the different entries among thegambling concession was £80,00o in 1917, £90; bettors. Although perhaps occupying a relatively000 in 1927 and will be £1oo,000 in 1937. The less important position as a gambling opportu-"take" in 1928 was $5,766,104 while the net nity, horse racing is quite popular in France andprofits were $3,227,213. The attraction which accounts for a substantial amount of betting.Monte Carlo holds for tourists has loosened the Race track gambling is legally permitted in manyban in France so as to permit competing gam- other countries, among them Australia, Bel-bling casinos. French casinos enjoyed a corn - gium, Canada, Cuba, India, Italy and Mexico.bined annual income of approximately 400,000,- In recent years there has developed in the000 francs from 1926 to 1929 and numbered 169 United States a form of public gambling whichin 1931. Since the World War Italy in her effort in its illegality and complicated under coverto attract and to hold tourists has licensed two organization, with thousands of agents and mil-such establishments. In 193o the Free City of lions of participants, resembles the surrepti-Danzig on the Baltic, in an endeavor to share in tiously conducted race track gambling. Therethe gambling revenues, licensed an international are several variations of the conditionsof chancegambling association for a consideration of 1 per employed and the games have different names,cent of the funds received by the association. such as policy games, numbers and pools. They But the gaming communities described above are in fact lotteries which pay onnumber com-are frequented chiefly by the aristocratic and binations taken from the published records ofmoneyed elements of society. Although such bank clearings, the United States Treasury bal-gaming has attracted most attention because of ance, the total number of runs scoredeach daythe dramatic qualities attached to it, gambling by various combinations of baseball teams andamong the masses and in the middle class rep- so forth. These lotteries are designedprimarilyresents a more pervasive influence. Card playing although not exclusively for players of smallfor small stakes is a common accompaniment of incomes, and wagers as low as one cent are fre-middle class social life; small bets on horse racing quently accepted. In this way millions of dollarsand the policy and number games are diversions are wagered annually. of the masses; and card and dice games have The gaming tables formerly so popular infound their way down to the juvenile gangs and England, in Germany and on the Americanthe street trades. The earliest opposition to gam- western frontier have largely passed from publicbling seems to have manifested itself when it view. They have been suppressed by law inbegan to interfere with activities which in the England and Germany; and in the United Statesopinion of the ruling authorities should have Nevada is now the only state which legally sanc-first claim upon the time and energy of the tions the public gambling house. That suchmasses. In ancient communities laws were passed enterprises exist surreptitiously, however, is ato discourage the masses from gambling, and matter of common knowledge and is formallyat later dates antigambling laws were aimed evidenced by the occasional disclosures of lawespecially at the activity as practised by the enforcement bodies. An indication that manyworking classes. An edict of the provost of Paris citizens of those countries in which public gam-in 1397, for example, specifically prohibited ing tables are illegal are not opposed to this typeworking people from playing tennis, bowls, dice, of play is to be found in their presence in thecards or ninepins on working days. gambling casinos in Mexico, Cuba and some of Present day movements to suppress gambling the countries of Europe where such gambling isare also tinged with the opposition that is shown permitted under a licensing system. toward anything which impairs the usefulness of In 1902, after Belgium passed a law prohibit-the masses. The willingness of people to impose ing public gambling houses, Monaco stood aloneprohibition of gambling upon themselves and as the only country in Europe openlypermittingothers regardless of social status, however, obvi- them. Today the casino at Monte Carlo is stillously includes other considerations. Gambling one of the most popular in the world, and thesets at defiance the bourgeois philosophy which little principality of Monaco secures practicallyholds that private property is something which all of its revenue from gaming tables. Hundredsthe individual has earned and which in the na- 558 Encyclopaedia of the Social Sciences ture of the case tends to be commensurate with In recognition of the constant temptation to the service rendered. Rewards which are deter-trickery gambling has developed everywhere mined by chance have no place in a system basedcodes even more rigorous than are applied to upon such a premise. It is interesting to noteordinary business transactions. The merchant is that the opposition of the leisure class to gam-easily forgiven even grave misrepresentation of bling within its own circle has never been verythe quality or value of goods . Similar over-reach- pronounced. To the members of this class richesing in gambling, if detected, carries disgrace and have a more direct relationship to inheritanceostracism. In comparatively recent times in the than they do to personal efficiency in conven-western United States it was not unusual for tional industrial and commercial operations, andeach party in a poker game to have on the table therefore the bourgeois philosophy has exertedat his right hand a pistol loaded and cocked for less influence. In well settled societies where it isuse on the first evidence of cheating. Man- virtually impossible for the ordinary worker toslaughter in such circumstances was condoned save enough to rise out of his class gambling,by the community, even when the killer was a particularly in forms involving great prizes on professional gambler covering his dishonesty by small stakes, as in lotteries, is extremely popularmurder. How common the civil disorders asso- among the unpropertied classes. In most of Eu-ciated with gambling may be is indicated by the rope it is widely regarded as the duty of the headcolloquial designation of gambling resorts as of the household to acquire a chance in every"hells." Such resorts may continue to operate lottery drawing. in spite of their repute, because the constant Gambling is incompatible with Puritan ascet-movement of population brings ever new victims. ism, which (unlike Catholic asceticism) was Only in new societies, particularly mining carried into the workaday world in the form ofcamps, do the public authorities ignore gam- industry and frugality. The acquisition of prop-bling altogether. In established societies more or erty according to the Puritan outlook was notless serious attempts are everywhere made either supposed to be the result of chance, but the evi-to prohibit or to regulate gambling in its more dence of work for the glorification of God. Thenotorious forms. Such regulations are among the result was that an accumulation of material goodsmost difficult to enforce adequately even by an came to be regarded as symbolic of the attain-honest and intelligent police administration be- ment of divine grace by the possessor. In urbancause of the ease with which gambling opera- communities in the past few decades the purely tions can be carried on under cover and because religious opposition to gambling has tended to of the extremely spasmodic interest of the public become less violent. This is partly the result ofin the suppression of gambling. The adminis- the difficulty of maintaining a hostile attitudetration of gambling laws and regulations lends toward the conventional category of gamblingitself readily to the practises of political corrup- when certain activities, highly reputable accord-tion, since the outlawed position of both victim ing to prevailing social standards, have comeand exploiter offers the latter unexampled op- more and more to resemble it. The religiousportunities for plunder which in times of public opposition to gambling is still conspicuous, how-apathy may be made entirely safe by the pur- ever, in those communities where Puritanismchase of police tolerance. persists, and may even be extended to opposi- COLLIS STOCKING tion to devices usually associated with gambling even when not used for that purpose. LEGAL ASPECTS. The law of gambling com- At all times an important factor in arousingprises two types of aleatory transactions: gaming antagonism to gambling has been the associa-and wagering. Both the criminal and the civil tion, almost inevitable, with sharp practise.law have dealt with gambling but often upon Loaded dice are as old as recorded history;mutually inconsistent principles. The criminal marked cards, sleight of hand manipulations inlaw has shown a greater instability than any play, machines rigged to the advantage of theother type of moral legislation. The civil law has house, race horses "doped" or "sponged," prizebeen bedeviled by the impossibility of distin- fighters bribed by insiders to "throw" the bout,guishing objectively between a wager and the false tips in the bucket shops -such devices arecontingency of an ordinary business contract. At innumerable. The very existence of the profes-one time insurance contracts lent themselves sional gambler is evidence of the ease with whichparticularly to gambling. Contracts of security crooked practises may be applied. were once regarded fundamentally as wagers and Gambling 559 dice the pledge was treated as a stake, asis shown byand these might include not only cards and the terms wadia in the Lombardlaw and Wettebut such games of skill as are now generally regarded as innocent; for instance, quoits, nine- in the early German law. Very little is known of theancient law ofpins, billiards, bowling or tennis. But themotive subject gambling. The penal provisions of eventhe Ro-of such legislation was less to save the from ruin than to direct his energies to games of man law remain veryobscure. Indeed it seems the Romanmilitary vantage. Thus the ordinance of Philip that at the end of its development dis- law discouraged gambling onlycivilly. It distin- the Fair of 1319 interdicted games which permissibletracted men from military drill; the ordinanceof guished between prohibited and of games. The latter werecertain sporting or war-Charles IT of 1369, which forbade games pilo iaciendochance, enjoined practise with the bow or cross- like games (si quis certet hasta, vel 1388; vel currendo, saliendo, luctando,pugnando, quodbow. So too did the first English statute of could neverand the statute of 1541 (33 Henry VIII, c.9), virtutis causa fiat), but the stake of amount to more than onesolidus. No actionwhich is still the basis of the English law would lie to recover money won atprohibitedgambling, was entitled the Bill for Maintaining play or a wager upon an illegal game.A leadingArtillery, and the Debarring of Unlawful Games. feature of the Roman law wasthat it allowed The present criminal law of England with re- of statutes gambling losses to be recovered. The ownerof a spect to gambling is a conglomeration of house who allowed gambling init could not sueold and new. Under the surviving provisions because of any injury to his person orpropertythe statute 33 Henry VIII, c. 9, no games are during the progress of play, but aright of redressmade absolutely unlawful in themselves, but it existed as among the playersthemselves. is criminal to keep a gaming house for the pur- cards or dice or any A well known passage in Tacitus(Germania,pose of playing at games of 24) describes the gambling feverof the ancientother game which is unlawful. Various subse- certain games Germans, who would stake not onlytheir pos-quent statutes expressly declared instance: the ace sessions but their very liberty atdice. The ut-to be illegal in themselves, for of hearts, faro, basset and hazard by the actof most gambling freedomcontinued to prevail peoples in the 1738 (12 Geo. u, c. 28); the game of passage and legally among all the Germanic by centuries after the dissolution ofthe Romanother games with dice except backgammon roulette Empire. In both the Germaniclaws and thethe act of 1739 (13 Geo. II, c. 19); and early English common law gamblingdebts wereby the act of 1744 (18 Geo. u, c. 34). The most enforceable, butimportant modern act, the Gaming Act of 1845 normally collectible and wagers of at common law thekeeping of a common gam-(849 Vict., c. 109), expressly excepted games bling house was indictable as apublic nuisance.skill. The keeping of a gaming house is still in- The bewildering profusion oflegislation does dictable at common law, but prosecutions are usually had under a long series of statutes in- not begin in Europeancountries until the later Middle Ages. In England theearliest statutetended either to broaden the basis of complicity A private club, such as appeared in 1388 (12 Rich. II, c.6); in Germany,or improve procedure. be in 1207 in a law for the townof Regensburg; inthe famous Tattersall's, has been held to of 1328;within the law. By the Metropolitan PoliceAct Austria, in the Salzburg Landesordnung in a in France, in two ordinancesof Louis Ix in 1254of 1839 (2 & 3 Vict., c. 47, § 48) the players gaming house may themselves be liable. Bythe and 1256 respectively. be Betting Act of 1853 (16 & 17 Vict., c. 119) a Most of these postmediaeval statutes may assimilated to a com- described as police legislation.Sometimes play- common betting house was ing at certain times or placesmight be regulated; mon gaming house. might be allowed, In the United States the common law hasalso thus playing at Christmas plentiful while playing in an inn or tavernafter curfewbeen almost completely superseded by particularly to time might be prohibited. Someprovisions per-statutory provisions, which run mitted gambling in prisons, which atthis timethe blue law type. Many laws are aimed at spe- cific games, and sometimes playing for excessive did not offer their inmates anyother occupation. passing Middlestakes is prohibited. A great deal oflegislation The class stratification of the circum- Ages showed itself in numerouslaws whichrelates merely to the time, place or stances of play. A favorite formof American sought to measure the permissiblesize of stakes for gentleman, burgher or servant.But oftenlegislation is aimed at the act of keeping gam- bling implements. In recent years many laws certain games might be prohibitedaltogether, 56o Encyclopaedia of the Social Sciences have either prohibited pool rooms altogether orIndeed the law of czarist Russia generally for- regulated them stringently. The opportunity forbade games of cards or dice or similar games but gambling provided by such a sport as boxing hasleft it to administrative order to determine the motivated antiboxing legislation in some states.criminality of particular games; this is still true A growing amount of legislation is specially di- in Austria, where the practise goes back for rected against slot machines and punch boards.several centuries. Probably the chief difference between the In continental countries the prohibition of modern English law and the continental crimi-gambling has always had something of a police nal law of gambling is formal. The provisions ofrather than a truly penal character, for since the the penal codes are few and brief, with the resultmediaeval period gambling houses have often that the continental law is largely jurispruden- been legally allowed by the sale of governmental tial; despite many textual differences continentalconcessions at the same time that they have been courts tend to reach much the same results. Theforbidden by the general criminal law. What- French and Belgian codes speak of keeping aever scruples may have existed were sometimes gaming house; the Italian, of conducting a game satisfied by providing that a part of the revenues in a house; the Austrian, of allowing a game ofshould go to eleemosynary purposes, a practise chance in one's place; the German, of running that still sometimes obtains with respect to gam- a game of chance as a business; but such provi-bling forfeits. Particularly in eighteenth and sions tend to become assimilated under the gen-nineteenth century France and Germany did the eral doctrines of the criminal law. The conduct gambling casino become almost a settled feature of a game of chance in a street or public placeof the famous watering places or resorts. Gam- has also been a common object of prohibition. bling casinos were finally abolished in Germany The German code expressly extends to gam-at the time of the formation of the North Ger- bling in a private society or club, but the sameman Confederation in 1868; the prohibition went result seems to have been achieved jurispruden-into effect in 1873. The Swiss federal constitu- tially in France. Express provision, however, istion of 1874 also interdicted gambling banks but necessary to make the players as well as theapparently roulette was nevertheless allowed in professionals in a gambling house liable, a coursethe large Swiss cure centers until 1925. France taken by the German, Austrian, Italian and Nor-has at various times prohibited gambling casinos wegian codes. The inclusion of the players wasbut has restored them. The most famous of all one of the objects of the amendments to themodern gambling casinos is that at Monaco. German penal code in 1919 which were dictatedNevada, which in 1931 legalized public gam- by a post -war gambling fever. bling, is the only American state to have done The Austrian and Norwegian codes attemptso, but elsewhere gambling in political clubs has something in the way of a general definition of abeen virtually privileged; indeed the use of the game of chance, but irrespective of such statu-injunction against police interference is not un- tory prescriptions it seems everywhere to beknown. Lotteries (q.v.) also represent a legal- considered as any game in which chance pre-ized form of public gambling in many countries. ponderates; thus mixed games of skill and chance The most important form of modern organ- are reached. The Austrian code expressly ex-ized betting is in connection with horse racing. cepts games played for mere amusement, but the In England the Betting Act of 1853, which de- innocence of such games has been generallyclared a common betting house a criminal resort, recognized by decisions. The tests are the sizesimply drove the bookmakers to the street. Both of the stakes and the social position of the play- the French and German courts held bookmaking ers. The codes generally contain no express pro-to be criminal under the codes but also to no visions as to betting, but the courts have nearlyavail. These countries as well as many others everywhere assimilated betting to gaming for allhave legalized betting on the races in one form practical purposes. Betting becomes criminalor another. France first did so in 1891, Germany when it is indulged less from motives of sustain- in 1905 and England in 1928; in the last named ing opinion than from the desire to gamble andcountry the action was no doubt partly a result particularly when it assumes indiscriminate orof post -war budget difficulties; wherever betting organized forms. In the determination of thehas been legalized the rate of taxation has been legality of particular games or betting transac-very high and the yield large. In the United tions the continental law as a result of the silenceStates race track betting is now legal in Ken- of the codes is far more flexible than the English. tucky, Illinois, Maryland and Nevada. The bet- Gambling 561 ting scheme which has most frequently beenit attempts to control rather than to prohibit. All allowed is either the pari mutuel or the totaliza- laws that attempt to deal with more than the tor, but recently European countries tend alsomost marked evils of organized gambling tend to to permit licensed bookmakers. New Yorkbecome dead letters. Indeed, when the actual which once allowed race track betting, has notrange of police activity is realistically consid- only repealed the enabling law but embodied aered, there is probably little difference in the clause against the practise in its constitution. operation of the normal law in most countries. Upon the civil side modern European coun- WILLIAM SEAGLE tries, despite the general reception of the Roman See: MORALS; SPECULATION; LOTTERIES; AMUSEMENTS, civil law, have followed its example only in part. PUBLIC; SPORTS; ANIMISM; PLAY; DIVINATION. After much vacillation the Germanic idea that a Consult: FOR GENERAL AND HISTORICAL ASPECTS: gambling debt was a debt of honor triumphed Sumner, W. G., and Keller, A. G., The Science of So- ciety, 4 vols. (New Haven 1927 -28) vol. ii, ch. xxi, and in the end in the Bürgerliches Gesetzbuch and vol. iii, sect. 435-36; Groos, Karl, Die Spiele der Men- those codes which have followed it: neither gam-schen (Jena 1899), tr. by E. L. Baldwin (New York bling debts nor wagers are actionable and gam- 1901) p. 203 -17; Culin, Stewart, "The Games of the bling losses may not be recovered. On the otherNorth American Indians," United States, Bureau of hand, with respect to wagers the Code civil and American Ethnology, 24th Annual Report (1902 -03) (1904) p.1 -846, and Korean Games (Philadelphia the codes of the Latin countries have generally1895); Lévy -Bruhl, L., "Primitive Mentality and retained the Roman exception in favor of wagers Gambling" in Criterion, vol. ii (1923 -24) 188 -zoo; virtutis causa, which are, however, generally Veblen, Thorstein, The Theory of the Leisure Class valid only with respect to the contestants them- (new ed. New York 1912) ch. xi; Thomas, W. I., "The Gaming Instinct" in American Journal of Sociology, selves and must not be excessive. The Code civil vol. vi (19oo -o1) 750 -63; France, Clemens J., "The also expressly allows the recovery of gambling Gambling Impulse" in American Journal of Psychol- losses in cases of cheating. England abrogated ogy, vol. xiii (1902) 364 -407; Dusaulx, Jean, De la the rule of the common law by the Gaming Act passion du jeu (Paris 1779); Steinmetz, Andrew, The Gaming Table, z vols. (London 187o); Ashton, John, of 1845, which made gambling debts and wagers The History of Gambling in England (London 1898); unenforceable. In the United States the same Charles, R. H., Gambling and Betting (Edinburgh result has been reached either at common law or 1924); Great Britain, Report of the Select Committee on by statute in many states, although in about the Betting Duty (London 1923); Conference on Chris- half gambling losses may be recovered. In some tian Politics, Economics and Citizenship, Leisure, Commission Report, vol. v (London 1924); Turf states the wife or next of kin may also sue; the Guardian Society, Betting and Bettors (London 1924); Italian code contains a similar provision. Martin, Lawrence, "The Common Man's Enjoy- A technique of evasion, however, which hasments" in Man and His World, ed. by B. Brownell met with a large measure of success in the courts, (New York 1929) vol. viii, p. 93-146; Davis, H. L., has everywhere tended to nullify the civil gam-"Three Hells: a Comparative Study" in American Mercury, vol. xx (193o) 257 -67; Addams, Jane, The bling restrictions. Loans made for gambling Spirit of Youth and the City Streets (New York 1909); purposes may often be recovered. NegotiableClarke, D. H., In the Reign of Rothstein (New York instruments furnish a ready means for evading 1929). the law. Valid almost everywhere except in a FOR LEGAL ASPECTS:Schoenhardt,C.,Alea, über die Bestrafung des Glücksspiels im älteren römi- few American states in the hands of innocentschen Recht (Stuttgart 1885); Schuster, H. M., Das holders for value, a winner can easily collect a Spiel, seine Entwicklung und Bedeutung im deutschen gambling debt by negotiating a check or note to Recht (Vienna 1878); Seelig, Ernst, Das Glücksspiel - another party. Money in the hands of a stake- strafrecht (Graz 1923); Weiser, Erich, Begriff, Wesen und Formen des strafbaren Glücksspiels, Leipziger holder may very generally be recovered so longrechtswissenschaftliche Studien, vol.xlix (Leipsic as it has not actually been paid over. Gambling193o); Kriegsmann, N., Das Glücksspiel, Verglei- losses may sometimes be recovered in the case ofchende Darstellung des deutschen und ausländischen fraud even in the absence of express provision. Strafrechts, special ser., vol. vi (Berlin 1907) p. 375- The most curious rule of all is one that allows451; Fisch, Hermann, Verträge mitSpielcharakter nach schweizerischem Obligationenrecht, Abhandlungen the winner to sue the loser if he has extended thezum schweizerischen Recht, n.s., vol. xxxvi (Berne time for payment or refrained from posting him 1928); Laely, Kaspar, Der Spielbank- Artikel der Bun- in his club, for such forbearances are held to desverfassung (Zurich 1912); Weiss, B., Ober Glücks- constitute "new" consideration. spiel, Spielklubs, und öffentliche Spielbanken (Berlin 1919); Bach, Adolf, "Der Kampf gegen die deutschen As a problem for the law gambling presents all Spielbankendesneunzehnten Jahrhunderts"in the usual dilemmas of moral legislation, which Schmollers Jahrbuch, vol. xlvi (1922) 785 -811; Mann- always stands a greater chance of success whenheimer, L., Der Rennsport im Recht (Berlin 1910); 562 Encyclopaedia of the Social Sciences Das Rennwett- und Lotteriegesetz vom 8. April 1922, France this privilege was shared by the great ed. by H. Mende, Sammlung deutscher Gesetze, vol.fideles of early Capetian times, among them the lxxxix (Mannheim 1922); Liszt, F. von, Lehrbuch des deutschen Strafrechts (25th ed. Berlin 1927) sect. 144; duke of Normandy, who probably had a well Frèrejouan du Saint, G., Jeu et pari au point de vue developed forest system in the duchy before civil, pénal et réglementaire (Paris 1893); Desmarais, William conquered England. The forest laws J., Jeux de hasard dans leurs rapports avec le droit pénaland administration attained their greatest elab- (Caen 1903); Delest, C. A., Le jeu et le régime des jeux (Paris 1925); Pillat, Aristide, Le régime fiscal des jeuxoration in England under the Norman and An- en France (Vichy 1928); Baudry- Lacantineri, G., gevin dynasties, and because of the opposition Traité théorique et pratique de droit civil, 29 vols. (3rd they excited in the baronage and community ed. Paris 19o5 -o9) vol. xxiv, p.1-95; Coldridge, they had an important place in English consti- Ward, and Hawksford, C. V., The Law of Gambling, tutional history. Henry iii's Forest Charter of Civil and Criminal (2nd ed. London 1913); Jenkins, H., and others, The Law Relating to Betting Offences I217 is almost as rich a constitutional document (London 1912); Bishop, J. P., Commentaries on theas the Great Charter itself. Law of Statutory Crimes (3rd ed. Chicago 1901) chs. In England game was classified as of the 1 and li; Corpus juris, vol. xxvii (New York 1922) p. forest, park, chase and warren. The king re- 961 -1006. served the beasts of the forest to himself and derived considerable revenues from the sale of GAME LAWS are legal limitations upon hunt-royal game. The afforestation of lands held by ing and fishing. The earliest forms of limitationsubjects, the chief abuse to which the baronage were the food tabus of primitive societies, sometook exception, was designed to encourage the of which practically led to closed seasons onpropagation of royal game and to provide sanc- various kinds of game. Other tabus and cus-tuary. It did not destroy the tenant's basic tomary sanctions in some areas curtailed exces-interests in the tenement but placed many re- sive hunting and fishing and others prohibitedstrictions upon their exercise and saddled the entirely the killing of certain animals. Herodotus afforested region with a system of administrative suggests that the elaborate restrictions protect-officials and courts, with powers and principles ing the sacred animals of Egypt were of aunknown to the common law. This system de- sacerdotal origin. clined under the Lancastrians and was used by Another type of game law is the restrictionthe early Stuarts merely as a means of raising of hunting and fishing rights to a particularmoney by fines. Gradually the privilege of hunt- group. This is most remarkably exemplified ining was extended to the landed aristocracy; yet the forest laws of feudal Europe, by which theeven Blackstone states that the king's preroga- privilege of hunting was confined to kings andtive gives him an exclusive hunting right over noblemen. The restrictions were motivated pri-his whole realm, adding that this is little known marily by the theory generally held in militaryor considered. societies that the pursuit of wild animals is a After the reception of the Roman law on the school for war and that only warriors shouldcontinent the Roman doctrine that wild animals engage in it. The Persians certainly held thiswere res nullius was interpreted to mean that view. Cicero states clearly that "we take the"a Sovereign, if he thinks it for the Interest of large savage beasts by hunting, partly for food,the Kingdom, may, against the consent of the partly to exercise ourselves in imitation of mar-common People abridge them of the Liberty of tialdiscipline." That feudal principles wereHunting without any Injustice." The ancient recrudescent in the later Roman Empire is evi-forest privileges of royalty had been long alien- denced by the law of Commodus making itated to feudatories or allowed to lapse. By the penal to kill, even in self -defense, the Africansixteenth century, however, a new royal right lion, which was reserved for the imperial hunt.of the chase was widely asserted by the conti- The forest laws of western Europe are de-nental dynasties, based no longer on feudal but rived, in the opinion of most scholars, from theon quasi -Roman law, the law of nations prin- Frankish royal ban, of which there is evidenceciple. In France even the nobility were allowed at least as early as Charlemagne, on hithertoto hunt only for the royal pleasure and the lordless forests as well as on the woods hypo- notorious system of capitaineries, which recalls thetically held in common by the so- called mark -the rigors of the English forest law, was estab- fellowships. A fully developed theory of huntinglished. With the decay of feudal society the as a royal prerogative was put into effect in theassociation between chase and war was replaced mediaeval empire under the Franconians. Inby the substituted concept of the chase as sport, Gambling-Game Laws 563 a pursuit marking the moneyed man of leisuregame, whose insectivorous habits favored agri- but unsuitable for the laboring man as drawingculture or whose song or plumage delighted the him from his work and encouraging robbery. nature lover, were threatened with extinction. When the French Revolution wiped out royalThe French law of 1844 initiated the modern and noble privileges, there went into effect themovement of enacting legislation designed pri- rule derived from Roman law that game belongsmarily to prevent the extinction of whole species to nobody and that it becomes the property ofof living creatures; this was slowly followed the one who reduces it to possession, whetherthroughout Europe and North America. Very on his own land or on that of another. Thisprimitive precedents can be found for this type doctrine was probably imported into the Englishof legislation. The Mosaic code provides that common law. Legislation in most countriesfemale birds shall not be taken when they are where the civil law has been received has tendedhatching their eggs or caring for their young. to increase and protect the interest of the propri-A curious passage in the Analects indicates that etor in the game within his property, althoughConfucius favored a similar principle. "The it has not departed formally from Roman doc-Master said: There is the hen -pheasant on the trine. The decree of the French National As-hill bridge. At its season! At its season! TA-1u sembly of 179° reserved hunting rights to thetook it and served it up. The Master thrice proprietor while the law of 1844 gave furthersmelt it and rose." protection to these rights. An analogous series The general principles of modern game laws of statutes was enacted by the English Parlia- vary little in the different jurisdictions of Europe ment in the eighteenth century and culminatedand America. They include a closed season in in the Night and Day Poaching acts (9 Georgewhich the hunting of a given species is for- Iv, 69; I & 2 William Iv, 32; 2 & 3 William Iv,bidden, a limit to the take in the open season, 68). These proceed on the common law doc-regulation of the sales of game, the absolute trine that there can be no property in wild ani-protection of non -game birds and of certain mals until they have been reduced to possession,species close to extinction and obligatory li- but they make trespass criminal if it be for the censes for hunters, the last chiefly for the pur- purpose of killing or taking game. Thus, to allpose of providing revenue for the enforcement intents and purposes, only an occupier is per-of the laws. An international convention was mitted to exercise his common law right toentered into in 19o2 for the protection of migra- acquire property in game. These laws were atory birds useful to agriculture. In most states corollary of tenure by free and common socage,of the United States the game law authorities which after i 66o replaced all feudal tenures saveare also empowered to attempt the restocking of those of grand serjeanty and frankalmoign andforests and waters. In Europe efforts along these included a grant of hunting and fishing rightslines are generally conducted by private enter- within the tenement. These rights had fromprise. Most jurisdictions confer extensive public Norman times been reserved to the crown andpowers of law enforcement on the representa- had never been included in the ordinary estatetives of the numerous societies interested in the of the subject either in England or on the con-conservation movement. Soviet Russia confers tinent. the right of hunting everywhere within its terri- Since the leveling principles of the Frenchtories, subject to the usual closed seasons and Revolution permitted a great increase in thethe reservation of certain sanctuaries and fron- number of sportsmen, it became apparent thattier areas. wild life might soon be entirely extinguished. In western Europe the conservation and re- Furthermore, the financial gain from huntingproduction of game and fish belong to the ad- and fishing, by no means overlooked in theministrative law. In the United States the right mediaeval English forest administration, addedof the states to enact laws for these purposes to the danger of this eventuality. The poor rap-has been challenged on constitutional grounds. idly passed from the mere assertion of theirTheir constitutionality has been maintained right to be sportsmen to the legal and illegalupon two grounds. It has been upheld upon the exploitation of game for profit. Wholesale anddoctrine borrowed from the quasi -Roman prin- quite unsportsmanlike methods of taking ani-ciples mentioned above and stated thus: "Wild mals and fish were resorted to and the citygame within a state belongs to the people in markets were flooded with the results of thetheir collective sovereign capacity. It is not the catch. Even birds not ordinarily consideredsubject of private ownership except in so far as 564 Encyclopaedia of the Social Sciences the people may elect to make it so" [Geer v.GANGS. The gang is historically significant Connecticut, 161 U. S. 519, 529 (1896)]. It haschiefly as it is associated with frontier conditions also been sustained as a reasonable exercise ofor with social or political disorganization. In the police power "to preserve a food supply,"preliterate groups primary group organization by analogy with decisions upholding pure foodlargely precluded the development of gang be- laws [New York ex rel. Silz v. Hesterberg, 211havior. In ancient and mediaeval society, how- U. S. 31 (1908)]. Many states now include aever, wherever local or national government had declaration of the state ownership of game andbeen weak or ineffective there was a tendency fish in their legislation. toward the formation of aggregations of bandits. The arguments presented in favor of preserv-Yet these robbing and marauding bands were ing wild life through game laws are not com-often organized on a basis of tribal affiliation of pletely convincing. So far as its food supply isblood relationship rather than of common inter - concerned, the human race could certainly sub-ests economic and otherwise which often bind sist if every wild species including deep sea fishtogether groups of diverse membership in mod- were utterly extinct. The value of birds as de-ern industrial society. The lack or breakdown stroyers of insects admittedly does not equal thatof stable agencies of social control in frontier of chemical poisons. The conservation move-societies, the ease of escape from authority and ment of the last hundred years stems not sothe lack of settled community life constituted much from a scientific recognition of man'sthe typical setting of pre -industrial gang activi- needs as from romantic humanitarianism. It isties. As the American frontier, for example, probably in part a recrudescence of the primi-moved westward it was characterized by a great tive human sense of the common destiny ofvariety of lawless gangs, of which Jesse James living things; for there is a deep rooted fear thatand his outlaws were in the public mind the species as well as individuals are subject to death,archetype. Australia, Russia, Mexico, China and a fear based perhaps upon a half consciousother areas which were sparsely settled or in awareness of the mutual interdependence of allprocess of settlement or which were not readily species and of the possibly fatal consequencesreached by constituted authority formed a nat- to the human species if the natural balance isural habitat for lawless gangs. Before the effec- disturbed. tive organization of maritime power the pirate SUMMERFIELD BALDWIN group constituted the gang of the sea (see See: CONSERVATION; HUNTING; FISHERIES; SPORTS; BRIGANDAGE; PIRACY). HUMANITARIANISM. Modern life has created a new type of gang whose principal features, best defined in the Consult:Faider, Amédée, "Histoire du droit de chasse" in Académie Royale des Sciences, des Lettres juvenile stage, are determined by the conditions et des Beaux -Arts de Belgique, Mémoires couronnés, of life in the modern industrial city. There is, vol. xxvii (1877) no.8; Liebermann, Felix, Uberhowever, a similarity between these and the Pseudo -Cnuts Constitutiones de Foresta (Halle 1894); frontier gangs. A study of the formation of the Petit -Dutaillis, Charles, "The Forest" in Petit -Du- taillis, Charles, and Lefebvre, Georges, Studies andmodern gang reveals that the juvenile gang Notes Supplementary to Stubbs' Constitutional History, emerges from play groups and similar aggrega- tr. from the French (Manchester 193o) p. 147-251, tions of boys which form most readily in the and De la signification du mot "Forêt" à l'époque congested and disorganized portions of the com- franque (Paris 1915); Brünneck, Wilhelm von, "Zur Geschichte des altpreussischen Jagd- und Fischerei- munity. It is thus in a sense a frontier product, rechts" in Zeitschrift der Savigny -Stiftung für Rechts- thriving on the economic, political, cultural and geschichte,GermanistischeAbteilung,vol.xxxix moral borderland of modern life. Since it is so (1918) 88 -144.; Delerue, Henri, La reforme du régimeclosely correlated with community disorganiza- de la chasse en France (Rennes 1925); Recueil des lois tion it may best be considered a socially inter- sur la chasse, compiled by E. Demay (Paris 1894); Fischer, K. C., Die Jagdwilderei (Münster 1928); Oke, stitial group -one that has its genesis and finds G. C., Glee's Game Laws (5th ed. London 1912); its function in the interstices left by social dis- Swan, W. A., "A History of Game Legislation in theorganization. United States" in Case and Comment, vol. xviii (1911- Although formed spontaneously in response 12) 248 -52; United States, Department of Agricul- ture, "Game Laws" published annually in the series to certain conditions of living the gang is inte- of Farmers' Bulletins; Verhaegen, G., Recherches his- grated through conflict. It coalesces and acquires toriques sur le droit de chasse (Brussels 1873). solidarity as a result of meeting hostile forces in its local neighborhood or elsewhere. From the GAMES. See PLAY. standpoint of development three types of gangs Game Laws-Gangs 565 are found, each merging into the other and allfor play privileges, property rights, the physical three constituting stages through which a singlesafety of its members and the maintenance of gang may pass. The diffuse type is a loosely knit its status in the neighborhood. These conflicts group in the early stages of integration. Thedevelop into endless hostilities in some cases, _1idified type represents the completion of thetaking the form of deadly feuds among the older process of integration and consequently pos-been running gangs. In homogeneous neighbor- sesses a high degree of solidarity and morale. hoods gangs are composed of boys of the same The conventionalized gang appears when suchnationality who carry on wars with those of other a group assumes the external characteristics of anationalities, particularly if those nationalities club or some other formal pattern. Certain agewere traditionally hostile in Europe. In hetero- types may also be distinguished, although theregeneous neighborhoods, however, there is a is much less segregation on the basis of age than rough democracy which enables boys of all na- has been commonly supposed. Many gangs as-tionalities and both the white and Negro races pire to become clubs, and most of the groupsto mingle on a basis of equality. Negro and white assume some conventionalized form as theirgangs are found to be bitter enemies only when members grow older. Some of these clubs trythey live in adjacent neighborhoods that are to be financially independent, but it is easierunadjusted to each other. to be subsidized by politicians or keepers of Beyond the territory proper of the gang are saloons and speakeasies. Most of them retainusually certain favorite "playgrounds," which their basic gang characteristics even with theinclude congested and exciting business streets, more formal type of organization. rivers, canals and water fronts, the "bright It is, however, essential to distinguish betweenlights" areas and the parks. In this area the the juvenile or adolescent gangs, which althoughmembers of the gang spend most of their time, under the sorry auspices of modern urban slumand here they pick up their effective education. life must be considered as recreation groups, and In fact, the physical layout of the city may be the adult criminal groups, whether organized asregarded as part of a "situation complex" which secret societies (see CAMORRA; MAFIA; SECRET is an important factor in conditioning and di- SOCIETIES) or for racketeering (q.v.). Recent de-recting the life of the gang; this is particularly velopments in American urban life have givenillustrated by the relation between the location the racket a recognized economic status andof the railroad tracks and "junking," an almost have made it a definite part of the politicaluniversal activity of the gang. Beyond this area texture of the community, so that it has comelies, even further away, the lure of the un- to be something more than merely the adultexplored. stage of the juvenile gang. The juvenile gang is The gang in the American city is to be found still important as a "feeder" for the racketeering primarily among the immigrant population. This "mob," and its members are increasingly influ-is in no sense to be attributed to biological fac- enced by the argot and behavior of the elders.tors or to innate dispositions but rather to their The dominant motive in the life of the gangeconomic status and the conditions of living that boy is a desire for new experience or some formprevail among them and the cultural dislocation of excitement. He finds this in his games andeffected by their transplantation. The child of sports and athletics, in patronage of commer-the immigrant tends to escape parental control cialized recreation, in stimulants and gamblingand become superficially Americanized. The and in predatory exploits. He lives in a world ofnormally directing institutions of family, school, adventure which it is difficult for the unseeingchurch and recreation break down on the intra- adult to comprehend. His imaginative exploitsmural frontier of gangland, and the gang is built are often meaningless to the unsympathetic out-up as a substitute structure to fill the gapand sider but full of significance for the group itself.perform their functions of control. The escape Gang activities often take on some of the aspectsfrom control seems to apply more to boys than characteristic of political units in warfare orto girls, who except in rare cases when their the struggle for power. Each gang has its localhomes are not functioning do not form gangs. territory which it defends against outsiders, andThe explanation for this may be in the fact that at the center of this is the "hangout," or terri-girls are too well incorporated in the organized torial headquarters. There is a sort of strugglelife of even the disorganized community to es- for existence in gangland which necessitates thatcape control. It may, however, be attributable every gang shall be on the defensive or offensive also to the discrepancy between the traditional 566 Encyclopaedia of the Social Sciences forms in which the impulse to play expressesand its environs, composed for the most part of itself in each sex. The effects of social disorgani-boys and young men between the ages of ten zation are more evident among younger girlsand twenty -five and including or directly influ- in individual delinquency than in gang exploits.encing from 25,000 to 35,000 persons. Studies It is significant in this connection that amongin other American cities have revealed similar the younger gangs the attitude toward girls isconditions prevailing in typically interstitial or largely hostile, since they interfere with ganggangland areas. Hardly any industrial city in activities, but that this does not preclude anthe United States is without gang areas and even extensive interest in sex. Among the older gangs,the smaller towns and rural communities of the where the play impulse has given way to a more industrial type often exhibit similar phenomena. serious interest in crime, this hostility is largelySimilar conditions on a lesser scale exist in the broken down. Their members frequent danceindustrial cities of western Europe, although the halls and engage in irregular sex relations, andproblem is not so acute in London, Paris and women often participate in the exploits of theBerlin as in Chicago or New York, largely be- criminal group. cause of more stable community life, more The gang thus becomes the major educationalhomogeneous population groupings and better agency and control group in the lives of anpolice organization and control. appreciable portion of each new generation. It The problem that the gangs pose lies largely performs this function with a precision usuallyin their connection with crime and political denied to the accredited institutions. Since it iscorruption. The younger adolescent gangs are largely isolated from the life of the dominantresponsible for the bulk of minor delinquencies. and reputable groups of the community it comesThe outlook and the habits acquired in gang into constant contact with but few social pat-association encourage truancy, running away terns that are not disorganizing. Its morality isfrom home, rowdyism and ultimately criminal- largely determined in this way. The social pat-ity. Almost every influence to which the gang terns for the younger gangs in a neighborhoodboy is subjected leads toward criminality -in- are set by the older groups and gang clubs,cluding his visits to correctional institutions, which in turn are influenced by the vice, gam-which in many cases eventually turn him out a bling, crime and general lawlessness with whichfinished criminal. The serious crime of the cities they are surrounded. Gang boys are subjectedis largely carried on by the older gangs, which largely to the education of the streets and thisinclude many adolescents in their membership. is reflected in their speech, their songs andThese gangs are often affiliated with criminal verses, their nicknames and the names adoptedrings and rackets, for which they perform tasks for their clubs. For an earlier generation the requiring action and "strong arm" work. Behind dime novel furnished an imaginative release andthe gang and the racket stands the politician, a pattern of conduct, but this has been replacedand the gang structure facilitates a corrupt alli- by the moving pictures, chiefly "Westerns" andance between crime and politics. The influence gangster dramas, which the gang boy finds tre- of the politician often begins even with the mendously absorbing. To achieve the unity andyoung adolescent group, with which he ingra- solidarity necessary to the execution of commontiates himself by subsidies of various types. He enterprises the gang, like other groups, usespatronizes the dances and celebrations of the such mechanisms as punishment, ridicule andgang clubs, gives them money and secures for applause and also the unreflective controls in-them charters and immunity from official inter- volved in mutual excitation and rapport, whichference. In return the gangs get the politician often lead to the perpetration of foolhardy andgood will, support him on election day and do lawless acts. The gang code, usually an unre-strong arm work at the polls. If a gangster or flective structure, may be thought of as itsracketeer gets into a petty difficulty with the "action pattern" and calls for a distribution oflaw, the local politician knows how to smooth the membership according to importance, withthings over, and in the case of more serious a leader, an inner circle, the rank and file andcrimes it is often possible for the influential finally the "fringers," or hangers on. politician effectively to hold up or divert the The extent to which the gang has enteredmachinery of criminal prosecution. into the texture of modern urban life is indicated The analysis of the gang phenomenon points by the present writer's study of gangs in Chi-the way to a method of attacking the problem. cago, which disclosed 1313 groups in the cityTraditional methods of dealing with the gang Gangs-Ganivet 567 boy, as used by the police and the courts, treatexercised a strong intellectual influence upon him as if he existed in a social vacuum. What isthe literary generation of the early twentieth most essential is the attempt to ameliorate somecentury. Many of his writings were published in of those conditions of community disorganiza-Defensor de Granada before appearing in book tion, largely incidental to industrialization andform. The popularity of his system of thought, urbanization, which characterize the intramuralwhich reveals the influence of the stoics and of frontier and of which the gang is merely oneNietzsche's philosophy, has, however, recently symptom. Such a process of achieving basicdeclined, because of the unfavorable criticism control would take place only gradually and of Ortega y Gasset. would involve the reorganization of family life, Ganivet's chief theoretical works are Idearium the integration of the immigrant cultures withespañol (Granada 1897, 4th ed. Madrid 1920) the American, the lessening of poverty and the and El porvenir de España (1898; published with rehabilitation of the school, the church and or- Hombres del norte, Madrid 1905), in which he ganized recreation. In the meantime the existingattempted to interpret the spirit of the Spanish gangs and those in process of formation must be people and to establish norms for the future recognized and their energies redirected intodevelopment of the country. He saw the origin channels more compatible with the social inter- of Spain's decadence in her conquest of America est. This has been done successfully in two and in her general policy of imperial expansion. ways: by making the gang a club and giving itHis plea was for a nationalism which would the supervision necessary to make its activitiesmake the homeland the field of its ambitions more wholesome and by absorbing it into some and which would have as its primary purpose larger institution and creating new interests and the spiritual regeneration of the Spanish people. new loyalties which will have meaning within He vigorously disapproved of the frivolity of his the larger framework. time, which cloaked itself under pompous rhet- FREDERIC M. THRASHER oric, thus agreeing with his more profound con- See: LAWLESSNESS; RACKETEERING; BRIGANDAGE; temporary Unamuno and with other slightly SMUGGLING; LIQUOR TRAFFIC; MACHINE, POLITICAL; younger members of the literary generation of IMMIGRATION; JUVENILE DELINQUENCY; BOYS' AND 1898, Baroja, Azorin and Valle -Inclan. All of GIRLS' CLUBS; PLAY; RECREATION; FRONTIER; FEUD; OUTLAWRY; TONGS. them were keen critics who cleared the air of the false spiritual values which dominated Spain Consult: Thrasher, Frederic M., The Gang: a Study of 1313 Gangs in Chicago (Chicago 1927), containing a during the period of its colonial disaster. bibliography; Illinois Association for Criminal Jus- Ganivet's political ideas contain obvious con- tice, Illinois Crime Survey (Chicago 1929); Bolitho, tradictions. Democrats and those opposed to de- William, "The Gangster Traumatism" in Survey, vol.mocracy were able to find in his books arguments lxiii (1929 -3o) 661 -65, 688; Duffus, R. L., "The Function of the Racketeer" in New Republic, vol. lviii in defense of their positions. He was firmly (1929) 166 -68. For some of the earlier studies see opposed to regionalism, which he regarded as Sheldon, Henry D., "The Institutional Activities ofan attempt to create artificial political units. The American Children" in American Journal of Psychol- natural unit, he thought, was the municipality, ogy, vol. ix (1897-98) 425 -48; Hartson, Louis D.,which should have jurisdiction over all matters "The Psychology of the Club" in Pedagogical Semi- nary, vol. xviii (1911) 353-414; Puffer, J. A., The Boy except those of a purely national interest. and His Gang (Boston 1912); Furfey, P. H., The Gang Ganivet was also the author of autobiograph- Age (New York 1926). See also Warner, M. L., "The ical novels, plays and works on aesthetics and Influence of the Mental Level in the Formation ofliterary criticism. In his Cartas finlandesas (1896- Boys' Gangs" in Journal of Applied Psychology, vol.97; published Madrid 1905, 3rd ed. 1913) and (1923) 224 -36; Asbury, Herbert, The Gangs of New York (New York 1928); Glueck, S. and E., goo Crimi- Hombres del norte (Madrid 1905) he introduced nal Careers (New York 1930); Moley, R., Politics and to Spain the spirit of the Scandinavian countries Criminal Prosecution (New York 1929) ch. i. and their outstanding literary figures, such as Jonas Lie, Björnson and Ibsen. He possessed a GANIVET, ANGEL (1865-98), Spanish au-highly personal point of view, but his critical thor and political theorist. Ganivet studied phi-judgments were not always effective. losophy, literature and law at the University of JOSE OTS Y CAPDEQUI Granada and was subsequently Spanish consul Consult: Fernandez Almagro, M., Vida y obra de Angel at Antwerp, Helsingfors and Riga. His preoccu- Ganivet (Valencia 1925); Jeschke, H., in Revue his - pation with Spain and his love for that countrypanique, vol. lxxii (1928) 102 -246; Navarro de Ledes- found their expression in his writings, which ma, F., and others, Angel Ganivet (Valencia 1905). 568 Encyclopaedia of the Social Sciences GANS, EDUARD (1798- 1839), German jurist. Stevens Institute of Technology and was in Gans became the representative of Hegelianismthe employ of Frederick W. Taylor from 1887 among the German legal historians of his time.until 1902, when he became an independent He derived from the historical school but tran-consultant. His first and most noteworthy con- scended its teachings in his systematic concep-tribution to the technique of scientific manage- tion of law and legal history, in his insistencement was the task and bonus system of wage upon speculation as well as historical researchpayment, generally considered the most satis- and in his interest in universal legal history. Hefactory among differential wage systems of early involved himself in a controversy withreducing labor costs; its elements are a guaran- Savigny; his stand took courage, considering theteed daily wage plus a bonus contingent on dominance of the historical school at that time. achievement of a predetermined output. The Gans' point of view in Roman law was based onsecond was the "Gantt System" of recording his identification of obligations with rights ofgraphically current financial, sales, production action, and hence he recognized the differenceand other operating conditions in such a manner between the actiones stricti furls and actionesas clearly to disclose variations from standards. bonae fidei as the fundamental ground of dis-The third was the spirit in which he devised and tinction in the Roman law of obligations, a dis-.utilized this graphical system. Being inclined tinction which, as he showed in his first book,toward opportunism and more interested in Ober römisches Obligationenrecht (Heidelbergpractical improvement than in engineering per- 1819), could be made very fruitful in treatingfection Gantt gradually minimized the methods its problems. A commentary upon Gaius, Scho-of precise measurement and predetermination lien zum Gaius (Berlin 182o), also supported hischaracteristic of Taylor and Gilbreth, relying on scheme of systematization. In the introductionvoluntary improvement of operating conditions to his thief work, Das Erbrecht in weltgeschicht-by management and workers jointly through the licher Entwicklung (4 vols., Berlin 1824-35), heeducating disclosures of his charts. showed how Hegelianism had led him away from H. S. PERSON the historical school. Gans distinguished legalImportant works: Work, Wages, and Profits (New York science from mere legal knowledge and in legal191o, 2nd ed.1913); Industrial Leadership (New science distinguished between the philosophy Haven 1916); Organizing for Work (New York 1919). and the history of law. In the former the law is Consult: Drury, H. B., Scientific Management (3rd ed. New York 1922) p. 122 -25; Clark, Wallace, The Gantt considered as it exists without reference to time, Chart, a Working Tool of Management (New York in the latter as it necessarily unfolded and de- 1922). veloped in time. From this point of view Gans traced the development of the law of inheritanceGAPON, GEORGIY APOLLONOVICH from the Indian, Chinese, Oriental and Greek(1870 -1906), Russian priest and labor leader. law to the Roman law and thence to the Ro-.Gapon was of peasant origin. He studied at the manic, the Anglo- Germanic and the Scandina-theological seminary in Poltava and later moved vian law of the Middle Ages. His recognition ofto St. Petersburg, where he continued his stud- the different determining factors in these bodiesies at the theological academy and acted as priest of law makes his work a true excursion intoin a poorhouse. His interest in labor and social comparative law. The lively political sense ofreform attracted the attention of the Russian Gans was exemplified in his essays on the revi-police, particularly Zubatov, one of its officials sion of Prussian law and on foreign politicalwho at that time was active in organizing a mon- problems. archist trade union movement to counteract the MARTIN BUSSE growing influence of revolutionary socialism. Gapon, a man of ability inspired by a kind of Other works: System des römischen Zivilrechts im Grundriss (Berlin 1827); Über die Grundlage des Be- Christian socialism, undertook the task and suc- sitzes (Berlin 1839). ceeded in setting up a number of monarchist Consult: Stintzing, R. von, and Landsberg, E., Ge-workers' organizations in St. Petersburg. He schichte der deutschen Rechtswissenschaft, 3 vols. (Mu- was, however, soon captivated by the growing nich 188o -191o) vol. iii, pt. ii, p. 354-69. radicalization of the working masses; and when the demonstration organized by his followers on GANTT, HENRY LAURENCE (1861 -1919),January 9, 1905 (old style), to petition the czar American management engineer. Gantt wasfor constitutional reform ended in the slaughter educated at Johns Hopkins University andof the demonstrators by military detachments, Gans-Garden Cities 569 Gapon turned against the czar and called forobservatory which García Moreno hoped with open rebellion. He was forced to flee the coun- the cooperation of all civilized countries to make try. As an émigré Gapon enjoyed great popu-the best in the world. One of his important larity, but although he continued to be active inachievements was the completion of z6o kilo- the cause of the revolution he never gained themeters of the great southern highway. complete confidence of the revolutionary circles. An ardent Catholic, García Moreno believed In the autumn of 1905 he returned to Russia butthe church to be the sole instrument for effect- did not participate in the October revolutionarying social and political regeneration and ac- movement. Premier Witte entrusted him withcordingly he wished Catholicism to be the nerve the task of publishing a Russian paper abroad,center of the Ecuadorian nation. In 1862 a con- but the sheet never appeared. Gapon returnedcordat was concluded with the Holy See by again to Russia; in an effort to obtain funds hewhich Catholicism was recognized as the sole offered his services to the secret police and un-religion of Ecuador; it guaranteed the church a dertook to deliver information concerning thenumber of privileges, including the supervision activities and leadership of the socialist revolu-of education, and allowed ecclesiastical law a tionaries. He approached Pinkas M. Rutenberg,wider jurisdiction. The preponderant influence a prominent leader of their organization, whoof the church during his rule resulted in the agreed to supply the information and whoestablishment of a virtual theocracy. García Mo- arranged for a secret meeting with Gapon. When reno has been one of the most discussed of the the latter repeated his request -this time in theSpanish- American rulers; a monster and tyrant presence of several party members hidden in anto some, he appears to others a hero and martyr. adjoining room -he was immediately put to CARLOS PEREYRA death. Gapon left few followers and his organi- Important works: Escritor y discursos de Gabriel Garcia zation soon ceased to exercise any influence in Moreno, ed. by M. M. Pólit Laso, 2 vols. (Quito 1923). the revolutionary movement of Russia. Consult: Velloso Rebelo, A., in Instituto Histórico e VLADIMIR BOURTZEFF Geographico Brasileiro, Revista, vol. lxxxvii (1922) 75- Consult: Gapon, G., The Story of My Life (London 214; Bunge, C. O., Nuestra América (6th ed. Buenos 1905); Hurwicz, Elias, Staatsmänner and AbenteurerAires 1918) p. 282 -30o; García Calderón, F., Les (Leipsic 1925); Ainzaft, S., Zubatovshchina i Gapon- démocraties latines de l'Amérique (Paris 1912), tr. by ovshchina (The movements of Zubatov and of Gapon) Bernard Miall as Latin America: Its Rise and Progress (4th ed. Moscow 1925); Rutenberg, P. M., Ubiystvo (London 1913) p. 215 -21; Tobar Donoso, Julio, "Gar- Gapona (The assination of Gapon) (Leningrad 1925). cía Moreno y la instrucción pública" in Academia Na- cionaldeHistoria,Quito,Boletin,vols.iii -vii GARCÍA MORENO, GABRIEL (1821 -75), (1921 -23). Ecuadorian statesman. García Moreno was edu- cated at the University of Quito, where afterGARDEN CITIES. What have come to be postgraduate study in Europe he became a pro-known as garden cities are new communities fessor of chemistry. His political activities were developed in accordance with certain principles at first journalistic: he founded several polemical set forth by Sir Ebenezer Howard (1850 -1928) journals, including the Nación, and initiated the in his book Tomorrow (London 1898, 2nd ed. struggle against the military triumvirate consist- 1902). Howard conceived the idea that the prob- ing of Generals Urbina, Franco and Robles. Helems of congestion in large cities and depopu- was president of Ecuador from 1861 to 1865 and lation of country districts must be solved to- again from 1869 until his assassination in 1875. gether. To accomplish this purpose he advocated During his presidency, which was in effect athe redistribution of industry and population dictatorship, García Moreno tried to apply thein comparatively small urban units so developed doctrines he had advanced as a political agitator.as to provide the combined advantages of town His program may be divided into three phases: and country life. His proposal was that limited reaction, organization and finally consolidation.dividend companies be formed to purchase an He founded a civil regime and eliminated the area of open land of sufficient size to enable the reign of militarism, which had rendered materialbuilding of a new self -contained town with a progress and cultural development impossible.belt of agricultural land surrounding it. Once order was established, financial reforms It was essential to his project that the town were instituted and primary and higher educa-be planned in advance so as to secure adequate tion, especially in the natural sciences, was pro-. facilities for industries and a wholesome en- moted. At Quito there was built an astronomical vironment for the workers' homes; that the town 57o Encyclopaedia of the Social Sciences area be restricted in size so as to prevent itstained town with its own industries. Thepopu- encroaching on the agricultural belt; and finallylation reached about io,000 in 1931 and is that the interest on the capital applied to therapidly increasing. development of the town be limited to 5 or 6 In the United States the new town of Rad- percent, all profit (above the amount of thisburn, New Jersey, is being developed on garden interest) derived from the increase in the valuecity lines by the City Housing Corporation of the land and from the public utilities to bewhich was responsible for the cooperative gar- reserved for the community. It is obvious thatden suburb Sunnyside in Queens, New York such a scheme could be made successful onlyCity. The site of Radburn is in the borough of as a result of the attraction of a sufficient number Fairlawn, Bergen county, and is only thirteen of manufacturing plants to the site acquired tomiles from New York City. Because of the im- provide the means of employment for the de-possibility of obtaining land so near the metrop- sired population. olis at rural prices the estate is not large enough The term itself was originally used in theto permit of a permanent rural belt. It is also United States by A. T. Stewart, who foundedlimited chiefly to persons who work in New Garden City, Long Island, in 1869. While thisYork, Patterson and other large cities in the was to some extent a well planned community vicinity. But it has been planned in advance and providing a partial example of industrial decen-interest on the capital invested has been limited tralization, it had few features in common withto 6 percent. The outstanding feature of this the kind of community visualized by Howard.American example is that the town has been At the time Howard's book was publishedplanned for the motor age and is laid out in a two large manufacturers in England had alreadyseries of main highways for traffic with closed demonstrated the feasibility and desirability ofend residential streets and pathways to park the dispersal of industries from crowded centersareas, playgrounds and schools so laid out that to open suburban areas and of the building ofchildren need not cross streets. In some cases model villages for their employees. One of thesethis involves the construction of underpasses or enterprises was carried out by George Cadbury bridges between the main blocks. in the Cadbury chocolate works at Bournville, In the English garden cities the degree of and another by W. H. Lever (afterward Lordcommunity ownership is strong and individual Leverhulme) at Port Sunlight. ownership weak as a result of leasehold tenure The publication of Tomorrow and the demon- of lots; at Radburn the outright sale of the lots strations given by the Bournville and Port Sun-with the houses lessens the strength of commu- light experiments led to the organization of the nity ownership. First Garden City, Ltd., in 1903. This company Many garden villages have been developed purchased an estate of 3822 acres (which was lat-by manufacturers for their employees and con- er increased to 4552 acres) at Letchworth, thirty - tain some of the outward features of garden four miles north of London. Capital was ob-cities. Such villages include Hershey, Pennsyl- tained in ordinary shares and loan stock at fixed vania, and Bournville and Port Sunlight in Eng- dividends of 5 and 6 percent. In 1930 there were land. Most of the so- called garden cities on the in Letchworth about 15,000 people and manycontinent are in fact industrial villages sponsored manufacturing plants with the services and facil- by employers, the only single instance of a near ities of a well equipped municipality. The publicapproach to a garden city being that of Hellerau utilities are owned by the community, andin Germany. In suburban districts model neigh- Letchworth is now on a firm financial basis. The borhoods known as garden suburbs have been plan prepared for the city provided for a popu-developed at Hampstead, London, at Forest lation of over 30,000 and for reservation of anHills, New York, and elsewhere, but their cost agricultural belt of about 3000 acres. The systemmakes them available for middle class and sala- of tenure is leasehold; leases are granted forried workers rather than for wage earners. ninety -nine years. It has been proved that garden cities have The second English garden city was startedseveral distinct values as object lessons in hous- at Welwyn, Hertfordshire, twenty miles froming reform and town development. They pro- London, in 1919. It differs from Letchworth in vide the opportunity of obtaining a healthy so- being near enough to the metropolis to invitecial and physical environment by intelligent a considerable "dormitory," or suburban, popu- planning ab initio; they assist in decentralizing lation but is also to a large extent a self -con-industry and population and in reducing the Garden Cities-Gardiner 571 traffic congestion resulting from the distanceprivate finance. While this doubtless means that between homes and places of employment; andtheir number will be limited, as social experi- they demonstrate the economy and convenience ments garden cities will be effective and valuable that can result from a well balanced arrangement in proportion as each project is well conceived of functions and building densities. Moreover,and well executed rather than in proportion to they are so organized as to prevent speculativetheir increase in numbers. land subdivision with all the waste that it in- THOMAS ADAMS volves. The movement, which is represented by See: CITY; URBANIZATION; HOUSING; CITY AND TOWN an international association, has influenced the PLANNING; REGIONAL PLANNING; COMPANY HOUSING; character of development in satellite cities, co- SUBURBS. operative housing schemes and in company and Consult: New York Public Library, Select List of government housing enterprises. While the ra- Works Relating to City Planning and Allied Topics (New York 1913) p. 26 -28; Purdom, C. B., The Build- pidity of growth and the number of gardening of Satellite Towns (London 1925); Pink, L. H., citieshave notfulfilled the expectation of The New Day in Housing (New York 1928) chs. viii - their founders, they have been successful in ix; Nitot, Henri, Les cités-jardins (Paris 1924); Culpin, educating public opinion and in influencingE. G., Garden City Movement Up -to -Date (London legislation to a much greater extent than was1913); United States, Senate, Committee on Agri- culture and Forestry, Garden City Movement Hear- anticipated. Among other things they have dem- ings, 64th Cong., znd sess. (1917); Adams, Thomas, onstrated in England that it is economically un-"The Planning and Subdivision of Land -Planning sound to crowd houses on the land in excess ofand Development of Self- Contained Communities" an average of twelve houses to the acre. They in Regional Survey of New York and Its Environs, vols. i -viii (New York 1927 -31) vol. vii, p. 254 -69; have given a new direction to housing reformKampf£meyer, H., Die Gartenstadtbewegung (Leipsic and promote lower building densities and higher 1909, and ed. 1913), and Grünflächenpolitik und Gar - artistic standards in existing city regions. Thesetenstadtbewegung (Berlin 1926); Lindemann, K. H., results have been achieved partly through new"Gartenstadtbewegung, Stadtverwaltung und Boden- legislation giving effect to garden city ideas andreform" in Schmollers Jahrbuch, vol. xv (1931) 225 - 8o; Salomon, H., Gartenstädte (Berlin 1913); Benoit - partly by the voluntary adoption of these ideas Lévy, G., La cité-jardin, 3 vols. (Paris 1911); Schiavi, by private developers of urban neighborhoods. A., Le case a buon mercato e le città giardine (Bologna In spite of these social values it is doubtful 1911). that garden cities can be built in great numbers in any country. The chief difficulty lies in ob-GARDINER, SAMUEL RAWSON (1829- taining the necessary money for financing them. 1902), English historian. Gardiner is recognized To initiate the building of a garden city it isas the preeminent authority on the first half of essential to form a corporation of persons inter-the seventeenth century in England, from the ested, for the purposes of raising capital, ac- accession of James i to the death of Oliver Crom- quiring a suitable area of land, attracting manu-well. Although he took a first class in literae facturing plants and organizing the developmenthumaniores at Oxford the fact that he was of the of the town. Another difficulty arises from theIrvingite persuasion rendered a further aca- fact that garden cities compete with existingdemic career at the university impossible in cities, which do not want to lose their industriesthose days when religious tests were still rigid. and taxpaying population. Money for their de-As the result of prolonged studies in the British velopment has to be obtained from privateMuseum and the Public Record Office, supple- sources and so far much of it has had to bemented by occasionalvisitstocontinental provided on a semiphilanthropic basis. Experi-archives, he produced between 1863 and 1901 ence shows that they can be made to paytheirhis great work on the history of England, cover- way to a moderate extent. They have neithering the years from 1603 to 1660. the prospects of high profits nor the dangers of He took infinite pains in his preparation, great losses incidental to ordinary commerciallearning several languages and reading hundreds enterprises. To make them pay well rapid build-of letters of contemporary public men in order ing is essential, and this involves more available to become thoroughly acquainted with their capital than it has been possible to raise in anypersonalities. In dealing with a highly contro- of the existing experiments. While some govern-versial period, treated by previous historians ment aid has been given to assist garden citywith varying degrees of religious or political housebuilding in England, it will probably al-bias, he displays a remarkably sober detach- ways be necessary to rely on private effort andment, unprejudiced by royalist or parliamentary 572 Encyclopaedia of the Social Sciences partisanship. For the first time James, Bucking-passed before the mast on Mediterranean mer- ham, Coke, Bacon, Charles, Strafford, Laud andchant vessels he joined Young Italy and imbibed Cromwell are portrayed with discerning knowl-Mazzini's political doctrines. Plunging enthusi- edge and insight. The account of Bacon's im-astically into the plots by which Mazzini was peachment especially is a model of tolerant andattempting to further his twofold purpose of discriminating analysis; James' knowledge andexpelling Austrian authority and influence from intelligence together with his infirmity of pur-Italy and of uniting the various Italian states pose are clearly presented; the "apostasy" ofinto a single republic, he was condemned to Strafford is put in its true setting; and Cromwelldeath by Charles Albert of Piedmont in 1834. is pictured as a sincere opponent of tyranny in He escaped and from 1836 until 1848 remained church and state forced by the logic of circum-in South America. There he participated in the stances to become a dictator. The twofold aspectinsurrectionary movements in Brazil and in Uru- of the Puritan revolution, political and religious,guay's struggle for independence against Argen- is for the first time adequately unfolded and the tina, giving evidence of great military valor. The interrelation of foreign and domestic history isrevolutionary movement of 1848 brought him patiently and skilfully developed. back to Italy, where in the name of the cause of While Gardiner's style lacks vividness andItalian unification he organized his famous troop color, while he paid little attention to social,of volunteers. The two most important exploits economic and literary aspects of his theme, and in which he engaged as commander in chief of while some inconsistencies have been pointedthe volunteers were his brave but unsuccessful out in his estimates of men and policies, his ex- defense of the short lived Roman Republic which tensive research, his thoroughness and grasp andMazzini established in 1849 and his victorious his sincere effort to tell the truth enabled him toexpedition to Sicily and Naples in 1860, when produce a survey of the period which in itswith his thousand "red shirts" he overthrew the political, ecclesiastical and military phases willBourbon monarchy and made possible the ac- probably never be superseded. cession of these important states to a united ARTHUR LYON CROSS Italy. His participation in the movement of 1860, Works: History of England from the Accession of James 1 which culminated in the establishment of the to the Outbreak of the Civil War, 1603 -1642, zo vols. kingdom of Italy under the Piedmontese dynasty, (London 1863 -82); History of the Great Civil War, came as the result of a momentous decision made 1642 -1649, 4 vols. (London 1886); History of the in 1854 upon his return from his second exile Commonwealth and Protectorate 1649 -1660, 3 vols. (London 1895- 1901); Constitutional Documents of the after the fall of the Roman Republic. At that Puritan Revolution (Oxford 1889; 3rd rev. ed. 1927); time he had separated from Mazzini, the uncom- Student's History of England, 3 vols. (London 1890-promising republican, and allied himself with 91; new ed., z vol., 1920); Cromwell's Place in History the Piedmontese monarchy, which under the (London1896,3rded.1897);Oliver Cromwell leadership of Cavour and Victor Emmanuel had (London 1899). formulated a national liberal policy. Since in the Consult: Usher, R. G., in American Historical Associa- critical period between 1855 and 1861 Garibaldi's tion, Annual Report (1910) 123 -32; Rhodes, J.F., Historical Essays (New York 1909) ch. vii; Gooch, G.example influenced other republicans and great P., History and Historians in the Nineteenth Centurynumbers of the masses to join the national mo- (London 1913) p. 359 -65; Shaw, A. W., A Bibliog- narchical party, his decision was of tremendous raphy of the Historical Works of Dr. Creighton, Dr. significance in the course of the Italian Risorgi- Stubbs and Dr. S. R. Gardiner (London 1903). mento. After the expedition of the Thousand his name became a household word; and the hero's GARIBALDI, GIUSEPPE (1807 -82), Italianglory was enhanced by the modesty and sim- patriot. The chivalric heroism of Garibaldi'splicity with which he declined all rewards and military exploits and the glamour of his ideal-withdrew to the remote island of Caprera, there istic nature made him appeal to the imaginationto live the simple life of a farmer while awaiting of the masses more than any other figure of thenew opportunities to devote himself to the cause Italian Risorgimento. He was not merely a pa- of liberty and democracy. Always the most in- triot; his ideal of redeeming his native land was domitable champion of the liberation of Rome but one aspect of a broad humanitarianism whichand the overthrow of the temporal power of the embraced the ideals of justice, liberty and broth-popes, he viewed with great impatience Rome's erhood for all peoples. His native impulses first continued segregation from the kingdom of Italy received direction in 1833, when after a youth after 186o; several times he was prevented from Gardiner-Garment Industries 573 invading the Papal States only by the forcefulgarments, and their control over the industry intervention of the Italian government. He fol-extended even to regulation and guaranty of the lowed the vicissitudes of the American seces-wages of the journeymen. sionist struggle with intense interest and for a For many decades after the breakdown of the while meditated organizing a force to assist theguild system the lack of a market caused the South. In 187o he went to France to fight for theclothing trades to remain relatively insignificant. republic against Prussia. In the midst of his war-Even when homespun was replaced by the prod- rior's career he never forgot that the supremeucts of the textile mill and fabrics declined in ideal of humanity is peace founded upon justice,price, the industry expanded but little. In the and he offered his name and eloquence in support eighteenth and the early nineteenth century of the pacifist movement. After the liberation ofclothing was not produced in factories employ- Rome was finally accomplished in 187o he dedi-ing large groups of workers despite the rapid cated his last years to improving the conditionspread of this system throughout other indus- of the masses, openly sympathizing with social-tries. Traveling tailors and small custom order ism, which to him seemed a movement of socialshops supplied the well to do; shirts and under- redemption. His death was mourned by democ-wear were made at home until the middle of the racy throughout the world. nineteenth century; in agricultural sections the PIETRO SILVA farmers' wives made all garments. The indus- Works: Scritti politici e militari, ricordi e pensieri ine- try's rapid development during the latter part diti, collected by Domenico Ciampoli (Rome 1907); of the nineteenth century was a phase of the Epistolario di Giuseppe Garibaldi (1836 -82), ed. byindustrialization of handicrafts; it was contem- E. E. Ximenes, z vols. (Milan 1885); Mémoires deporaneous, whether as cause or effect, with the Garibaldi, ed. by Alexandre Dumas, 5 vols. (Naum- burg 186o -61), tr. by R. S. Garnett (New York 1931); increasing tendency for families to adopt the Memorie autobiografiche (Florence 1888,11th ed. method of purchase in place of home manufac- 1902). ture for supplying the needs of daily life. The Consult: Guerzoni, G., Garibaldi, 2 vols. (3rd ed.requirements of the working classes indeed had Florence 1889 -91);Fabieti,E.,Garibaldi (Milanalready brought about a considerable traffic in 1930); Trevelyan, G. M., Garibaldi and the Making of second hand clothing, and establishments for Italy (New York 1911), Garibaldi and the Thousandrenovating and distributing such clothing had (London 1909), and Garibaldi's Defense of the Roman Republic (new ed. London 1908); Holland, R. D.,existed in all parts of Europe in the eighteenth Builders of United Italy (New York 1908); Marriott, century. Another factor leading to the fabrica- J. A. R., Makers of Modern Italy (London 1889) p. tion of ready made clothing was the desire of 54-78. the custom tailors to produce for an outside market during the periods of seasonal lull; this GARMENT INDUSTRIES. The garment in-resulted in the commercial development of the dustries as treated here will be restricted to theclothing trades on the small shop and home work "needle trades "; that is, the manufacture ofbasis long before production was organized in men's, women's and children's wearing apparel,the large factory. In Germany the same tend- both ready and custom made, together withency was to be seen; in the early eighteenth their auxiliary groupings. The organization andcentury the master tailors had statutes passed importance of the manufacture of clothing forwhich permitted them to keep ready made sale have always been largely influenced by theclothes in stock -an effort to ameliorate the characteristics and extent of the market. In theeffects on the custom trade of the depression of Middle Ages the market was of course not onlythe period. The mass market, however, was still local but small. Such clothing as was producedonly potential; the wages of factory workers did outside the home was made to order by thenot yet permit the spending of much money on guilds of women dressmakers and tailors. Theclothing, especially as prices were comparatively poorer classes were supplied by the second hand high. clothing dealers, organized in a separate guild, But the existence of a potential market led to for the sale of new ready made clothing wasmodernization within the industry, facilitated forbidden except during the merchants' and by a series of technical inventions of which the tailors' fairs. Moreover, as in other industriesearliest and most important was the invention of the period, production was rigidly controlled. of the sewing machine in 1846. Steam power was Both the guilds and the municipal authoritiesused as early as 1865 in England. Thereafter, carefully regulated the quality and price of thebeginning about in the seventies, the introduc- 574 Encyclopaedia of the Social Sciences tion of the standard pattern and of the buttonfound in England and the United States -it sewing, buttonhole and pressing machines wereaffords a cheap labor supply and is easily adjust- rapid stages in the mechanization of clothingable to market and seasonal requirements, and production. By the middle of the nineteenth the cheapness of the sewing machine makes large century the manufacture of clothing showedand concentrated investment of capital unnec- signs of developing from a small home industryessary. Home work is most widely extended in producing for a local and restricted market intothe making of women's wear; in this trade it a modern factory industry with its division ofproduces the cheapest and the best garments, labor, a standardized product and a swiftly ex-while the factories turn out the medium priced panding market. The development of transpor-garments. A possible explanation of the preva- tation facilities, urbanization and higher stand-lence of home work and handwork is the en- ards of living contributed along with inventionscouragement by both government and unions of to the growth of the market, as did the socialthe establishment of trade schools, which turn acceptance of uniform and standard goods which out highly skilled workers in the tradition of accompanied general industrialization. luxury production pervading most industries of In England the expansion was rapid after theFrance. The production of ready made garments invention of the sewing machine, and by 1890has gone farthest in the manufacture of under- wholesale tailoring was well established. At pres-wear, women's cloaks and blouses and men's ent the industry employs over half a millionclothing. The last named branch of the industry workers, three fourths of whom are women. Theis relatively concentrated; the making of women's handicraft tailors number only 20,000 and areready made outer garments is scattered in many rapidly giving place to the large manufacturersmall firms, whose volume of business amounts of high class custom and ready made garments.to only several million francs a year. But since The village tailor and dressmaker, who neverthe couturiers may employ from roo to moo supplied a product of high quality, have beenworkers and the large department stores also sell driven out by the growth of wholesale produc-custom made clothes, the custom trade and tion of cheap ready made and, recently, customsmall scale industry are not necessarily synony- made clothes. Many firms making ready mademous in France. In general there has been an clothes have developed their own retail stores, increase in the number of large and small houses as in the United States, while retail tailors nowsince 1901 to the exclusion of the medium sized increasingly maintain their own manufacturing,firm. In 1921 the clothing workers numbered or "inside," shops. The handicraft tailors, oner,215,000, of which 289,000 were in Paris and quarter of whom are concentrated in the Westits environs. There has been a tendency for the End of London, are now chiefly occupied in the numbers employed in the trades to decrease, making of men's suits, riding breeches and uni-particularly in the women's custom branch, forms. All other branches of the trade, includingwhich is at present still the largest, employing even overcoats and ladies' outer garments, areover 500,000 workers. The production of ready rapidly being absorbed into the factory industry. made clothing, however, has been expanding; Although there has been a marked increase in the number of workers employed increased from the use of machinery in the past fifteen years,91,000 in 1906 to 104,000 in 1921, and the there is less standardization of process in bothspread of industrialization is also indicated by the wholesale and retail custom trades than inthe exodus from Paris to the provinces. Never- the United States. Competition remains thetheless, the clothing industries still provide the dominant factor, but there have been large amal-best case of widespread home work and hand- gamations since the World War among the bigwork, especially by women, with their accom- stores retailing clothing. paniment of low output per worker. The development of the clothing trade in In Germany factory production is driving out France was similar to that in England, yet Francethe custom tailors, although to a less extent than remains today the outstanding example of thein England. A few years before the war the custom industry, chiefly because of the leader-industry lost its foreign markets as the manu- ship of Paris as the international buyers' market facture of clothing in other countries increased, for women's clothing. The development of largeand since that time it has manufactured almost scale factory production has been checked by theexclusively for a domestic market; the ready persistence of home work, which exists for themade branch now supplies from two thirds to same reason that the subcontracting system isthree quarters of the working and middle classes Garment Industries 575 with clothes. The industry as a whole, includingother industries, manifesting a normal growth. all types of wearing apparel, had an output of By 1930 the United States had come to occupy 4,500,000,000 marks in 1927 and engaged 1; a preeminent position in the manufacture of all 427,657 employees in a total of almost 600,000articles of clothing. Only in Soviet Russia and to firms; the garment trades, with the exception ofa certain extent in Germany was there a com- knit goods and hosiery, employed almost oneparable development of the mechanized clothing million workers in 397,596 establishments. Infactory during the ten years after 1920. The total the cities, particularly in the men's garment in- of all garment industries, excluding leather shoes, dustry, contractors generally give out jobs to in 1929 employed more than 750,000 workers, workers, who sew at home on the various partswhose combined value of output was close to of the garments. In the rural districts direct$5,000,000,000. Among the many branches of manufacture for sale to retailers is more preva-the industry the manufacture of women's cloth- lent. The organization of the industry is char-ing, including suits, dresses, coats, shirt waists acterized by the small workshop of less than sixand underwear, is the largest, with a total output persons: 58 percent of all the persons engagedof nearly $1,500,000,000; it is closely followed in the industry were attached to such shops inby the men's clothing industry, which in 1929 1927; but, on the other hand, the percentage ofproduced men's and boys' outer garments to the employees in firms employing over 5o workersvalue of $756,000,000. The remaining half of increased from 2.62 in 1882 to 20.7 in 1925, and the output of this group of the garment indus- in the underwear trade over 5o percent of thetries is distributed over the manufacture of shirts, workers are attached to large factories. Thirtymen's and women's hats, furnishings, millinery percent of all production is still turned out byand lace goods, fur and knit goods and minor hand, but factory production is spreading andarticles of clothing. the number of corporations has increased from It is characteristic of the expansion of this 19, with a capital of 39,600,000 marks in 1913,industry that the production of auxiliary items, to 312, with a capital of 116,000,00o marks inoriginally of little significance, has become with 1926. Industrial concentration, under the influ-the rise in the standard of living and with the ence of post -war rationalization, has been stead-increasing influence of fashion of first impor- ily increasing. There is less geographical con-tance. Thus the men's furnishings industry, not centration than in the United States, but 8oincluding shirts and collars, now employs more percent of all women's wear is manufactured inthan 25,00o workers and the value of its output Berlin and one firm has practically a monopolyis close to $150,000,000. The knit goods and of men's cheap ready made and work clothes. hosiery industry likewise has grown to such pro- Nowhere has the growth of factory productionportions that in 1929 it employed 208,397 per- been so rapid or so widespread as in the United sons, or more than the men's clothing industry, States. Until the Civil War women's cloaks were and had a total output of $899,717,000. The largely imported from France, and afterwardinfluence of the march of industrialization is, French tailoresses were employed by Americanhowever, best indicated by the changing posi- business men to design women's garments and tion of the women's clothing industry during the supervise their manufacture in small shops, oftenpast forty years. While in 1899 the value of out- attached to retail stores. The most effective fillipput of the women's garment industry constituted to the industry was given by the Civil War, whenonly 39 percent of the combined value of the the clothing requirements of the army led to themen's clothing, women's clothing and shirt in- establishment of large shops for the manufacture dustries, by 1929 it represented 59 percent of of uniforms in New York City and to the neces- the value of output of this category. sity for substantial imports from Prague and The history of the development of the hosiery Vienna. From 1889 to 1899 the growth of theindustry has been quite different from that of garment industry in the United States by num-other branches of clothing manufacture. The ber of workers and value of product was two orlarge scale production of hosiery by machine three times as rapid as the average for all indus-methods was inaugurated very early, and neither tries. This growth continued, at a slower pace,the method of manufacture nor the product itself until 1910; since then it has declined, indicatingshows the characteristics which make the needle that by that date the making of garments hadtrades unique. Originally stockings were made become completely separated from the home.of cloth, then knit by hand; toward the end of Since 1910 the industry has taken its place with the sixteenth century the invention of the square 576 Encyclopaedia of the Social Sciences stocking loom by William Lee in England intro-output of full fashioned hosiery was exported in duced hosiery production on a larger scale. Later1929. On the other hand, foreign competition the spinning jenny, the application of power tohas been slight, with imports restricted to the knitting frames in 1832, which reduced the costcheaper cotton hose and to fancy styles made on of manufacture to one tenth of what it had been,a small scale. Efforts to avoid the consequences and the circular knitting machine, invented inof overexpansion have been made along two 1851, gave new impetus to the industry; but onlines: there has been a movement toward the the whole its growth was slow in the nineteenthsouth, where wage scales are about one half as century, in part because of difficulties in per-high as in the northern states; and there have fecting the machinery. The most striking devel-been widespread attempts to decrease overhead opment occurred in the Civil War period, whencharges by running the mills on double shifts the government was buying large supplies ofand using the multiple machine system whereby hosiery. From that time on the production ofone worker tends several machines. The indus- hosiery by machine in the United States hastry is still largely localized; thus the Philadelphia been rapidly increasing. The types of hosieryand Reading areas account for 62 percent of the produced, however, have changed radically, par- machinery used, and 10 percent of the mills are ticularly during and after the World War. Fromin New Jersey. But the most rapidly growing 1914 to 1923 the production of cotton hose de-area is the south, where 15.6 percent of the mills creased by 6.17 percent, while over the samewere located in 1929. years there was an increase of 26.77 percent in The hosiery workers are organized in the the output of silk hosiery and of about 417 per-American Federation of Full- fashioned Hosiery cent in that of hosiery made of rayon and mixedWorkers, affiliated with the American Federa- fibers. Among the influences which account fortion of Labor. Of a total of 113,000 workers in the expansion of the silk and rayon hosiery in-the industry 15,000 are organized in the full dustry are the shorter skirts and the thinner andfashioned branch. In the past few years the lighter colored stockings worn by women inunion has also attempted to penetrate the south. recent years. The output of the seamless varietyThe average wage for "leggers" and "footers," of hose has remained practically stationary sincewho are highly skilled operators, ranges from 1919, although about 95 percent of men's hose$6o to $75 a week in the north and around $34 are of this style. Full fashioned cotton hosiery,in the south. Other workers in the trade receive manufactured chiefly for women, has declined much lower rates -from $13 to $27 a week, de- in importance also; but the yearly production ofpending on locality and unionization as well as the full fashioned style as a whole, including silk on the type of work performed. The union has and its imitations, increased over 25o percentopposed the double shift except as a temporary from 1919 to 1928 and in 193o reached 25,000;emergency measure and is particularly antago- 00o dozen pairs, slightly more than the output nistic toward the multiple machine system. The of seamless hose. Continued increase in the per hours worked vary widely according to the task capita consumption of full fashioned silk hosiery and to economic conditions, but the union is is, however, doubtful, since style changes inmaking efforts to introduce the forty -four hour dresses and the use of mending service for stock-week. ings discourage the purchase of many pairs of In structure and business organization the hosiery. garment industries are marked by peculiar fea- Since 1923 there has been an overexpansiontures. In the early stages of the industry the of the full fashioned hosiery industry; the mills,wholesale distributor of clothes rarely ran his which often begin their operations on a large own factory but farmed out the materials to con- scale, increased in number from 92 in 1919 totractors, who had the garments made either in 263 in 1929, although in 1928 there was a dropthe homes of workers or in small shops. Thus of 8 percent in the output of one half the mills.the term manufacturer, generally used to de- As the machinery used is both complicated andscribe the wholesale distributor or the retailer, expensive and not readily adjustable to changesis not really descriptive of his function except in output and style, the financial burden on thewhere he maintains an "inside" shop, doing at manufacturers has become heavier. Export mar-least part of his own manufacturing. The "out- kets have been a negligible factor; foreign con-side" shop, or contracting system, began in the sumers lack the income to buy such a luxuryUnited States in the eighties; it was fostered by article, and only about 3 percent of the totalthe small, cheap sewing machine, which could Garment Industries 577

GROWTH OF AMERICAN GARMENT INDUSTRIES, 1889 -1927

NUMBER NUMBER VALUE ADDED BY VALUE OF YEAR OF OF MANUFACTURE OUTPUT ESTABLISHMENTS WAGE EARNERS (IN $I000) (IN $I000) Men's Clothing * 1889 19,527 248,477 216,532 411,662 1899 6,568 158,493 152,155 324,422 1909 6,500 240,526 271,238 568,858 1919 6,261 215,357 513,297 1,369,403 1,190,464 1929 5,009 234,811 590,910 Women's Clothing * 1889: dressmaking 19,587 48,613 33,678 57,072 factory 1,224 39,149 33,887 68,164 1899: dressmaking 14,479 45,595 31,852 48,356 factory 2,701 83,739 74,635 159,340 1909 t 4,558 153,743 175,964 384,752 1919 t 7,711 165,649 528,136 1,208,543 1929 t 7,978 183,5o6 763,388 1,678,496 Fur Goods * 1889 484 6,947 8,784 20,527 1899 734 7,758 11,618 25,899 1909 1,241 11,927 24,161 55,938 1919 1,815 13,639 67,541 173,138 1929 2,844 15,938 101,405 277,059 Knit Goods and Hosiery * 1889: hand knit 28 186 118 205 machine 796 59,588 31,429 67,241 1899: hand knit 86 304 228 352 machine 1,006 83,691 44,639 95,834 200,143 1909 $ 1,374 129,275 89,902 1919 $ 2,050 172,527 286,140 713,140 1929 1 1,888 208,397 443,000 899,717

Hats and Caps * 1889 737 29,431 23,679 42,642 1899 ** 815 31,424 24,783 49,204 1909 ** 865 40,079 42,711 82,978 1919 1,073 34,799 81,267 166,211 164,705 1929 796 27,587 79,768

Vliscellaneous * 1889 7,749 78,271 61,196 120,703 1899 18,294 121,151 130,314 189,821 131,00o 277,181 1909 3,85o 133,044 1919 5,032 131,099 285,067 587,624 1929 2,902 104,074 254,699 539,581 * Men's clothing includes men's and boys' outer wear, work clothing, parts of men's outer c othingmade in separate establishments, buttonholes for both men's and women's outer garments, shirts. Women's clothing includes women'sand girls' outer clothing and women's cloth underwear. Fur goods include men's, women's and children's outer garments, sets,trimmings, hats, caps and gloves of fur. Knit goods and hosiery include all knit goods, both under and outer wear. Hats and capsinclude felt, straw, cloth and, except as noted, wool hats and caps. Miscellaneous items for 1889 include the following censusclassifications: custom millinery (30 percent of total by value of output), artificial flowers and feathers, buttons, corsets, men'sfurnishings (i.e. neckwear, belts, handker- chiefs, bath robes, pajamas, cloth underwear, etc.), gloves and mittens, millinery and lace goods(untrimmed hats appear partly under hats and caps). For x899: custom millinery (37 percent of total by value of output), artificialflowers and feathers, buttons, corsets, men's furnishings, men's collars and cuffs, gloves and mittens, millinery andlace goods. For 1909: artificial flowers, feathers, buttons, corsets, men's furnishings. men's collars and cuffs, leather gloves and mittens, millinery andlace goods. For 1919: artificial flowers, feathers, buttons, corsets, men's furnishings, men's collars and cuffs, leather gloves andmittens, cloth gloves and mittens. For 1929: artificial flowers, including preserved flowers and plants, feathers, buttons, corsetsand allied products (i.e. brassières, corset covers and like goods), leather and cloth gloves and mittens, men's furnishings,millinery. In spite of apparent similarities in name the classifications under miscellaneous for the various years are not comparable, aschanges in the composition of the items were made throughout this period. Figures on the industry as a whole are notstrictly comparable because prior to 1899 census sta- tistics apply to factories, hand and neighborhood industries; figures for 1899, 1g09 and 1919relate to factories, generally those using some machine process, whose products are valued at $500 or more; and 1929 census statisticsrelate only to establishments whose products are valued at $5000 or over. Figures for Ig29 are preliminary except for knitgoods and hosiery, which are revised figures. t Dressmaking not listed separately. Hand knit industry does not appear separately. Not including wool hats, which were included with woolen, worsted and felt goods in 1899 and 19o9. Source: Census of Manufactures for the years quoted. 578 Encyclopaedia ofthe Social Sciences be easily installed in tenement houses, and byown plant and selling his the freedom affordedto the manufacturer, who own finished product was relieved of responsibility to the retailer and the for managinga manufacturer who ispre- factory and could give eminently a merchant andhas his manufacturing his entire attentiontodone outside. Probably the expanding market.In 1890 the successful the most importantfac- tor responsible for the struggle for union recognitionand better work- persistence of an archaic ing conditions encouraged method of production isthe low capital require- the growth of insidement of the industry. In spite shops, since the advantagesof cheap labor under of the progress in mechanization it is still possible the contractingsystem were thus lost. Friction for persons with resulting between the a small capital to start inbusiness and compete contractors and workerson favorable terms with large led the former to becomesmall manufacturers, producers. Many of the advantageswhich large scale driving out the largedistributors; and fora time operation the contracting derives from theuse of machinery and division system declined. From1900 toof labor (large shops 19 to these small manufacturersbegan to expand show in their specifications their operations and more than zoo distinct operationson the coat to adopt the contractingalone) are more than system again. But when higherwage rates were balanced by the lowover- established in these head, elasticity in businesspolicy and theoppor- new contracting shops, thetunity to use the cheap manufacturers tried toescape the high labor labor supplied by the costs by becoming jobbers; and submanufacturers. a new type of Fashion changes relationship was developed,that of manufac- are a second factor leading to the persistence of the smallshop. The ability turer-jobber-submanufacturer. The jobberis ato alter rapidly the middleman who doesnot employ workersor organization and stock ofa accept any of a manufacturer's small shop createsa competitive advantage not functions. He easy to overcome by superiority in buys from the true manufacturer-the subcon- manufacturing facilities. External conditionsare often favorable tractor or submanufacturer -andsells to theto the submanufacturing wholesale or retail merchant, system; thus during called the "manu-the past few decades facturer." The jobbingsystem grew rapidly from many large inside factories 1916 to 1919, both because of were built up in the men's clothingindustry in labor pressure andresponse to the demand for because the jobber's offer of"immediate deliv- a uniform product, ery" made it which can be provided onlywith difficulty under unnecessary for the manufacturerthe conditions of to maintain a large stock and risk management prevailing in the loss due to thecontract shop. But under the adverse high prices of materials duringthe war. conditions At present the importance of the last tenyears, culminating in the depres- of these threesion of 1930 -31, the steady types of organization- inside shop,contracting downward move- and submanufacturing ment in retail prices and thedrop in volume of -varies in the severalbusiness to about branches of the industry. Nodata on the relative one half its former figure turned even many of thelarge buyers againto importance of the threesystems exists; but inthe small producer. New York City, which in1924 supplied about Accordingly in the men's So percent of the national clothing industry theaverage number of workers production, threeper establishment, which increased quarters of the dress and cloak businessis car- from twenty- four in 1899 to forty-seven in 1927, declined to ried on under thesubmanufacturing system. Chicago and Rochester, forty -six in 1929 and hasprobably suffereda on the other hand, arefurther substantial decline characterized by inside shops.There is practi- since then. In the cally no submanufacturing in women's clothing industry thetrend in the size the underwear andof shops has been children's wear trades and relativelylittle con- downward since 1905, when tracting. But in the dress and the number of employeesper establishment was cloak and suit34.5. By 1929 this number had trades all three forms oforganization are found declined to 23 and frequently overlap. and it is not unlikely thatthe average establish-. Characteristic featuresment has become much smaller in of the industry continueto make the submanu- the past two facturing type of organization years. On the other hand, theaverage shirt fac- attractive andtory, with a relatively standardized account for the recurring competitionbetween product, has the two main types of business always been larger than themen's or women's organization -clothing plant; it reached the manufacturer who followsthe modern tend- its greatest size, 68 ency toward large scale factory production employees per establishment,in 1929. by New supplies of immigrant buying his own materials,manufacturing in his labor and the movement of manufacturersto small American Garment Industries 579 towns have also contributed toward the insta-Only tradition, the assistance of a supply of ex- bility of the industry and the periodic rise of theperienced labor and proximity to consuming small shop. Particularly after 188o the succes-markets can retard this movement from cities, sive waves of immigration of Jews, other easternwhich is accelerated in bad and checked in good Europeans and Italians, all more accustomed totimes. High quality products are still made al- employment in small handwork shops than inmost exclusively in the established centers. New factories, made available to the small enterprisersYork City has remained the primary center for in the garment industries large supplies of lowthe manufacture of both men's and women's priced competing labor. This process was in fullclothing. It has had the benefit of a large supply swing until the eve of the World War and wasof the most skilled and experienced tailors. Close responsible for the existence of a great laborto the largest retailing establishments in the surplus in practically all branches of the indus-country and consequently sensitive to the swift try. Only during several of the war years and the changes in taste and fashion, it has been able to inflation period of 1919 -20 was there anythingserve the demands of important buyers through- like a full utilization of the available labor. Afterout the country. The New York industry under 192o the restrictions on immigration; the furtherthe jobber system has also acquired the charac- employment of women as the work became less teristics of a spot market for both expensive and skilled; the displacement of labor by machinery; cheap garments, quick to open its shops and and the entrance into the industry of manyquick to shut down. The effects of powerful native born, attracted by high wages, improvedforces of competition, however, have been felt working conditions and the "open door" policy even in New York and its output in relation to of the unions, again created a serious labor sur- that of the country as a whole has shrunk since plus and aggravated the already strong tendencythe close of the war. toward severe competition and falling prices. In an industry thus organized it is inevitable During depression periods the practise of send- that bankruptcies and waste should be preva- ing work like hand finishing and buttonhole lent. It has been estimated that one third of the making to the homes is also revived. New York submanufacturers go out of business Removal from cities for the purpose of ex-annually. The work processes and appliances ploiting new supplies of labor likewise grows inare not standardized in large sections of the frequency under the influence of depression andtrade; much work is done according to tradi- price cutting. Historically the centers of the in-tional methods rather than in any "one best dustry have shifted much after the manner ofway." Moreover, it is questionable whether the the great changes in the localization of industryseasonality of the industry is entirely due to that have occurred in the cotton textile industry.whims of the consumer. With such a high de- Thus Boston, which was formerly one of the gree of competition the retailer is afraid to guess largest men's clothing centers in the country, as to future styles and also demands many small now occupies only a minor position; Cleveland'sand unimportant style changes which cause the importance in the industry, on the other hand,direct labor per garment to be far too large. In began to grow in 1925 almost entirely because ofa study made in 1921 it was discovered that the the rise of one firm. Cincinnati has had somewhat retailer was accustomed to order in minute lots the same experience. In its latest phase, starting-as few as three suits, for example. At the same with the depression of 1921, the tendency hastime tests made in three large retail establish- been toward decentralization. Especially for thements showed that the customer does not re- production of garments whose manufacture isquire much variety; in one case 11 out of 31 suit relatively simple shops have been organized in models accounted for 78.25 percent of the sales; districts which constitute the hinterland of met-in a second, 9 out of 2z models accounted for ropolitan centers in New Jersey, Connecticut,94 percent of the sales; and in a third, 11 out of Pennsylvania, Michigan and Illinois, and in some43 models accounted for 94 percent. sections of the south such shops now constitute The custom trade in the United States, which a fairly considerable industry. Started with ais now largely confined to the more expensive nucleus of skilled labor from the cities, theseitems of clothing and probably employs less than shops give employment to rural labor, as in thefifteen thousand workers, has had to meet com- agricultural sections of Wisconsin, or to thepetition from three sources: the ready made women members of impoverished wage earners'trade, the "special order" factories doing custom families, as in the mining towns of Pennsylvania. work of a rather cheap grade and the "team" 58o Encyclopaedia of theSocial Sciences system in factories, a result of theefficiency mechanized factory work.Working conditions movement. The relative unattractivenessand in the handicraft and difficulty of the work have led outworkers' divisions of to a decline in thethe industry, however, number of apprentices,as in Great Britain; and are still far from satis- factory. Unionization hasprogressed slowly; in the custom industry maintains itselfchiefly in New York City, although 1928 only to percent of theinsured workers in even there it is ofthe clothing trades decreasing importance. were unionized. The two leading unions in the men'strade are the Amal- The rapid expansion of the marketin the nine- teenth century led to extreme gamated Society of Tailorsand Tailoresses,a competition, andconservative craft union which the technical possibility of smallscale manufac- numbered in 1926 only 13,000 members,and the Tailors' and turing retarded factory organization;hence it is Garment Workers' TradeUnion, whose policy not surprising that working conditions andwages has been influenced byCommunist leaders and were ill regulated. Security of the jobwas un- which has amalgamated withmany of the small known throughout the industry.Wages wereunions, reaching extremely low, and through the a membership in 1926 of about practise of em-50,000. The custom tailors, whose ploying apprentices and learnersa substantial strongest nu- cleus of organization is in theWest End of Lon- portion of the workers would receivefor a time either no pay at all don, have recently arrangedto join the Amal- or only a few dollars pergamated Society, and week. In addition the workers a larger group of garment were quite gen-workers is affiliated with the erally required to buyor rent their machines, Shop Assistants' Union and the National Union ofGeneral Work- supply their own tools andpay a variety of fines, ers. The women's dress and cloak industryis which frequently exhausted theirmeager earn- marked by weak unionizationand lower wages ings. By the terms of the tasksystem, whereby than those prevalent in the men'strade; so too an employee would receive his fixed weeklywageis the shirt, collar and pajama only upon the completion of branch of the a specified quota ofindustry, which has lost in large work, the majority of the clothing workers measure its were formerly active export trade.Employers' asso- required to work seven daysa week, and in the ciations exist in the men's retail andwholesale busy seasons custom tailors frequentlyworked trades but are weakly organized in otherbranches as long as twenty hours a day. of the industry. They By the last decade of the nineteenth are interested less in rela- centurytions with the unions than inproduction and public attention was focused particularlyon themarket problems; the Master Tailors' sweatshop evils in the manufacture of clothing. Associa- tion, composed of Jewishsubcontractors, is the The Australian Factory and WorkshopsAct of only group primarily concerned withwages and 1896 and the New Zealand CompulsoryArbitra-prices. tion Act of 1894 marked the establishmentof The most rapid improvement in theworking minimum wage machinery which appliedto theconditions of the French garment clothing trade as well as to other sweated employees has trades.occurred since the World War, although In England agitation over the low by 1906 wages, irregu-inspection of health and safetyconditions had lar employment, long hours and unsanitarycon-been established for both factory ditions of the garment trades began in the and home eight-work, and by 1914 night work hadbeen com- ies with the spread of the outworkersystem. Inpletely suppressed. In 1915 the 1909 the first Trade Boards Act Homework Act was passed,established a minimum wage for home establishing control over industries work by where un-women in ready made clothing and its auxilia- usually low wages prevailed, anda board for theries; and at the present time similar wholesale tailoring industry provisions was the first to beare made for men. A placement service has also set up. After 1918, when the jurisdiction of thebeen functioning since 1915. In general,how- trade boards was extended to industrieswithout effective machinery for collective ever, the widespread existence of home work bargaining, alland small shops in France has made theindustry branches of the garment tradescame under trade board control and a marked not only difficult to control from the social point improvement inof view but also difficult to unionize.The Fédé- wages and factory conditions anda decline inration des Ouvriers de l'Habillement, the number of home workers affiliated resulted. Thewith the Confédération Générale du Aliens Immigration Restriction Act Travail, of 1911 pro- had 26,000 members in1919 and the "free syndi- duced a shortage of labor which alsocontributed to the rise in wage rates and the cates," which represent conservativeemployees' extension ofgroups, claimed 18,000 members; nevertheless, Garment Industries 581 the great majority of the French garment workerslation. In so far as the public was concerned with are outside the unions. The handicraft workers,the plight of the clothing worker it engaged in with their low incomes and irregular employ-agitation against the unsanitary conditions pre- ment, are difficult to organize and in Francevailing in the contract shops and homes of the the unions have not only encouraged the cus- tenement house workers, hoping to create effec- tom trade by supporting trade schools but havetive demand for the reform and control of the preserved a prejudice against woman membersindustry by arousing the fear of the consumer. which has militated against effective unioniza-On the other hand, the extent and achievements tion of the women's clothing trade in particular. of unionization in the United States are striking. There are no national employers' organizations,For generations the garment industries have and the employers have consistently opposedbeen the scene of an uninterrupted struggle for union recognition. But some gains have been the organization of a labor movement. The first made for the garment workers through the ac- signs of permanent organization appeared in the tivities of the unions. Since 1919 the Parisianeighties under the contagious influence of the workers on men's and women's clothing haveKnights of Labor. By the beginning of the next had the forty- eight -hour week, and since the war decade the United Garment Workers and the there have been rapid increases in wages follow-United Hatters had been organized in the men's ing successful strikes. The free syndicates haveclothing, fur and felt hat industries. By the use also organized the home workers to some extent,of the union label the United Garment Workers although at the same time the Fédération desgradually gained control over the shops produc- Ouvriers de l'Habillement has been voicing op- ing work clothing. By vigorous campaigns of position to home work. After the war the syndi-boycotting the hatters' union penetrated the large cates were the activating force in the establish-factories of the country until 1915, when it was ment of family allowances, widows' pensionsdealt a blow from which it has not yet recovered, and other measures which protected the womanby the decision of the United States Supreme garment worker. Court in the famous Danbury Hatters' Case that In Germany the clothing factories have beenits boycotts were illegal under the Sherman Act subject to inspection as to sanitary conditionsand that individual union members were finan- and safety since 1901, and as elsewhere the at- cially liable for damages and costs resulting from tempts to evade the factory laws have encouraged the boycotts. the persistence of home work. An attempt to The most familiar unions in the garment in- stamp out home work was made after the war,dustries, however, had a different origin and and the Home Work Act of 1923 created tradepursued a novel course. Their foundations were committees to give advice on wages, hours andbuilt by young immigrants from Europe, par- sanitary conditions with the expectation that theticularly from Russia and Poland, who settled committees would make use of collective agree- in the metropolitan cities of America from the ments as far as possible; but since these areeighties onward. These men and women, im- not adequate there is still no satisfactory arrange- pregnated with the doctrines of revolutionary ment for fixing wages for home work. Wheresocialism, began the organization of the machin- collective agreements with the employers' asso- ery of mass education and solidarity which is ciations exist, piece rates are general (with theessential to the creation of mass movements. The exception of the ladies' tailoring trade) and theearliest of these was the fraternal and beneficial ten -hour day has been won. The German cloth-organization of Jewish working men, the United ing trade, over half of whose workers are women, Hebrew Trades, which throughout the following is at present the only industry in which womendecades became the source of propagation of receive the same wages as men; and it can belabor ideas and organization campaigns. A Yid- said that where unionization exists the women dish daily newspaper, the Forward, was founded are organized in proportion to their participationin 1897 and wielded a powerful influence in the in the occupation. In 1927 the union member-rise of many of the unions in the needle trades. ship reached a total of 95,000, but the persist- The earliest of the great national organizations ence of small shops and home work makes thein the clothing industries was the International German clothing industries among the moreLadies' Garment Workers' Union organized in difficult to organize. 1900. For the first decade it struggled, like its In the United States there has been little pro-predecessors, for mere existence. After tremen- tection of the garment worker by public regu-dous strikes in the dress, waist and cloak indus- 582 Encyclopaedia of theSocial Sciences tries of New York City, however, a Protocol ofJourneymen Tailors' Union, Peace was signed inSeptember, 1910, and the whose membership union was established. In has been cut in half since1920 because of compe- the remainingyearstition from other branches of the decade the unionspread rapidly to Chi- of the industry andthe economic depression, thequestion of merging cago, Boston and Cleveland, to theprincipalwith the Amalgamated centers of Canada and to the other has frequently arisen. branches ofThe membership of the industry. By 1920 it hadachieved substantial the Communist Needle Trade Workers' IndustrialUnion is difficult control over the industry; itsmembership, how- to ever, has since been cut from estimate; during the factionalstruggles of which 105,400 in 1920it was a product it to 32,300 in 1929 as a result ofbusiness condi- drew many members from tions in the trade and factional the International Ladies'Garment Workers' and struggles withinFur Workers' unions. the union. Composed ofthe same classes of workers living in much the With the advent of theunions recruited from same communities,the new immigration the the strong national unions of period of struggle for the cap makers andthe right to organize the furriers likewiserose to power in this period; was largely ended, and the the former union industry and its organizedworkers entered the was practically Too percentphase of constructive organized in 1930 and thelatter in spite of experiments in industrial depression in the trade and control. The "new unionism"developed, rep- factional splits in-resenting a sharp divergence cluded about 8o percent of the from the prevailing fur workers. policies and practises of the The uprisings in the women'sclothing indus- typical American try were not without repercussions labor organization. Aimswere not defined as "a in the otherfair day's work for needle trades. The periodic a fair wage," but involved strikes called andplans for the fundamental managed by the United Garment reorganization of the Workers did industry, many of which have not bring permanent organization inthe men's on occasion been clothing shops. But in put into practise. In the choiceof weapons for 1910 a city wide strikethe advance of the labor broke out in Chicago. A bitter movement the needle fight lasting fortrades' unions havenot hesitated to join the many months soon settled down intoa struggleranks of radical political between Hart, Schaffner and parties, from the So- Marx, the largestcialist and Communist parties clothing manufacturing to the Conference company in the country,for Progressive Political and its employees. In1911 the strike ended with Action in 1924. By opening their doors, withrare exceptions, to all an agreement recognizing the union andestab-applicants for membership lishing a scheme of arbitration of regardless of skill, future disputes.race, color or sex they have challenged This settlement marked thebeginning not only the old of a campaign to organize the belief that women, workers ofdiverse nationali- whole of the men'sties and those of different crafts clothing industry but also of the cannot be per- conflict betweenmanently organized. Probably the Jewish, Italian andeastern European immi- more than one half of the organizedwoman labor of the country grant membership of that organizationand its is to be found in thegarment workers' unions. native leaders. The revoltinggroups, who were refused seats at the Garment These organizations have carriedon pioneer ex- Workers' conven-periments in the United States tion in 1914 and whoserequest for recognition with workers' was denied by the American Federation of education; their press has beendistinguished by La-a type of discussion of current economic, bor, formed early in1915 the independent union social known as the Amalgamated Clothing and political issues that couldnot fail to affect Workers.profoundly the outlook of theirmembers. Within four years the Amalgamated,assisted partly by the favorable economic The strength of the clothingunions, however, conditions ans-rests finally on the comprehensive ing out of the war, had organizedthe majority industrial policy which they have appliedto the problems of the leading clothing factoriesof the country of the clothing workers. Theold autocratic man- and had established localorganizations through- out the United States and Canada, agement of the shop has ina large part of the reaching aindustry entirely disappeared. membership of about150,000 in 1927. The Early in the his- tory of the organization theprinciple of the United Garment Workers, whichwas .reduced preferential shop, whereby vacanciesmust be to 47,500 members in 1930, retainedjurisdiction filled by union members unlessthere are none over employees in work clothing andraincoatavailable or willing, factories, where ownership of the was won. Discharge and union labeleven the most petty questions of discipline constitutes its chiefsource of strength. In the are no longer functions of themanagement alone; the Garment Industries 583 practise of reorganizing the shop in eachslackto which all the garmenttrades are subject. incomes of all period and discharging employees withwhomSince 1914 the rise in the money the management is displeased hasbeen broughtemployees in the industry has been much more living, but under rigid control. By protectionagainst dis-rapid than the increase in the cost of charge and by the provision that inslack seasons in the most important parts of the industry earn- since 1923. the work must be apportioned amongall workers, ings appear to have been decreasing TheThe range of wages, however, varieswidely as security of the job is practically guaranteed. and many attempts ofthe employers since 192o tobetween the union and the non -union shops retrieve the right of reorganizingtheir shopsamounts in some cases to as much as 25 percent. have not been successful, although an agreementWhere the union is strong the prevailing rates with the union in 1928 granted thecloak andof wages are among the highest in the country, in which suit manufacturers some concessionsin thisand it is possible to find many shops average earnings forboth men and women, regard. between The rise of the factory, the mountingproduc-skilled, semiskilled and unskilled, are union policy$.8o and $1.00 an hour. Such earnings arefar tivity of labor and the progressive trades have been reflected in strikingimprovements in above the wages which prevailed in these the working conditions and earningsafforded bybefore the war. Annual incomes, nevertheless, the industry. While there are stillviolations ofeverywhere remain low. In 1929 the average the rules of the industry, prevailinghours ofannual earnings of women's clothing workers work since the war have been less thanfifty awere $1309, of the men'sclothing workers $1184 branches, and of the shirt makers only $723. week and the two most important in men's and women's clothing, were in 193o op- The most difficult problem for the unions erating on a forty -four and forty -hourweekall the needle trades is the policing of non-union respectively. Except for the small shops thatshops, or, as it is described in the industry,the persist in New York City and to a lesser extentcontrol of the "bundle." This problem, implicit is a in other large American cities the sanitary con-in the character of the clothing business, perennial one and since the drop in pricesin ditions in the modern clothing industries com- been made by the pare favorably with the mostadvanced plants of192o constant efforts have before other industries. industry to revert to conditions prevailing Wages and methods of wage paymenthaveunionization. For the regulation of these condi- been equally revolutionized. It is probably notions the unions have resorted to anelaborate exaggeration to say that wage rates in theunion-machinery of control involving the registration ized shops of the men's and women'sclothingof contractors, specifying the legal size of a con- and fur industries were 30o percent greaterintract shop, the conditions underwhich a con- 1923 than in 1914. The task systemhas beentractor may accept work and thelike; but the completely abolished. Wages, whether piece orlong struggle for the protection of union stand- week, are everywhere fixed jointly byunion and ards is not yet ended. by management. In fact, the extentof control over The problems arising from joint control wages has in more than oneinstance imposedunion and management have created many sys- responsibility for assumingtems of industrial arbitrationin the garment upon the union the the similar control over the production of itsindi-industries in the last twenty years. Both vidual members. Under the stress of stiff com-Protocol of Peace in the cloak industry andthe made pro- petition and adverse economic conditionsunionHart, Schaffner and Marx agreement disputes. manufacturers have constantly sought relieffromvision for the arbitration of industrial the prac- what they regarded as excessive labor costsbyFrom these slender beginnings in 1910 demanding either piecework or a substantialtise of arbitration as a continuousfunction has clothing the become general in the organized sectionsof the increase in production. In men's had its union has met this problem byaccepting theindustry. Under this system, which has practise of piecework, but in the women's gar-most complete development inthe men's cloth- meet theing industry, there has been set up adetailed ment industry, where an attempt to decisions, difficulty was made by the use ofproductioncode of industrial law and judicial of seriousconstituting in substance the rulesand regula- standards, the matter is still a subject relations in the difference of opinion. tions for the conduct of labor confusedindustry. The record of wages and earnings is fre- by seasonal and otherwise irregularemployment, Since bad years occur with appalling 584 Encyclopaedia of the Social Sciences quency, the problem of unemployment has occu- the Amalgamated has entirely changed theas- pied a place of prime importance in the programspect of collective bargaining by making tempo- of the unions in the needle trades. Even in very rary loans to union employers in order to keep good business years the average clothing workerits members in employment and by setting up will rarely work more than forty -five weeks, andshops of its own under the management of the neither the rule of division of work nor theunion, on one occasion to procure employment steady reduction in hours has solved the diffi-for striking members of the union and on two culties of a year broken by long spells of idleness.others to prolong the lives of businesses that Soon after the war the unions began to experi-were on the verge of liquidation. ment with unemployment insurance, not in the In 1930 the garment workers' unions were form of traditional trade union benefit funds butagain beset by old problems. Ten years of unin- as industrial insurance funds set up by agree-terrupted competition for the consumer's dollar ment between the industry and the union. Theagainst the lure of the automobile, the radio and first, based on a Ladies' Garment Workers' plan,the products of the electrical industry left the was organized in the cloak and suit industry ofproducers of clothes ill prepared to face a long Cleveland in 1921. It combined a guaranty ofand deep depression. The unions themselves employment (set at 40 weeks in 1929) with pro-have seen much of their strength sapped in the visions for the payment of unemployment bene- internal battles fought by adherents of the So- fits equal to one half the worker's wage. Thecialist and Communist parties. This latest phase fund is established by the employer and is not to of their history, however, they entered with exceed 75 percent of the pay roll. Over $175,000 experience and resources which were not pos- has been paid in benefits to the Cleveland work-sessed by any of their predecessors in the cycle ers since 1921. This plan was followed by theof attempts to organize the garment trades. agreement between the Amalgamated Clothing LEO WOLMAN Workers and the Chicago manufacturers which See: SEASONAL FLUCTUATIONS; FASHION; HOME WORK, in 1923 created an insurance fund to which both INDUSTRIAL; INDUSTRIAL HYGIENE; TRADE UNIONS; workers and employers contribute. Over $5,000; LEFT WING MOVEMENTS, LABOR; TRADE AGREEMENTS; 000 has been paid in benefits under this plan, LABOR -CAPITAL COOPERATION; UNION LABEL; LABOR which was adopted in 1928 in New York City BANKING. Consult: FOR GREAT BRITAIN: Great Britain, House of and Rochester. In the same period the Ladies'Lords, Select Committee on the Sweating System, Garment Workers' Union introduced the plan "Reports" in Session Papers, vols. xx -xxi (1888), and in New York and the cap makers' union created vols. xiii -xiv (1889); Galton, F. W., Select Documents unemployment funds throughout their industry. Illustrating the History of Trade Unionism: the Tailor- These various arrangements have suffered from ing Trade (London 1896); Booth, Charles, Life and Labour of the People in London, 17 vols. (London the vicissitudes of all such experiments and the 5903) vol. iv; Meyer, A. L., and Black, Clementina, plan of the Ladies' Garment Workers in NewMakers of Our Clothes (London 1909); Tawney, York has been temporarily suspended, but theirR. H., The Establishment of Minimum Rates in the adoption should be regarded as another signifi- Tailoring Industry under the Trade Boards Act of zgog (London 1915); Seasonal Trades, ed. by Sidney Webb cant step in the attempt of the clothing workers and Arnold Freeman (London 1912) ch. ii; Dobbs, to solve their industrial problems through the S. P., The Clothing Workers of Great Britain (London power of their own organization. 1928). Other activities of these unions, far afield from FOR GERMANY: Bernstein, Eduard, Die Schneider- the customary preoccupations of organized la-bewegung in Deutschland (Berlin1913); Wolkiser, A. W., Die deutsche Damen- und Mädchenbekleidungs - bor, have been substantial gifts to Russia andindustrie (Berlin 1915); Wittkowski, Erwin, Die Ber- investment of capital in Russian industry by theliner Damenkonfektion (Leipsic 1928); Nussbaum, Ar- Amalgamated Clothing Workers in sympathy tur, Standortstypen der deutschen Herrenkonfektions - with the Russian Revolution, and the organiza- industrie (Weiden 1927); Fritzsche, Wera, Die kollek- tive Lohnregelung in der Herrenkonfektion (Düsseldorf tion of two banks in Chicago and New York 1928); Cohen, Herbert, Heimarbeit und Heimarbeiter- which were pioneers in the development of the bewegung in der deutschen Herrenkonfektion (Hamburg small personal loan department and the lending1926); Marcus, Benno, "Die deutsche Bekleidungs- of assistance to various cooperative enterprises.industrie, ihre Produktion und ihr Export" in Wirt - The cooperative apartments built and managed schaf isJahrbuch für Industrie und Handel des Deutschen Reichs, vol.i (5928-29) 711 -28; Schmidt, Erhard, by the Amalgamated in New York City were Fabrikbetrieb und Heimarbeit in der deutschen Konfek- among the first and most successful experiments tionsindustrie, Tübinger staatswissenschaftliche Ab- in cooperative housing in the city. Since 1924handlungen, vol. xxiii (Stuttgart 1912); Mauer, Bern- Garment Industries - Gamier 585 hard, Die deutsche Herrenkonfektion, Heimarbeitund 6th ed. by Hector Garneau, z vols., Paris 192o; Verlag in der Neuzeit, vol. ii (Jena 1922);Ausschuss tr. by A. Bell, z vols., 3rd ed.Montreal 1866), zur Untersuchung derErzeugungs- und Absatzbe- which introduced the scientific method into dingungen der deutschen Wirtschaft, Unterausschuss Canadian historiography. He was the firstin iii, Arbeitsgruppe 9, Einzelhandel mit Bekleidung, Verhandlungen und Berichte, vol. ix (Berlin1930). Canada to regard history as "a rigorously FOR FRANCE: Aftalion, Albert, Le développementet analytic science," requiring a "severe criticism" le travail à domicile dans les industries del'habillement of events and documents and obligatingthe (Paris 1906); Willoughby, Gertrude, Lasituation des historian to be well informed, independentand (Paris ouvrières du vêtement en France et en Angleterre hisdoctrine Garneau Igz6); Renard -Morizot, L'industrie de la confection enaccurate.Faithfulto France et des objets confectionnés (Paris 1928);Bou- employs whenever possible original sources, chard, Georges, Le minimum de salaire dansl'industrie orders his narrative methodically and is, if not du vêtement (Saint -Lo 1921); France,Direction du always impersonal, invariably impartial. Al- Travail, Enquête sur le travail à domicile dans l'indus- and though he occasionally lacks historical per- trie de la lingerie, 5 vols. (Paris 1907 -11) vol. v, fields La petite industrie (salaires et durée du travail), zvols. spective and leaves almost untouched the (Paris 1893 -96) vol.ii;Letellier, G., "Le travailof administration, religion and economicshe féminin à Paris, avant et depuis la guerre, dans les has produced a work which has survived the industries de vêtement" in France, Ministère du Tra- test of new research and documentation.His vail ... et de la Prévoyance Sociale, Bulletin,vols. style, while lacking color and movement, is im- xxxii -xxxvi (1925 -29). FOR THE UNITED STATES: Tryon, R. M., Household pressive and dignified. Manufactures in the United States, 1640 -186o (Chi- Conceived shortly after the punitive Act of cago 1917); Pope, J. E., The ClothingIndustry in New Union of 1840 as a manifesto of the French York (Columbia, Mo. 5905); Stowell, Charles Jacob, Canadian tradition and rights Garneau's history The Journeymen Tailors' Union of America (Urbana, Ill. 5958); Budish, J. M., and Soule, George, The New revitalized nationalist pride and aspirations. Unionism in the Clothing Industry (New York 1920); Generations of French Canadians have been Wolman, Leo, and others, The Clothing Workers of inspired by his story of a glorious past -basis of Chicago, 1910-1922 (Chicago 5922); "Wages and an inevitable survival. His doctrinethat French Hours of Labor in the Men's Clothing Industry, Canadian destiny was bound to "the conserva- 1911- 1928" in United States, Bureauof Labor Sta- tistics, Bulletin, no. 503 (5929); Stewart, Bryce M,, tion of our religion, our language and our laws" and others, Unemployment Benefits in the United States became a leitmotif among Quebec historians (New York 1930) pt. ii, sect. ii; Cleveland Garment and from it sprang a school of nationalist litera- Manufacturers' Association, A Report on the Produc- ture deep and far reaching in its influenceand tion Standards Situation in the Ladies' Garment In- firmly establishing Garneau's reputation as the dustry of Cleveland (typewritten, Cleveland 1925); Taylor, G. W., Significant Post -war Changes in the national historian of French Canada. Full-fashioned Hosiery Industry, University of Penn- GUSTAVE LANCTOT sylvania, Wharton School of Finance and Commerce, Consult: François Xavier Garneau, ed. by Gustave Industrial Research Department, Research Studies, Lanctot (Toronto 1924); Casgrain, H. R., Un con- E., Organiza- no. iv (Philadelphia 1929); Popkin, M. temporain, F. X. Garneau (Quebec 1866); Chauveau, tion, Management and Technology in the Manufacture P. J. O., François- Xavier Garneau, sa vie et ses oeuvres of Men's Clothing (New York 1929); Dameron, K., (Montreal 1883); Beaudé, Henri (Henri d'Arles), Nos Men's Wear Merchandising (New York 193o); New historiens (Montreal 1921) p. 83 -123. York State, Department of Labor, "Homework in the Men's Clothing Industry in New York and Roches- ter," Special Bulletin, no. cxlvii (Albany 1926); Lorwin, GARNIER, GERMAIN (1754- 1821), French L. L. (Louis Levine), The Women's Garment Workerseconomist. As a politician Gamier was remark- (New York 5924), with bibliography on women'sable for flexibility. In the early stages of the clothing trade; New York State, Governor's Advisory revolution he won the confidence of Louis xvi Commission, Cloak, Suit and Skirt Industry, New York City, Report of an Investigation (New York and escaped the disfavor of the advanced revo- 1925); Amalgamated Clothing Workers of America,lutionaries by sojourning in Switzerland between Advance, published weekly in New York since 1917. August ro, 1792, and 1795; after the 18th Bru- maire he adhered to the Napoleonic regime, GARNEAU, FRANÇOIS XAVIER (1809 -66),under which he became president of the Senate Canadian historian. Of humble birth, Garneaubetween 1809 and 1811 and was made a count; educated himself to be a public notary. Later inin 1814 he voted for the deposition of Napoleon life he became a civil servant and in 1844 clerk ofand was rewarded by the Restoration with a post the municipal council of Quebec. in the Council of State and the title of marquis. Garneau's reputation as a historian rests uponGamier's principal importance in economics his Histoire du Canada (3 vols., Quebec 1845-48,arises from his having produced the first corn- 586 Encyclopaedia ofthe SocialSciences petent French translationof Adam Smith's Wealth of Nations (5 at Paris, and was alsoa lecturer in the Athénée. vols., Paris 18oz).PartlyIn 1842 he founded, because of his innate flairfor conciliating with other economists,the oppo- Société d'Économie sites, partly becauseof the ambiguityof the Politique. Havingwon rec- Wealth of Nations itself, ognition in 1846 by thepublication of his Élé- Gamier was abletoments de l'économie politique subscribe to the work ofSmith without aban- (3rd ed. Paris 1856), doning the ideas of he was chosen thefollowing year to inaugurate Quesnay. His predominantthe chair of political point of view is containedin a lengthy note economy at the École Na- pended to the fifth ap- tionale des Ponts volume (p. 290 -315)and et Chaussées and occupied entitled "Des pouvoirs similar chairs at several législatif et judiciaireet other institutions in de leurs rapports Paris. He also becameeditor in chief of the avec la propriété." In thisnote,Journal des économistes which constitutes in 1845, a post whichhe a synthesis of ideas andargu-retained with ments presented by Gamierin a number of some interruptions until his death. works and pamphlets Gamier played ranging in time from1792 an important part in the French to 1818, he adheres as well as in the internationalpeace movement. to the remnants of physioc-In 1873 he became racy in Smith's treatise ratherthan to its em- a member of the Institut de bryonic industrialism. The France. Gamierwas an exponent of classical intrinsic value of theeconomics; his doctrine ideas contained in thenote is that they represent constitutes a mean be- the translation into tween the extreme liberaldoctrine of de Moli- political terms of thephysio-nari and Yves Guyot cratic exaltation ofagriculture. Gamier insists and the less aggressive that by virtue of their liberalism of J. A. Blanquiand Dunoyer. Gar- monopoly of thesourcesnier was encouraged of sustenance the landed by Blanqui to compileand classes are the realcon-edit the latter's Cours trollers of the realm; d'économie industrielle (3 that the fixity oftheirvols., Paris 1837-38), investments makes themin contrast with the and Dunoyer ina report mobile industrial class to the Académie desSciences Morales et Poli- the only responsiblere-tiques praised his positories of power; andthat for the general orthodoxy. Gamier lacked good their predominance originality and instead ofadapting the classical should be recognizedtheory to his by the constitution.Since Garnier's interpre- own times rigidly adheredto the principles elaborated by tation stimulated thedevelopment of an opposite men like Turgot, Smith school of economic thinkers, and Say for theirs.He edited and annotated men like RoedererMalthus' essay and J.B. Say, who ignoredthe agrarian on population (Paris 1845; 2nd tendencies of Smith's treatise ed. 1852) for the wellknown series, the Collec- and derived fromtion des principaux it the elements ofa science appropriate to the économistes. He used the pessimistic conclusions of regime of the industrial class,he had consider- the Malthusian doc- able indirect influence trine in his oppositionto the reforms proposed upon the beginnings ofby the socialists. French classical economics.Among his few original contributions themost important isa ERNEST TEILHAC timidly asserted theory ofimmaterial products,Consult: Renaudin, E., inNouveau dictionnaire d'éco- later to be developed bySay, Destutt de Tracy nomie politique, vol. i (Paris5890 p. ío97 -98, with and Dunoyer. bibliography; Mischler, E.,in Statistische Monat- schrift, vol. vii (1881) 56o -63. ERNEST TEILHAC Other works: De la propriété dans ses rapportsavec le GARRETSON, AUSTIN droit politique (Paris 1792);Abrégé élémentaire des prin- BRUCE (1856- cipes de l'économie politique(Paris 1796); Théorie des 1931), American tradeunion leader. Garretson banques d'escompte (Paris1806); Appel á tous les was the son of a Quaker lawyer. priétaires en Europe (Paris pro- After a brief 1818); Histoire de lamon- apprenticeship to a wheelwrighthe took to rail- naie depuis les temps de laplus haute antiquité jusqu'au roading at an early règne de Charlemagne,2 vols. (Paris 1819). age. Shortly after his initia- Consult: Allix, E., "L'oeuvre tion into the Order ofRailway Conductors in économique de Germain1884 he became Gamier," and "La rivalitéentre la propriété foncière prominent in its nationalor- et la fortune mobilière sous la révolution" in Revue ganization and in 1889 leftactive railroadingto d'histoire économique et sociale, vol. v (5912)317 -42, assume the office of assistantgrand chief. In and vol. vi (1913)297 -348. 1906 he became grand chief (the titlewas GARNIER, JOSEPH CLÉMENT changed to that of presidentin 1907), an office (1813 -81),which he held until French economist.Gamier studied andlater 1919. He remained with taught in the École the organization inan advisory capacity until Supérieure de Commercehis death. Gamier-Gary 587 During his thirty years of office Garretsonfreedmen and a small, aggressive group of exerted a powerful influence in the general laborenthusiasts with his resounding words of exe- movement as well as in his own organization,cration. Although the dramatic quality of his which he helped to convert from a benevolentagitation has tended to overemphasize at the brotherhood into a protective union. He servedexpense of more fundamental economicfactors actively as a member of President Wilson'shis influence in the ultimate overthrow of Federal Commission on Industrial Relationsslavery, he did succeed in forcing discussion from 1912 to 1915. He was chosen as chiefwhich many sections of society, especially in spokesman for the four transportation brother-eastern commercial circles, considered out of hoods in their espousal of the eight -hour move-deference for the southern market impolitic. ment which culminated in the passage of theHis uncompromising emphasis upon the moral Adamson Act of 1916 whereby a national strike evil and degradation inherent in the institution was averted. In negotiations, debates and hear-of slavery and his continued strictures upon ings before congressional committees he dis-various political leaders and groups tended more played keen wit and shrewd logic and an amaz- and more to isolate his radical followers from ing knowledge of history, religion and philoso-the main body of the antislavery movement. His phy as the product of self- education. He was a distrust of the government because of its attitude potent force in the progressive development oftoward slavery caused him to formulate doc- railway labor organization and an energetic sup-trines which in their constitutional aspects porter of the Plumb plan for the control andpartook of the anti -authoritarianism and anti - operation of the railroads. unionism prevalent in certain quarters. He DONALD R. RICHBERG stigmatized the constitution as "a covenant with Consult: United States Congress, Senate, Committee Death and an agreement with Hell," and under on Interstate Commerce, Threatened Strike of Railway his extremist leadership the great majority of the Employees, 64th Cong., ist sess., Senate Document abolitionistparty repudiated a union with no. 549 (1916) p. 24 -42, 148 -57; Garretson, A. B., slaveholders. The continued attempts of politi- "The Attitude of Organized Labor toward the Cana- dian Industrial Disputes Investigation Act," andcians to dodge the slavery issue were frustrated "The Attitude of the Railroad Brotherhoods toward by the passage of the Kansas -Nebraska Act in Hours and Wages" in American Academy of Political 1854, which reopened the question as to the and Social Science, Annals, vol. lxix (1917) 170 -72,extension of slavery into the territories and and 265 -67; Robbins, E. C., Railway Conductors: a precipitated the problem into national politics. Study inOrganized Labor, Columbia University, Studies in History, Economics and Public Law, vol. Garrison's insistence on placing the abolition lxi, no. i (New York 1914). of slavery before the preservation of the union put him in a dilemma at the outset of the Civil GARRISON, WILLIAM LLOYD (18o5-'9),War, but with the Emancipation Proclamation American reformer and abolitionist leader. Dis-he urged support of Lincoln 's administration. satisfied with the tepid humanitarianism of the E. PENDLETON HERRING time Garrison challenged public attention by Works: Selections from the Writings and Speeches of his vigorous demand for the immediate and William Lloyd Garrison (Boston 1852); The Words of complete emancipation of the slaves. The agita- Garrison: a Centennial Selection, 1805 -1905 (Boston tion was carried on through the activities of the 5905). American Anti -Slavery Society, which he helpedConsult: William Lloyd Garrison, 1805 -1879; the Story of His Life Told by His Children, 4 vols. (New organize in 1833, and through the pages of hisYork 5885-89); Johnson, O., William Lloyd Garrison newspaper, the Liberator (1831 -65). Garrisonand His Times; or,Sketches of the Anti - Slavery was a skilful journalist with a polemic stylewell Movement .(new ed. Boston 1881); Swift, L., adapted to the current standards of editorial William Lloyd Garrison (Philadelphia 1911), with writing. The virulent tone of his paper, whichbibliography p. 387 -90; Villard, O. G., "William Lloyd Garrison, Editor ... " in his Some Newspapers provoked rabid denunciation in the south andand Newspaper -men (new ed. New York 5926) ch. tended to prejudice even moderate antislaveryxviii; Parrington, V. L., Main Currents in American opinion in the north, was not conducive to Thought, 3 vols. (New York 5927-30) vol. ii, p. 352- commercial success. Yet the Liberator, quoted61. and widely commented upon, exerted an influ- ence far beyond its limited list ofsubscribers inGARY, ELBERT HENRY (1846 -1927), Amer- aligning opinion and clarifying issues. Garrisonican corporation lawyer and executive. Gary was struck at slavery from the outside, rallyingfor twenty -five years counsel for large corpora- 588 Encyclopaedia of the Social Sciences tions, in many of which he served as director,the annual reports of the corporation he intro- and participated in several important consolida- duced greater publicity regarding corporate af- tions in the iron and steel industry. These con-fairs than had hitherto been prevalent. He must solidations culminated in the organization of the be credited with an important share in thecrea- gigantic United States Steel Corporation intion of the current attitude of tolerance toward 1901, a combination arising directly out of in-industrial combinations in contrast with theear- creasingly turbulent competition. J. Pierpontlier hostility of the public and government. Morgan, the financier of the combination, made MEREDITH GIVENS Gary chairman of the board of directors with Consult: Tarbell, Ida M., The Life of Elbert H. Gary very wide powers. (New York 1925); Cotter, Arundel, The Gary I Knew Gary realized that the prevalent practises of(Boston 5928); Robinson, Maurice H., "The Gary large combinations were dangerous to the se- Dinner System" in Southwestern Political and Social curity of large scale enterprise. Competition hadScience Quarterly, vol. vii (1926) 137 -61; Pringle, Henry F., "Vox Mazuma" in American Mercury, vol. to be eliminated but combinations had to be x (1927) 434 -41; "Mr. Gary and His Times," in Na- "good." To avoid the charge of monopoly the tion, vol. cxxv (1927) 221. United States Steel Corporation confined its direct control to less than half of the producingGAS INDUSTRY. The gas industry of the capacity of the industry. Gary openly preachedUnited States is essentially a public utility busi- cooperation in the industry: by means of the ness supplying fuel gas for industrial, commer- famous "Gary dinners" between 1906 and 1909cial and household uses. It includes a few publicly and the American Iron and Steel Institute, ofowned and operated municipal plants, but in which he was president from its organization in1927 the value of their output was only $7,428; 1910 until his death, he fashioned machinery for 000 as compared with $509,000,000 in the case the limitation of competition and the mainte- of the public utility companies producing manu- nance of prices. Uniform prices and minimum factured gas. This situation is in striking con- standards of competitive practise were acceptedtrast with that in certain European countries, by the "independents," who in turn were toler-where a very large number of gas enterprises are ated by the dominant corporation. Public oppo-publicly owned, usually by the municipalities. sition, however, did not abate. The Gary din-In England, for example, approximately three ners were abandoned under pressure and theeighths of the gas works are public enterprises, institute could not become as effective as Garyand in Germany over three quarters of the gas is might have wished. The federal government en-produced by public undertakings. The industry tered suit to dissolve the corporation but afterin other countries has a quasi -official status with more than a decade of litigation the Unitedintimate participation by the government in States Supreme Court in 1919 decided againsteither ownership or operation. In the United the government. States the gas industry is under public supervi- Gary was always an ardent advocate of thesion, usually by state commissions or boards open shop. The United States Steel Corporationwhich have authority to regulate rates, services, crushed a strike in 1901 and has since never dealt security issues and general public relations. officially with organized labor. Gary's adminis- The discovery of gas as a product which could tration developed one of the earliest schemes ofbe made by heating coal is commonly credited to employee stock ownership, which in practisevan Helmont, a sixteenth century alchemist, who was largely limited to the better paid employees,characterized the product resulting from the and an elaborate program of welfare, sanitationheating of certain solid fuels in a closed crucible and safety. Union organization was repressedas the Geist, or spirit, of the fuel. It is generally and Gary crushed the general strike of 1919. Al- believed that the word gas has been derived from though experience in the industry failed to sup-this original characterization. Gas remained a port the validity of his arguments for the econ-Geist until after the industrial revolution, when omy of the twelve -hour day, he consistently op-simultaneously in different countries intense ef- posed reduction in hours until forced to capitu-forts were made to develop the economic possi- late in 1923 in response to an avalanche of publicbilities of gas. The first practical application of opinion. gas fuel was apparently made by William Mur- Gary's distinctive contributions to industrialdock in 1792, when he used coal gas to light his organization and practise lie in the fields ofhouse and grounds in Cornwall, England. About competitive policy and public relations. Throughthe same time Philippe Lebon in Paris developed Gary-Gas Industry 589 a method of gas lighting, upon which he secured bound up with the growth of the dyeing indus- a patent. A German, F. A. Winsor, studied try and its demand for coal tars, a by- product of Lebon's ideas and tried to introduce gas lighting gas manufacture. In 1873 the successful produc- in Germany; he was unsuccessful there but went tion of water gas gave the industry a new basis to London and in 1807 illuminated Pall Mallfor expansion. The threat of electric lighting was with gas. In the United States a number of at-for a time met by again improving the quality of tempts were made to use gas for street lighting.gas light. The open flame burner gave way to Winsor was one of the promoters of the firstvarious kinds of mantles, particularly the Aus- British gas company, which was chartered intrian Welsbach mantle, which by being heated 1812, and four years later the first Americanwith a non -luminous gas flame glowed brightly company started business in Baltimore. The de-and gave more light than the bare flame. The velopment of the gas industry was the combineduse of the incandescent gas mantle, however, work of the three most industrially developedwas not general until about 1890; and the in- nations of the time. verted gas mantle, which permitted a large ex- Once its practicability had been demonstrated,tension of illuminating service, was not intro- gas lighting spread rapidly in spite of oppositionduced until about 1900. Despite these improve- which combined skepticism, prejudice and fear.ments gas, especially in the United States, was Paris adopted gas lighting for its streets in 1820unable to meet the competition of electric light; and New York in 1823. By 1823 fifty -two citiesas an illuminant gas was increasingly limited to in England were lighted with gas. In 1826 anlow income homes, and its use still survives in English company introduced gas lighting in Ber- many of the older tenements. In most European lin; a few years later a French company wascountries, however, gas and electricity are still formed to promote gas works in France and else- competitors. But while gas was superseded as an where on the continent. The use of gas in homesilluminant by electricity, gas consumption in the and factoriesalso spread rapidly -the firstUnited States increased enormously from other American factory was lighted by gas in 1813. Bysources. At the same time that gas mantles were 1859 there were nearly moo gas works in Eng- developed there was an active promotion of vari- land, where the industry was most highly de-ous types of gas cooking and heating devices, veloped; 297 companies in the United States,crude from a contemporary standpoint but for capitalized at $42,816,000 and serving 227,605 their time relatively convenient. The improve- customers; twenty -three companies in Canadament of these devices opened up a great new de- and fourteen in Latin America. The develop-mand. New uses were found for gas in indus- ment of the gas industry was bound up with thetry, as a source of power and as a factor in many general movement of economic advance, espe-industrial processes, such as smelting. In 1860 cially in England, where there was an intensivean internal combustion engine driven by gas was exploitation of the by- products of gas manufac- perfected in France, and by 1880 there was a ture- carbon, coke, coal tars, ammonia. Whereconsiderable manufacture of improved gas en- the tempo of economic advance was slower, the gines in both Europe and the United States. The gas industry was retarded; in Germany, for ex-increasing use of gas in industry and for cook- ample, only thirty -four cities were served by gasing and heating stimulated gas output, which in 1850. doubled between 1900 and 1914. The electric Despite its early crudity gas lighting provedpower industry is itself a large consumer of gas superior to candles and fish oil. For a time its fuel: in 1929 power plants used 112,707,000,000 progress was threatened by kerosene and im- cubic feet of gas, an increase of 426 percent over proved oil lamps, but the danger was overcome 1919 and equal to the total output of the gas in- by cheapening the price of gas and improving its dustry in 1901. Domestic, industrial and com- illuminating quality. The first gas burners weremercial customers of the manufactured gas in- wasteful and smoky; the German Bunsen burner, dustry increased from 4,200,000 in 1901 to invented in 1855, mixed gas with the air, pro- 12,139,000 in 1929. duced complete combustion and gave a more in- These developments were accompanied in the tense, smokeless flame. This development wasUnited States by the almost phenomenal growth paralleled by more efficient production and dis-of natural gas as a factor in the industry. For tribution, including reduction of leakage fromcenturies natural gas had been a curiosity in gas mains. After 186o the industry made tre-Europe and Asia, and "burning springs" often mendous progress; in Germany expansion wasinspired worship of gas as a fire god. Natural gas 590 Encyclopaedia ofthe SocialSciences was apparently first used for fuel or light in 1823enterprises were effected in Fredonia, New York,where the gas in the United States. was pipedElectricity was applied to supply thirty burners. Itwas not, however, most generally for light- until 1872 in Pennsylvania ing and power service;gas almost exclusively for that naturalgas washeating service collected and piped -water heating, incinerationand on a commercial scale. Themany special operations exploitation of naturalgas developed rapidly, as well as cooking and until in 1930 it supplied space heating. The gas andelectricity supply in- more than half of thedustries are dominated gas consumed in the UnitedStates, particularly by the same majorhold- for industrial ing companies, andcompetition is almost purposes, and accounted forone com- half of the $5,000,000,000 pletely eliminated. Thissituation is in striking invested in thegas contrast with that in other industry. Domesticconsumers of natural gas in- countries, where creased from 875,000 in competition betweengas and electricity is still 1906 to 5,116,000 invigorous. In Great 1929. The American natural Britain, for example,gas gas industry is du-lighting has retained plicated nowhere in the an important place, as only world either in typeorthe more modern homes in size. Ina number of European countries are wired for electricity. Hence the supply ofgas for household illumina- where petroleum is foundthere is a tendencyto develop a natural tion is an extremelyimportant part of the indus- gas industry, especially inre-try's public service. gions where other fuelsfor household Furthermore, street lighting use havewith gas still retainsthe more important been comparativelyexpensive; Bucharest, for place example, is supplied with there, while it has beenalmost completely natural gas at the low-abandoned in the United est rates in the world. Butthese developments States. The recent are still comparatively insignificant. participation of public officialsin stimulating electrical development inGreat Britain has aroused considerable TABLE I controversy and insome cases bitter political disputes GAS CONSUMPTIONIN THE UNITED STATES between those (In billions of cubic feet) groups urging a national electricalsystem and MANUFACTURED those interested in YEAR NATURAL promoting the welfare of GAS GAS existing gas enterprises, 1906 especially those publicly 123 389 owned. 1910 149 509 In the United States 5915 204 629 the competition which 1920 exists between 320 798 gas and electricity is almostcom- 1925 421 1119 pletely confined to industrial 1929 heating. In this 524 1918 field gas because of its Source: American Gas Association, much lower costper unit Manufactured Gas Industry (New YorkAnnual Statistics of the of energy supplied has Bureau of Mines, Natural Gas in 1930); United States, usually been dominant. 1929 (1931). Yet in those types of industrialheating for which The two branches of extremely close control isrequired or whereau- the industry in thetomatic operation United States, althoughformerly quite distinct, or regulation is essential elec- tricity has gainedan important foothold. The have become so intertwinedin a corporateas well as a technical more modern types of industrialheating equip- sense that no sharp economicment using gas have been distinction can be madebetween natural and so perfected that this manufactured gas. In use is growing rapidly and invadingmany areas many cases the gas sup-of activity, displacing oil plied to the public isa mixture of the natural and and coal with greatsuc- manufactured products and cess. Greater cleanliness, improvedfactory con- a large number ofditions and the tendency corporations, especially the to improve products major holdingcom-because of closer heat control panies which dominate thegas industry, have are the outstand- subsidiaries of both types. ing advantages which haveenabled gas to dis- Recently through theplace the solid and liquid interlocked interests of publicutility and petro- fuels which are often considerably cheaperper unit of energy supplied. leum enterprises in theproduction of naturalgas there has developed In 593o in the UnitedStates approximately a close relationship insometwo thirds of the manufactured parts of the industry betweenthe gas industry gas sales and ap- and the industry which proximately half the naturalgas sales of public produces, refines andutility companies markets petroleum and its were for householdpurposes, products. including in each As the competition ofgas with electricity in case a significant but notac- the illuminating field curately determinablepercentage for house heat- became less conspicuous,ing. Industrial and a large number ofmergers of gas and electric commercial sales, including sales to restaurants andhotels as wellas shops Gas Industry 591 and factories, account for the balance. There is astate authorities govern the issue of securities steady growth in the percentage of each type ofand all other financial matters, including details gas sold for industrial heating purposes, a tend-of rates charged, cost keeping systems used and ency that has not been altogether interruptedamounts which must be allotted to different re- even by the industrial depressions of 1921 and ofserves set up for retirement of securities or for 1930 -31, although total gas sales declined con-provision against various contingencies. siderably during the latter period. Use for house High capital costs in the manufactured gas in- heating has also increased in even larger percent-dustry are accompanied by comparatively low age, but the quantity so employed in 1930 waslabor costs. In 1929 wages constituted only 19 still approximately only 5 percent of the totalpercent of the "value added" by manufacturing public utility sales of manufactured gas andas compared with 36 percent for manufacturing probably not over 12 or 15 percent of the totalindustries as a whole. Although the output of sales of natural gas. manufactured gas rose from $220,238,000 in Because of the wide seasonal variation in the1914 to $507,000,000 in 1929, the number of requirements a considerable use of gas for housewage earners decreased from 43,792 to 42,853. heating offers some difficulty to the management Their average yearly earnings in 1929 were of a utility enterprise, since short season use of$1393 -slightly above the average of $1308 for equipment necessarily increases capital chargesall manufacturing industries. Labor in both the per unit. Industrial demand is, on the contrary,natural and the manufactured gas divisions of usually quite uniform throughout the year.the industry is rather highly specialized and in These differences in the utilization habits ofgeneralisafforded continuous employment various classes of customers have led the indus- with comparatively low turnover. The only try to devise important and complicated ratehighly seasonal employment is in the construc- structures, which have frequently occasionedtion work on mains and city distribution sys- controversy between gas companies and publictems, where common laborers are usually laid officials (see RATE REGULATION). To lessen theoff in slack times. As in the electric power indus- variation in household demand new uses for gastry, unionism is unimportant among gas corn- during the summer non -heating season arepany employees, although there are a few local especially encouraged. Both natural gas andunions of gas workers and sporadic attempts to manufactured gas companies have undertakenorganize. The industry carries on intensive campaigns to develop interest in the fields of"educational" work in order to "promote effi- garbage and trash incineration, refrigeration andciency and co- operation" and to "set the employ- even house cooling. Especially in the two latterees right in relation to many fallacies, rumors fields gas is intensely competitive with electric-and hostile movements." Employee ownership ity, and in a number of cases holding companiesof company securities, retirement plans ofnu- with subsidiaries of both types have had diffi-merous types, illness and accident benefits and culty in determining which source of energyemployee representation schemes are essential should be given preference. Because of the ear-elements in the relations between employee and lier development of satisfactory equipment elec-management within practically all of the public trical devices have generally attained consider-utility divisions of the industry. These condi- able advantage in this competition. tions also prevail generally in the British gas in- Typical operating companies in the manufac- dustry, where employee stock ownership was in- tured gas industry are financed through issue oftroduced by some companies as far back as 1890; long term bonds covering a third to a half ofin the United States employee stock ownership their total capitalization, with both preferredhas been a considerable factor only since the and common stocks, often of several classes.World War and is as yet inconsiderable in the Considerable capital is secured by sale of securi- gas industry. ties to customers; 245 companies in 1927 re- The manufacture of coal gas, the oldest divi- ported 684,438 customer stockholders owningsion of the industry, waned rapidly, until in 1930 considerably over $500,000,000 in shares. Be-only approximately 11 percent of the manufac- cause of the high capital cost per unit of produc- tured gas was produced with retort coal gas tive capacity the gross sales of such companiesequipment. Over 40 percent of the total send are typically about one third of the total invest-out of manufactured gas was, however, made in ment. Capital charges consume a large percent- coke ovens; two thirds of this was produced in age of the gross income. In many jurisdictionsoven plants not owned or operated by the utility 592 Encyclopaedia of the Social Sciences companies, generally belonging to metallurgical varying according to the seasonal fluctuation in enterprises such as steel or blast furnace plants.demand. This use of water gas instead of coal Such metallurgical enterprises frequently sellgas as a means of varying send out results from their "surplus" gas to public utility companiesthe fact that the capital charge per unit of ca- for city distribution, finding it more profitable topacity is much lower in water gas plants than in do this and to supply fuel gas for their own met- any coal gas system, and seasonal use results in allurgical furnace uses by cheaper means. Aless unfavorable capital cost burden on the considerable number of public utility companiesproduct. have built and are operating coke oven plants of Oil gas made by a variety of processes, princi- their own. In these cases the gas becomes thepally in Pacific coast states, played an important principal product and the coke a by- productpart in the manufactured gas industry until the which must be sold either for metallurgical pur-extension during 193o of natural gas throughout poses, as a household fuel or otherwise. This de- practically all of California. The almost com- velopment has been materially restricted becauseplete replacement of such oil gas processes by of the comparatively high value of coke as com-natural gas may be anticipated in the western pared with gas, even though the net cost of thestates. gas is very low whenever there is a favorable By- products of petroleum production and re- local coke market. To a limited extent the de-fining include several gaseous fuels which were velopment has been restricted by the opinion offormerly used merely as refinery fuel or thrown a few gas managements that it is inexpedient toaway. By liquefaction under pressure some of enter the coke business and thus produce athese products are now transported and utilized household and industrial fuel which competesnot only for admixture with other gas to furnish with their principal product, gas. A limitedricher city supply but also independently both number of coke oven enterprises organized un-for small town gas supply and for independent der independent ownership with long time con-isolated factory fuel gas service. The further de- tracts for gas with utility companies dispose ofvelopment of the gaseous by- products of petro- the coke and other by- products in markets out-leum has been undertaken by certain refineries side the utility and the metallurgial fields. Inin cooperation with nearby public utility gas general, however, the ownership and manage-companies, and it isexpected that a large amount ment of independent coke enterprises have beenof petroleum refinery by- product gas will be on terms of intimacy, if not actually interlocked,utilized for enrichment of city supplies. The with the nearby gas utility companies. total quantity of this gas available in 193o was During 193o water gas manufacture accounted probably in excess of the total quantity of coal for approximately 45 percent of the total manu-gas and coke oven gas utilized for public utility factured gas sent out of the United States. In distribution, but only a very small percentage of this process anthracite coal, coke or bituminousthe total was utilized outside of the petroleum coal at extremely high temperature reacts with refin ery. steam to make first a "blue" water gas, which is Natural gas production in the United States then enriched by "carbureting "; i.e. by mixingalmost doubled between 1910 and 192o and with it a product of cracking of oil in the gener-tripled between 1920 and 1930. Of the total pro- ating machine. The result, carbureted water gas,duction in the latter year about 20 percent was is of approximately the same heating character-used for household supply through public utility istic as coal gas, although of somewhat differentsystems. Over half of the total production was chemical composition. The relative advantageused in field operations of the natural gas and to the producer of making coal gas or water gaspetroleum industry and in the manufacture of depends largely upon the comparative cost of thecarbon black. The balance, about 3o percent, fuels used and the prevailing local market forwas utilized as a boiler fuel in electric public coke, which is an essential coproduct with gasutility power generating stations, as a petroleum when the coal gas or coke oven process is used. refinery fuel or in other industrial heating or Very frequently the most advantageous arrange- steam raising operations. Only a small part of the ment is to use both types of processes, operating8o percent used industrially was distributed the coal gas plant continuously at a substantiallythrough public utility systems, the balance being uniform rate throughout the year and using thehandled by producing companies generally affili- water gas process to make the additional gas re-ated with petroleum enterprises. Natural gas quired by the distribution system in amountsproduction is concentrated in a small number of Gas Industry 593 states: in 1929 three quarters of the total outputpopulation which is served as interurban net- was produced in Texas, Oklahoma, Californiaworks for gas distribution are completed. It is and Louisiana. Thus it is necessary to constructestimated that during recent years new invest- long distance lines to deliver natural gas overment for transmission systems and their acces- wide areas. In 1929 deliveries of natural gas tosories exceeded $100,000,000, yearly. The dis- Mexico and Canada amounted to 242,000,000tribution of natural gas within the city involves cubic feet. only minor technical differences; frequently, TABLE II however, a skeleton manufacturing department must be maintained in order that production at AMOUNT AND DISTRIBUTION OF GAS CONSUMPTION the stand -by works may be quickly begun in case IN THE UNITED STATES, 1929 a breakdown in a transmission line prevents con- MANUFACTURED NATURAL GAS GAS tinuous flow from the natural gas field to the Sales (billions of cubic feet) 1918 city. The development of natural gas in many Total 524 areas formerly unproductive and the extension Domestic 359 36o Industrial * 163 1558 of transmission mains over much new territory Value (millions of dollars) 533 413 have resulted in a physical interconnection of * In the case of manufactured gas industrial includes commer- distributing systems formerly wholly independ- cial sales. Source: American Gas Association, Annual Statistics of the ent. As a consequence gas can now be moved Manufactured Gas Industry (New York 1930); United States, Bureau of Mines, Natural Gas in 1929 (Washington 1931). freely from city to city over wide areas, much as electricity is transmitted over interconnected Between 1927 and 1930 there was an intensive networks. This physical interconnection has development of long distance transmission lines,stimulated and accelerated the corporate mergers which considerably increased the quantity ofalready set in motion by other factors. natural gas made available for city distribution. The increase in plant efficiency, the substitu- Formerly transmission lines more than zootion in some cases of natural for manufactured miles in length were considered generally un-gas and the growth of interconnected systems economical, but by 3930 lines were frequentlyhave lessened the number of operating establish- over 500 miles long; in 1931 a pipe line of nearlyments. In 1929 there were only 715 establish- 1000 miles was completed, at a cost of $100,- ments producing manufactured gas as compared 000,000, connecting Chicago with the naturalgaswith 1022 in 3919 and 1296 in 3909. Industrial fields of Texas. The distances at which gas can concentration is, however, exceeded by the con- be delivered and sold are constantly increasing. centration of corporate control in the form of With this development natural gas has invadeddominant holding companies with subsidiaries many areas where it is intensely competitiveproducing and distributing natural and manu- with manufactured gas, and in a large numberfactured gas, electricity and on a smaller scale of small communities it has completely dis-other products. One of the most conspicuous is placed all older systems of supply. Almost in-the Electric Bond and Share Company, which, variably the displacement has been accomplishedwith assets in 1930 of $1,002,000,000, controls by the adoption of natural gas by existing publicnumerous subsidiary gas companies as well as utility companies and the closing down of theirelectric power, water and traction enterprises. former manufacturing works. In larger commu- The Consolidated Gas Company of New York, nities the displacement by natural gas has fre-with assets of $1,282,000,000, controls numer- quently been only partial and in those cases theous gas as well as electricity supply companies. city supply consists of a mixture of natural gasThe Cities Service Company, with assets of and manufactured gas. Long distance transmis-$1,282,000,000, extends its influence beyond sion of gas is being developed in Germany by thegas and electricity to include traction, water and coke industry in the Ruhr, from where transmis-petroleum enterprises. Another major holding sion mains convey the supply to distant townscompany, the Associated Gas and Electric Com- and cities in competition with municipal plants.pany, had assets in 1930 of $922,000,000. These The long distance transmission of natural gasand a few other great holding companies inter- in the United States has extended the use oflock the interests of the formerly independent gaseous fuel into many rural areas and particu- gas and electricity supply industries. larly into small communities that were not suffi- The most recent world statistics give the fol- ciently populous to warrant manufactured gaslowing per capita consumption of gas: San Fran- supply. This has increased the percentage of thecisco, 32,500 cubic feet; London, 10,000; To- 594 Encyclopaedia of the Social Sciences ronto, 9,000; Frankfort, 5,90o; Brussels, 4,Ioo; States, 1890 -1926, Pollak Foundation for Economic Lille,2,800. Not only has the use of gas Research, Publication no. ix (Boston 1930)P. 329 -41; increased in Europe, but there has been consider- International Gas Congress, San Francisco, 1915, Proceedings (Easton, Pa. 1916); "Gas Supply in For- able modernization of production methods, par- eign Parts and Multi -Part Tariffs" in Gas World, ticularly in Germany, France and England. Ger- vol. xciii (1930) 514 -20; Hale, Walter, The Distribution many is the most important producer in Europe;of Gas (4th ed. London 1921); Evetts, George, The its gas industry in 1928 had approximately 6o,- Administration and Finance of Gas Undertakings (Lon- 00o employees and an output of 129,000,000,000don 1922); Wigginton, Reginald, Coal Carbonisation (London 1929); Sander, A., Die Gasindustrie, Deutsche cubic feet of gas. The use of gas is also increas- Arbeit, vol. iv (Stuttgart 1914); Greineder, Friedrich, ing in the cities of Latin America and Australia. Die Wirtschaft der deutschen Gaswerke (Munich 1914); In Asia, however, with the exception of Japan, Elsas, Fritz, Ferngas; kommunal- und wirtschaftspoli- there has been little progress; thus the two gas tische Überlegungen (Berlin 1928); Albrecht, Richard, "Die deutsche Gaswirtschaft" in Technik und Wirt- works in Bombay and Calcutta are the only ones schaft, vol. xxi (1928) 253-57; Wolff, Georg, "Die in India. Ferngasversorgung aus dem Ruhrgebiet" in Wirt- Gas sales per capita in the United States in- schaftskurve, vol. ix (1930) 67 -71; Hanauer, Wilhelm, creased steadily during the decade 1920 to 193o Die Berufskrankheiten der Gas Arbeiter (Berlin 1930); and in the latter year reached the highest point Schmidt, Fritz, Einfluss technischer Fortschritte auf die Arbeits- und Lohnverhältnisse in den Berliner in history. In 193o it was estimated that natural städtischen Gasanstalten, Volkswirtschaftliche Studien, gas furnished approximately 8 percent of thevol. i (Berlin 1919); Grebel, A., "L'état actuel de total energy supply from all fuels and water l'industrie du gaz en France" in Technique moderne, power used in the United States, a percentage vol. xvii (1925) 392 -98; Thibeault, J., "La régime du personnel au gaz de Paris" in Génie civil, vol. xciv approximately double that of ten years before. (1929) 388 -89. Manufactured gas and other gaseous fuels made as by- products of coking and petroleum refiningGASCA, PEDRO DE LA (1485- 1567), Spanish furnished approximately the same percentage ofcolonial administrator. Gasca studied at the the total national energy supply. Hence nearlySeminary of Alcalá de Henares and at the Uni- one sixth of the country's energy is utilized as a versity of Salamanca, became a priest and was gaseous fuel. If present trends continue it is esti-subsequently chosen a member of the Council of mated that by 1940 fully 20 percent and perhapsthe Inquisition. His diplomatic and energetic as much as 3o percent of the energy supply ashandling of the panic in Valencia, caused by the ultimately consumed will be in this form of gase-fear of a French -Turkish attack and the suspi- ous fuel. cion that a rising of the Moors was imminent, RUSSELL S. MCBRIDE won him considerable renown. Probably because See: POWER, INDUSTRIAL; PUBLIC UTILITIES; Gov - of his conduct on that occasion the crown ap- ERNMENT OWNERSHIP; RATE REGULATION; VALUATION; pointed him president of the Royal Audiencia in FAIR RETURN; HOLDING COMPANY; ELECTRIC POWER; 1546, entrusting him with the arduous task of COAL INDUSTRY; OIL. dealing with the disturbances in Peru. The Consult: Clark, V. S., History of Manufactures in the former viceroy, Blasco Nuñez de Vela, had failed United States, 3 vols. (new ed. New York 1929) vol. to pacify the country because of his intemper- ii, p. 251-54, 516 -17; Norman, O. E., The Romance of the Gas Industry (Chicago 1922); American Gasance in enforcing the New Laws of 1542, which Institute, Lectures Delivered at the Centenary Celebra- regulated the work of the natives; and as a result tion of the First Commercial Gas Company... (NewGonzalo Pizarro ruled over Peru without au- York 1912); Youngberg, J. C., Natural Gas, America's thorization from Spain. Fastest Growing Industry (San Francisco I 93o); Ferris, In his mission to Peru Gasca acted with con- E. E., The Industrial Gas Salesman (New York 1927); sumate diplomacy. Adopting a policy of concili- Apmann, A. M., Domestic Gas Appliances (New York 1931); Reyes, N. I., Financial and Operating Ratios ation, he persuaded Hinojosa, the chief of of the Gas Industry (New York 1926); Illinois Univer- Pizarro's fleet, to turn over his vessels to him. sity, College of Commerce and Business Administra- Pizarro himself was less inclined to accept Gas- tion, Bureau of Business Research, "The Financial ca's generous terms, especially after an unex- Plan of Gas Companies" in Bulletin, vol. xxvii, no. 1 pected victory at Huarina. He was, however, (Urbana, Ill. 1929) P. 1 -49; Bemis, E. W., Municipal decisively defeated in 1548. During his stay Ownership of Gas in the United States, American Eco- Gasca undertook a series of reforms, which were nomic Association, Publications, vol. vi, nos. iv -v (Baltimore 1891); American Gas Association, Annual facilitated by the fact that the program with Convention ... Proceedings, vol. x (New York 1928) which he had been entrusted had already been p. 28-76; Douglas, P. H., Real Wages in the Unitedanticipated by Pizarro. He ordered uniform and Gas Industry-Gasoline Tax 595 less burdensome taxes for the Indians, forbadecities or by making a mileage allowance for state the sacking of their villages and insisted that allroads within city limits. A dozen states now encomenderos be provided with clergymen. While make some such provision and the number is Gasca did not solve all the problems of the com- increasing. Another inconsistency lies in taxing plicated Peruvian situation he nevertheless didgasoline not used in motor cars. Gasoline is succeed in establishing, primarily by peacefulusually defined in such a way as to include all persuasion, the authority of the crown, whichliquid fuels usable in motor vehicle engines. had been accustomed to assert itself only byKerosene is generally excluded. Some states, recourse to armed force of its loyal subjects. e.g. New York and California, carry out the CARLOS PEREYRA design to tax "persons who use the public high- Consult: Prescott, W. H., History of the Conquest of ways," by reimbursing those who consume the Peru, 2 vols. (rev, ed. Philadelphia 1882) vol. ii, bk. v; fuel in "any manner except in the operation of Salillas, Rafael, El pacificador del Perú (Madrid 1892). a motor vehicle upon or over the highways." Other states exempt fuel used for specified pur- GASOLINE TAX. A gallonage tax was firstposes, as in agriculture, stationary engines, air- imposed in x919 by the states of Oregon, Colo- planes, motor boats, cleaning and dyeing. One rado, New Mexico and North Dakota to aid in third of the states, however, allow no exemption the construction and maintenance of publicor refund on account of use, although some of roads. It was adopted in other jurisdictions inthese exempt fuel sold for exportation. Some rapid succession, until within ten years it was exemptions are made because of the type of in force in all states of the union, the Districtservice the user performs. Rural mail carriers of Columbia and in several foreign countries.are often so exempted and all states are debarred The charge is variously classified -simply as afrom taxing gasoline used by a federal agency tax, as an excise, as a license tax, an occupation [Panhandle Oil Co. v. Mississippi, 277 U. S. tax and a privilege tax -and may be regarded218 (1927)]. as a commercial charge for the privilege of using The administration of the tax except as to the vehicles of specified types on the public roads. provisions for refunds is comparatively simple It therefore closely resembles a toll, althoughand the cost is low, rarely exceeding I percent not for the use of a particular piece of road.of the yield. Collection is generally made at the This theory had been developed by the courtspoint of greatest concentration, i.e. as the fuel in the registration fee cases before the adventpasses out of the hands of the "importer" or of of the gasoline tax. Such charges, it was held,the refiner. It is a common practise for major are valid whether made under the police powercompanies to pay the tax on all gasoline shipped to secure safety or made to secure "compensa-into a state for sale at their service stations, but tion for the use of facilities provided at greatsales to jobbers and to retailers are made f.o.b cost" by the state or its subdivisions [Hendrickat the refinery, and these dealers thus become v. Maryland, 235 U. S. 610 (1915); Kane v.the taxpayers. The collection is made in most New Jersey, 242 U. S. 16o (1916)]. The samestates by a state fiscal officer but in a few cases reasoning has been applied to the gasoline tax by the oil inspector or by the licensing authority. and the same conclusion reached. While justify-Dealers complained of the early laws that no ing the tax on these grounds in particular casesallowance was made for losses by evaporation. the courts have gone further, holding it an excise A third of the states now make such an allow- tax and its legality not dependent upon the useance. to which revenue from it is put. The rate has shown a steady increase. As late The states have applied the use theory with as 1922 the rate in seventeen states was one cent, a varying degree of rigidity and rarely withonly two charging as much as two cents. The complete consistency. A few states devote a partsubsequent increase in the rate and in the num- of the revenue to non -highway purposes, al- ber of taxing states is shown in Table 1. though only 2.2 percent of the total yield was Whether viewed as a charge for the use of a so used in 1929. Another practise inconsistent public utility or as an excise for general revenue with the toll theory is that of collecting the taxpurposes, the tax has high merit. The extent of from city consumers for use exclusively on roads highway use and the damage to roadbed depend outside city limits. There is, however, a tend-upon the weight and speed of the vehicle and ency to recognize a city equity in the revenuethe distance traveled, and the consumption of by allocating a percentage of the receipts tofuel is largely determined by the same factors. 596 Encyclopaedia of the Social Sciences TABLE I Gasoline Tax in the United States, Municipal Admin- RATES OF THE GASOLINE TAX IN THE UNITED STATES, istration Service, Publication no. xv (rev. ed. New 1923 -29. York 1930); Learned, E. P., State Gasoline Taxes, University of Kansas, Bulletin, vol. xxvi, no. vi NUMBER OF STATES WITH RATES PREVAIL- (Lawrence, Kan. 1925); United States, Bureau of ING AT END OF YEAR* Public Roads, Public Roads, published monthly since YEAR 1918; North American Gasoline Tax Conference, I¢ 2¢ 2 3¢ 3§¢ 4¢ 5¢ 6¢ Annual Reports, published in Indianapolis since 1926; United States, Bureau of Foreign and Domestic Com- 1923 15 II 7 merce, "Motor Vehicle Regulations and Taxation in 1925 2I I2 I 3 3 4 Foreign Countries," Trade Promotion Series, no. Io8 1927 13 16 I II 5 (193o). 1929 8 9 19 8 3 1931 (June) 6 9 18II 6 Source: Compiled from Public Roads, and from Facts and GASPARIN, COMTE DE, ADRIEN ETIENNE Figures of the Automobile Industry (New York 1931). * Not including the District of Columbia, which has had a two - PIERRE (1783 -1862), French agronomist and cent tax since 1924. economist. Gasparin brought to the study of agricultural economics a scientific spirit and Gasoline is a commodity well suited to exciseexact methods of observation unusual in his taxation. It is an article of wide consumptiontime. In 1807 he was appointed to the veterinary and within the range of prices prevailing in theschool at Lyons, where his interest in scientific United States the demand for it is highly in- study of the problems of agricultural improve- elastic. The yield is abundant: in 1929 it ex-ment was aroused. He first won attention by the ceeded the motor vehicle fees for the first time;publication of various papers: Le croisement des the expense of collection is low; and the usualraces (Paris 181o), Les maladies contagieuses des monthly payments accord with the canons ofbêtes it laine (Paris 1821), L'éducation des mérinos convenience and economy. The tax meets with (Paris 1822) and a Manuel d'art vétérinaire (Paris little opposition, although the automobile and 1817). Returning to his home in Provence, where petroleum interests protest against the tendencyhe cultivated his own extensive property, he toward excessive rates and against the diversionpublished observations on the condition of agri- of the revenue to non -highway uses. cultural labor. Students still consult his Des TABLE II petites propriétés considérées dans leurs rapports avec le sort des ouvriers, la prosperité de l'agricul- GASOLINE TAX YIELD IN THE UNITED STATES, 1925 -29 ture et la destinée des états (Paris 18zo), in which GASOLINE CONSUMP- he defended the system of small peasant holdings TION (IN TOTAL I,000,000 GALS.) NET TAX at a time when the partisans of absolute monar- EARNINGS REGISTRA- YEAR (IN TION FEES chy were endeavoring to obtain the reestablish- (IN NET AMOUNT$1,000,000) TOTAL $ I,000,000) ment of large domains. Later he published a TAXED Guide des propriétaires des biens soumis au méta- 1925 9,362 6,458 146.0 260.6 yage (Paris 1828, 2nd ed. 1853) and a Guide des 1926 10,708 7,884 187.6 288.3 propriétaires des biens ruraux affermés (Paris 1927 12,466 9,367 258.8 301.1 1829, 3rd ed. 1862). These fragmentary studies 1928 13,811 10,178 304.9 322.6 1929 15,618 13,400 431.3 347.8 were a prelude to his Cours d'agriculture (5 vols., 1930 16,613 15,763 494.6 355.7 Paris 1843 -51; 3rd ed., 6 vols., 1863), which has Source: Compiled from Public Roads, from Facts and Figures remained the foundation of agronomic studies in of the Automobile Industry (New York) for 193o and 1931, and from the New York World for May 4, 1929. France. In it he discusses as an expert and with great thoroughness not only the systems of culti- The tax has been adopted in other countries.vation, organization and administration of rural All the Canadian provinces now levy on the im-enterprises but also the economic importance of perial gallon a five -cent tax dedicated to highwayagriculture and its relation to the state. From use. Restricted by the act of 1867 to direct1830 to 1839 he rendered valuable service in taxation, the provinces require retailers to col-politics as representative, prefect, minister of lect the tax from consumers and pay them 22the interior and minister of agriculture; in 1840 to 5 percent of the receipts for the service. he was elected to the Académie des Sciences. In GEORGE O. VIRTUE 1851 Gasparin was appointed director of the In- See: REVENUES, PUBLIC; TAXATION; TAX ADMINISTRA- stitut National Agronomique, which had been TION; ROADS. founded as part of the government program for Consult: Crawford, F. G., The Administration of thethe furtherance of scientific agricultural educa- Gasoline Tax-Gaudig 597 anthro- tion but was suppressed under the SecondEm- which has been substantiated by modern pire. From 1839 to 1856 Gasparin presentedpologists. several papers, notably one on La valeur des en- JOHN R. SWANTON grais (Paris 1842), to the Société Centrale d'Ag- Consult: Mooney, James, in American Anthropologist, riculture and he published numerous articles inn.s., vol. ix (1907) 561 -7o. the Journal d'agriculture pratique. MICHEL AUGE- LARIBÉ GAUDENZI, AUGUSTO (1858- 1916), Italian jurist. Gaudenzi was professor at the University Consult: Barral, J., in Journal d'agriculture pratique, of legal vol. ii (1862) 287. of Bologna and is important in the study history because of his work with mediaevallegal GATSCHET, ALBERT SAMUEL (1832 -sources. In 1885 he rediscoveredin the library of 1907), Swiss -American ethnologist andphilolo-of Lord Leicester of Holkham a manuscript the gist. Gatschet is best known for his work ontheItalian origin which he believed to date from aboriginal languages of America, pursued in theend of the ninth or the beginning ofthe tenth ad- interest of the Bureau of American Ethnologycentury. It consisted of texts representing an from its foundation in 1879 until 1905 when hemixture of Romanic and Germanic law and con- retired from its staff. While he made somevalu-tained fourteen fragments of ancient Visigothic able contributions to ethnology, particularlyinlaws, which he attributed to King Euric (466 -c. his Migration Legend of the Creek Indians(2 84). He published these fragments (whichtoday vols., Philadelphia 1884 and St. Louis 1888),his are known as the Gaudenziantexts) with inter- great service lay in his recordsof various lan-esting comments and augmented them by means and the stimulusof deductions made from a manuscriptbelong- guages of the New World The which these studies and his synchronouscontri-ing to the Vallicelliana Library at Rome. of butions to technical and other publications gaveBibliotheca juridica medii aevi, the publication volumes to linguistic research. Heinterested himself inwhich he initiated, contains in the three an enormous number oflanguages -his manu-which were published in 1888, 1892 and 19o1 script material preserved by the Bureauof Eth- (new ed. Bologna 1914) numerous unedited texts nology, which represents only a part of hislin- of the Bolognese glossators. In this studyof pub- guistic contacts, touches upon nearly a hundred.lic and private documents of the MiddleAges he He recorded some languages, such asAtakapa,used new methods to depict the historyof medi- Karankawa, Comecrudo, Cotonam, Chitimacha,aeval forgeries, expounding original doctrines Tunica and Natchez, which are now entirely ex-concerning the preparation of documentsand tinct or survive in the memories of but two orthe office of the notary. In various periodsof his his- three individuals, and supplied much ofthe datalife he devoted a great deal of energy to the entering into Major Powell's classificationof thetory of the law schools atBologna, Rome and their Indian languages ( "Indian LinguisticFamilies Ravenna, presenting new hypotheses as to of America North of Mexico" in UnitedStates, interrelationship. Bureau of Ethnology, Seventh AnnualReport, ARRIGO SOLMI 1885- 86,1891, p. I -142), a work upon whichall Consult: Brandileone, F., "Commemorazione delPro - ethnological investigations in NorthAmericafessore Augusto Gaudenzi" in Reale Accademiadelle in 1891. Scienze dell' Istituto di Bologna, Classedi Scienze have been based since its appearance i (1917) 17-55, Indians ofMorali, Rendiconto, 2nd ser., vol. Gatschet's monumental The Klamath where a bibliography of Gaudenzi's worksis given; Southwestern Oregon (Contributions toNorthSolmi, A., La storia del diritto italiano (Rome1922) American Ethnology, vol. ii, Washington189o) P. 14 -16; Conrat,Max (Cohn), Geschichte der Quellen früheren Mittel - was one of the firstobjective proofs of the extent and Literatur des römischen Rechts im and richness of Indian tongues andfurnished an alter (Leipsic 1891) p. 277 -84. example of the possibilities for their study.Later GAUDIG, HUGO (186o- 1923), Germanedu- and greater specialization, accompaniedby mod- cator. From 2900 to 1923Gaudig was director ern linguistic technique,has superseded much of higher studies of the second girls'high school of his work. connected with the normal school andthe prac- Gatschet was critical of the theoretical gen- unusually sug- eralizations of Lewis Henry Morgan onaborig-tise school in Leipsic. He was an thegestive and creative educator. Hisreforms grew inal democracy in America and insisted on school work, castesamong thedirectly out of the needs of his daily existenceof hereditary discussion of Natchez, Toltecs, Incas and Aztecs, apositionand his writings are devoted to a 598 Encyclopaedia of the Social Sciences given and desired educational conditions. Theyited by the extensive investigations which his present no systematic pedagogy, but a wealth ofsuperiors were making with a view to ameliorat- suggestion and great insight into matters of de-ing the tax situation. He acquired an extraordi- tail. Gaudig's first works dealt with the form ofnary knowledge of all matters pertaining to land instruction. He tried to get away from the for-taxation, upon which their efforts were princi- malism of the Herbartian grades, seeking a psy-pally concentrated. In the early stages of the chologically sounder procedure. He argued fromrevolution he was appointed one of the six corn- the standpoint of the pupil who must learn tomissioners of the Treasury but the atmosphere work mentally, and he desired to teach throughof revolutionary confusion was too repugnant to self -activity. Among advocates of the Arbeits-his superlatively systematic nature to allow his schule Gaudig became the champion of the idea abilities scope. Twice he refused to accept the of education chiefly through mental self- activity Ministry of Finance in the inefficient administra- as opposed to the largely manual program oftion of the Directory. On the day following the Kerschensteiner. The teacher's main task was to eighteenth of Brumaire he eagerly accepted the organize the child's activity so that a personalitysame post from Napoleon. might develop out of each individual by self- Knowing how to take advantage of Gaudin's determination and self- education. The self -de-special knowledge and talents Napoleon found in velopment of the natural person into a morehim a highly valued and much heeded adviser. perfect human type was the subject of Gaudig'sGaudin retained his office through the entire chief writing. Arguing that a personality takesperiod of the Consulate and the Empire and an active part, to the extent of its faculties, inproved to be one of the most capable financial the cultural life of the surrounding world, heministers in French history. It was he who was demanded that the school be made into a realis-chiefly responsible for all those Napoleonic tic living experience, a cooperative community.measures which so splendidly restored the na- Games, hikes, visits to factories and farms, andtion's shattered finances: the abolition of pro- celebrations were to be part of a living schoolgressive forced loans, an implicit declaration as much as formal teaching. Since the forces ofthat revolutionary procedure had been aban- life have their unity in national culture, he ar-doned; the creation of an office of direct taxation gued that the school must be founded on theas a substitute for the system of leaving the latter. assessment and collection of these taxes to elected Gaudig at first received little attention exceptofficials, who had been remiss in the discharge of abroad, but after the overturn of 1918 many oftheir duties; the revival of the practise of bond- his demands were unusually rapidly recognizeding receivers general in order to bind them to and many of his ideas accepted generally byregular acquittal of their obligations; the creation pedagogues. of the Caisse d'Amortissement and of the Bank HELMUT WIESE of France; the at first timorous but later more Important works: Didaktische Ketzereien (Leipsic 1904, systematic reintroduction of indirect taxation; 6th ed. 1925); Die Schule im Dienste der werdendenand, finally -the work in which Gaudin de- Persönlichkeit, 2 vols. (Leipsic 1917, 2nd ed. 1922; lighted -the preparation of the cadastre. So ar- 3rd abridged ed. by O. Scheibner in Ivol. 193o); dently and thoroughly did he perform this last Freie geistige Schularbeit in Theorie and Praxis, ed. by Hugo Gaudig (Breslau 1922, 5th ed. 1928). task, which was enjoined upon him by a law of Consult: Lehmann, Reinhold, "Germany" in Colum- September 15, 1807, that by 1813, 50,000 com- bia University, Teachers College, Educational Year- munes had already been surveyed and 6000 of book of the International Institute, 1924 (New York these had been audited by experts. The military 1925) p. 277 -327; Marx, K., Die Persönlichkeits Päda- reverses of 1812 and 1813 forced Gaudin to levy gogik Hugo Gaudigs (Paderborn 5924), with extensive new taxes, which, however, the exhausted condi- bibliography; Scheibner, Otto, "Hugo Gaudig als pädagogischer Denker" in Zeitschrift für pädagogische tion of the nation made it impossible to collect. Psychologie and experimentelle Pädagogik, vol. xxiAfter Napoleon's downfall Gaudin defended his (192o) 323 -3o. government against the exaggerated charges of critics -such as Baron Louis, whom he answered GAUDIN, MARTIN MICHEL CHARLES,in Observations d'un anonyme- concerning the Duc DE GAËTE 1756- 1841), French minister ofamount of the financial deficit it left. During the finance. During his training in the national bu-Hundred Days he once more served as minister reau of the head clerk of finance, which he en-of finance, under the Restoration was member tered in 1775 at the age of nineteen, Gaudin prof-of the Chamber of Deputies and from 1820 to Gaudig-Geiger 599 1834 held the governorship of the Bank ofwork as a whole is an invaluable synthesis of France. Gaudin left several works of great im-the results of researches made both by previous portance for the financial history of his time;scholars and by himself. With the same rich particularly significant from this point of viewyet always lucid style, with the same flair for are Mémoire sur le cadastre (Paris 1818) and No- the picturesque and the same insight, Gebhart tice historique sur les finances de France (de l'anwrote a series of biographies of individual vIII -1800 au ler avril 1814) (Paris 1818), bothRenaissance artists: Rabelais, la renaissance et of which are included in Mémoires, souvenirs,la reforme (Paris 1877, rev. ed. 1895); Sandro opinions et écrits (3 vols., Paris 1926). Botticelli (Paris 1907, and ed. 1908); and Michel- MARCEL MARION Ange (Paris 1908). Consult: Marion, M., Histoire financière de la France EDWARD M. HULME depuis 1715, vols. i -v (Paris 1914 -28) vol. iv; Liesse, Consult: Benoist, C., "Notice sur la vie et les travaux A., Portraits de financiers (Paris 1908) p. 121 -57. de M. Emile Gebhart" in Académie des sciences, morales et politiques, Séances et travaux... Compte GEBHART, NICOLAS EMILE (1839- 1908), rendu, n.s., vol. cciii (1925) pt. ii, ;324-49; Longnon, Jean, "Le dernier humaniste: Emile Gebhart" in French historian. From 1879 until his death Revue critique des idées et des livres, vol. xviii (1912) Gebhart was professor of Italian literature at 641 -53; Bordeaux, H., Quelques portraits d'hommes the Sorbonne. For him, however, a knowledge (2nd ed. Paris 1913) p. 119-49. of literature was only one aspect of a compre- hensive aesthetic and spiritual understandingGEIGER, ABRAHAM (1810 -74), Jewish the- with which he desired and was able to unlockologian and religious reformer. Geiger served the portals of the past, from antiquity to theas rabbi in Wiesbaden, Breslau, Frankfort and end of the Renaissance. His two principal books Berlin and wrote several valuable Jewish histori- are the work of a historian. Les origines de lacal studies. He maintained that the Old Testa- renaissance en Italie (Paris1879), publishedment text had not been handed down intact but while he was still professor of foreign literaturesthat intellectual currents of different ages had at the Collège de Nancy, was an attempt tointroduced propagandist changes. His studies discover why the Renaissance began in Italycast new light upon the origin and tenets of the rather than in France and then to analyze inPharisees and Sadducees and stimulated interest the early writings and works of art the geniusin the Jewish background of the gospels. Geiger of Renaissance Italy. To the study of this move- applied the historical approach to contemporary ment Gebhart brought not only the techniqueJewish life, which following the emancipation of a historian but the eye of a painter, the heartand the entrance of the Jews into the European of a poet and the sympathy of a scholar whocultural community was faced with a serious had served his apprenticeship in the study ofcrisis. He was the first to use the concept of the- ancientGreece. With unfailinginsight heology in Jewish circles and to propose its sys- sheared the inconsequential element from thetematic treatment and founded the Wissenschaft- essential and united the latter in an illuminating liche Zeitschrift für jüdische Theologie (1835 -47). synthesis. L'Italie mystique (Paris 189o, 3rd ed.He examined the existing Jewish ritual as the 1899; tr. with introduction by E. M. Hulmeresult of a process of development and drew as Mystics and Heretics in Italy at the End ofpractical conclusions from the historical criticism the Middle Ages, London 1922) dealt with theof the phases of its development. He sounded spiritual life of Italy during the period of transi-a call for fundamental, comprehensive reform tion from the mediaeval age of faith to theof Jewish religion, tracing the crisis of Judaism Renaissance age of reason. If the very concep-to an overemphasis upon forms. He emphasized tion of L'Italie mystique implied a dismissal ofthe teachings of the Old Testament prophets the more realistic aspects of Italian life, Geb-and their religious views and proclaimed the hart's treatment of such figures as Joachim ofuniversality of Judaism as the goal of all reli- Flora, Francis of Assisi, Frederick II, John ofgious training. He opposed the prevailing Jewish Parma, Fra Salimbene, the Spirituals of theview of the oral tradition as the transmission of Franciscan order and Dante -like the study ofa doctrine received from God and handed down Catherine of Siena contained in his Les moinesfrom generation to generation, holding it to be et les papes (Paris 1896, 4th ed. 1907)- reveals"the inward spirit, continually and creatively a superb faculty of penetrating the religioustransforming, as it has awakened, come to ex- and moral sides of the mediaeval mind. Thepression, and continued in Judaism." Geiger 600 Encyclopaedia of the Social Sciences advocated these ideas in numerous publishedtaught there for a long time. After some years writings and sought adherents for them amongspent in collecting materials and after a pre- his colleagues and in his congregation. Since he liminary work, Svea rikes heifder (Uppsala 1825), was regarded as the chosen champion of thein which he analyzed the sources of Swedish Jewish reform movement he was refused mem-history and revealed his point of view, he pub- bership in the rabbinical body of the Breslaulished his Svenska folkets historia(3vols., congregation by its orthodox chief rabbi, whoOrebro 1832 -36; tr. by J. H. Turner, London alleged that Geiger's attendance at a university1845), which was the first national history of proved him to be no true believer. The Breslau Sweden and which carried the narrative down congregation thereupon in 1842 -43 published ato 1654. dissenting collection of rabbinical opinions re- Throughout most of his career Geijer was a garding the compatibility of free inquiry withromanticist in his outlook upon history and the rabbi's office which strongly influenced theliterature and a conservative in his attitude to- future intellectual development of Judaism evenward social and political problems. But he among the orthodox. In the important rabbinicalgradually came to see that the old aristocratic assemblies of 1844 to 1846 Geiger was a leaderregime could not be maintained indefinitely. of the radical wing, advocating especially a re-Through his study of German philosophy he form of the marriage and Sabbath observancehad learned to appreciate the dignity, the rights laws as well as the gradual elimination of He-and the importance of the human personality. brew as the language of worship. Nevertheless,This principle of personality became the central the prayer book he prepared in 1854 retainedthought not only in his philosophic system but considerable Hebrew and varied from the tra-also in his religious and political beliefs. A man ditional text only where urgent logical or dog-who was worthy of citizenship in the kingdom matic reasons made it imperative. He took noof God was, he believed, worthy of every other part in the far reaching reforms of 1845 madecitizenship. Holding this doctrine he could not by the Berlin Reform -Gemeinde, because theylong remain in the conservative camp. Early in seemed to him to constitute too radical a break1838 he issued a manifesto in which he declared in historical continuity. Later, however, in hisfor better public schools, free competition, Jüdische Zeitschrift für Wissenschaft and Lebenwidening of the suffrage and a more liberal (1 i vols., 1863 -74) he showed lively interest inprogram in higher education. and sympathy for American Reformed Judaism, Geijer was at the time one of the most influ- which openly championed his principles. Al-ential men in Sweden. Through his lyrics, his though he failed in his lifelong effort to found a hymns, his musical compositions, his public Jewish theological faculty in a German uni- addresses,hisphilosophicessaysandhis versity, from 1872 on he lectured on the history historical writings his name had become known of religion and Biblical criticism in the newin every village in the country. His "apostasy" Hochschule für die Wissenschaft des Judentums,was therefore an event of the first importance. where Felix Adler and Emil G. Hirsch, both ofIt gave a new direction to political thought and whom had an important influence on religiousforced the current of history into new channels. thought in America, were among his pupils. LAURENCE M. LARSON ISMAR ELBOGEN Works: Samlade skriften, 13 vols. (Stockholm 5849- 55). Important works: Urschrift and Übersetzungen der BibelConsult: Erdmann, Nils, Erik Gustaf Geijer (Stock- (Breslau 1857); Nothwendigkeit and Mass einer Reform holm 1897); Nielsen, Jörgen, Erik Gustaf Geijer des jüdischen Gottesdienstes (Breslau 1861); Das suden- (Odense 1902); Molin, Adrian, Geijer -studier (Göte- thum and seine Geschichte, 3 vols. (Breslau 1865 -71), tr. by C. Newburgh (znd ed. New York 1911); Uber borg 1906); Wahlström, Lydia, Erik Gustaf Geijer die Errichtung einer jüdisch -theologischen Facultät (Stockholm 5907). (Wiesbaden 1838); Nachgelassene Schriften, ed. by L. Geiger, 5 vols. (Berlin 1875 -78). GEISTESWISSENSCHAFTEN. The term Consult: Geiger, L., and others, Abraham Geiger, Leben Geisteswissenschaften first came into use as the and Lebenswerk (Berlin 191o); Philipson, D., The Re- German translation of John Stuart Mill's "moral form Movement in,tudaism (new ed. New York 1931). sciences" and in its most general sense is applied to the moral and mental as distinguished from GEIJER, ERIK GUSTAF (1783- 1847), Swed-the natural sciences. The peculiar connotation ish historian and social thinker. Geijer waswhich it has acquired, however, in the course of educated at the University of Uppsala andits development in Germany makes it almost Geiger--Geisteswissenschaften 6oi impossible to translate the term into any otherbeyond Germany. These ideas soon began to language. It has been recognized since the dawnpermeate the whole range of the social sciences of scientific thought in ancient Greece that thein Germany and have been especially influential approach to reality for scientific knowledgeva- since the World War. The writings of Rudolf ries, depending on whether this reality is physi- Stammler and Hans Fehr in jurisprudence and cal or mental and whether the approach is basedthe historical works of Troeltsch, Meinecke and on outward experience or introspection. The the whole group of writers of Geistesgeschichte strong prevalence of mathematical and quanti-reveal the imprint of these methodological prin- tative methods of observation and induction thatciples. In economics and political science a sort has characterized the development of modernof compromise between the attitudes of Dilthey natural science since the time of the Renaissance and the southwesterners has been worked out by implanted in the leading western nations anMax Weber in his doctrine of "ideal types" that equally strong inclination to identify this par-are to take the place of mechanical laws in the ticular scientific ideal with knowledge generally.analysis of social facts and by Werner Sombart The world of mental experience was conse-and his Geistwissenschaft (as he says instead of quently either to be left outside this exclusiveGeisteswissenschaft); that is, to replace the two pale or admitted only on condition of a more orolder forms of political economy, the "value less complete subjection to this ideal. The nine-judging" (richtende) and the "law finding" (ord- teenth century even brought a further victoriousnende), by a third, a kind of synthesis of the extension of the realm of natural science by theformer two, to be called the "understanding" effective constitution of an experimental psy-(verstehende) from the peculiar relationship and chology on the foundations of David Hume'simminent character of this knowledge. doctrine of apperception and association. Several valuable strains of genuine feeling for The German concept of Geisteswissenschaftenthe constitutive principles of the social sciences is an open revolt against this conquest of mental seem to be contained in the concept of Geistes- experience by western science. Germs of thiswissenschaften. It is true that there is a certain concept are found in the protest of the Ital-danger that unscientific mysticism might result ian, Giambattista Vico, against the mathemat-from this violent rupture of the unity of scien- ical treatment of language, culture and society,tific effort. But even in Germany the original and more especially in the works of F. A. Wolf,sharp distinctions drawn between the different A. Böckh and J. G. Droysen. The methodicalaspects of the concept have been giving way to a and systematic preoccupation with this problem,more continuous interpretation of the methods however, began at the end of the last centuryof mental knowledge in their relation to physical with the two markedly antinaturalistic positionsknowledge; this development has been promoted, of Wilhelm Dilthey and the "southwesternit is important to note, by the contemporaneous school" of German philosophy led by Windel-process of transformation of the rigid classical band and Rickert. Dilthey combated John Stuartand atomistic concept of causality in the natural Mill's logic of moral sciences and the experi-sciences. The "understanding" of social phe- mental psychology and Comtian sociology thatnomena as mental facts and complexes is no followed it and in their place aimed to set up alonger viewed as quite the immediate and direct system and methodology based on an under-approach which it appears to be to naïve intro- standing (verstehen) sui generis of history andspection. The peculiar role of values in social society. The southwesterners developed a dis-reality is ceasing to be regarded in the light of a tinction drawn in western science by A. A. Cour-dualistic split between factual and non -positing not between the nomothetic, or generalizing,statements, and as a result of the writings of character of the physico -mathematical groupEdmund Husserl, Max Scheler and Nicolai and the ideographic, or individualizing, charac-Hartmann the ban on "value judgments" in the ter of the historical or cultural group of sciences; social sciences has given way to careful and and they superimposed on this distinction theircritical researches into their structure and sys- doctrine of the difference between the knowl-tematic connection. The lasting merit of the edge of being (Sein) and the consciousness ofGerman idea of the Geisteswissenschaften is that and relation to norms (Sollen), thus inauguratingit has drawn attention to the impossibility of the famous discussion on the role of value judg-the uncritical parallelism frequently found in ments in science; the debate of this question cru- the western social sciences between mechanical cial to the young social sciences has since spread evolution in the naturalistic sense and a rigid 602 Encyclopaedia of the Social Sciences system of values thought to be realized throughwas their normal tendency to accept and which the "progressive" unity of this evolution. in spite of their difficulties and conflicts they in CARL BRINKMANN their turn handed down to the modern world. Consult: Dilthey, W., "Einleitung in die Geisteswis- These writings of Gelasius may be found in Epi- senschaften" in his Gesammelte Schriften, 8 vols. (Leip- stolae romanorum pontificum genuinae a S. Hilaro sic 1921 -31) vol. i; Rickert, Heinrich, Die Grenzen der usque ad Pelagium if, edited by A. Thiel (z naturwissenschaftlichen Begriffsbildung (5th ed. Tü- pts., Braunsberg 1867 -68). bingen 5929), Rothacker, Erich, Logik und Systematik der Geisteswissenschaften (Munich 1926); Friess, H. L., A. J. CARLYLE "The Progress of German Philosophy in the Last Consult: Carlyle, R. W. and A. J., A History of Medi- Hundred Years" in Journal of Philosophy, vol. xxvii aeval Political Theory in the West, vols. i -v (Edin- (5930) 396 -415; Brinkmann, Carl, "The Present burgh 5903 -28), especially vol. i, ch. xv, and vols. ii Situation of German Sociology" in American Socio-and iv; Roux, A., Le pape Gélase fer (492 -496) (Paris logical Society, Papers and Proceedings, vol. xxi (1926) 5880). 47-56; Abel, T. F., Systematic Sociology in Germany (New York 1929) ch. iv; Sombart, Werner, Die drei GENERAL PROPERTY TAX. The general Nationalökonomien (Munich 1930), and discussions of property tax is a tax on property in general with- this work by Alfred Amonn, Edith Landmann, Kurt Singer, Edgar Salin, Herbert Schack, Ludwig Misesout differentiation according to class or charac- and Carl Brinkmann in Schmollers Jahrbuch, vol. liv teristics. The concept embraces three elements: (5930) 193 -343, and vol. lv (1935) 193 -212; Wach, first, all property is taxed as a homogeneous Joachim, Das Verstehen, 2 vols. (Tübingen 1926 -29). mass; second, the entire mass of property is assessed or valued for taxation according to a GELASIUS I (died 496), pope from 492 to 496.uniform rule; third, all property within any tax- The work of Pope Gelasius 1 is of great impor-ing jurisdiction is taxed at the same rate. This tance in the development of the mediaeval andemphasis upon uniformity of rate and valuation modern ideas of the relation between church andhas caused the system to be designated popu- state. It was he who first formulated in clear andlarly as the uniform rule. The theory underlying precise terms the dualistic conception of theirinsistence upon uniformity of tax rate and valua- relation. Since the conversion of Constantinetion was apparently that the aggregate of prop- there had been some tendency even in the westerty of all sorts owned by any individual pro- toward the idea of a unified Christian societyvided a suitable and all sufficient measure of his under the leadership of a Christian emperor.tax obligation. The taxation of all property by a But the western church had finally repudiateduniform rule was presumed to reach all who such a view; its own claims had been stated be-should pay taxes and to reach them in an equi- fore Gelasius' time by St. Ambrose, who dog-table manner. matically asserted not only the freedom of the The general property tax represents an inter- church but its sovereignty in spiritual mattersmediate stage in the evolution of property taxes. even over the emperor himself. It remained,The course of this evolution, which is charac- however, for Gelasius to give clear expression toteristic of the fiscal development of practically the complementary conception of the state's in-all countries, is illustrated in the fiscal history dependence and supremacy in temporal mat-of the older American states. In the earliest stage ters. In his fourth Tractatus Gelasius declaresof property taxation different kinds of property that before the coming of Christ certain personswere enumerated and were taxed sometimes ad were legitimately both kings and priests but thatvalorem, sometimes on a specific basis. As the in view of the feebleness of human nature Christ,wealth of the community expanded, the statu- who was himself the true and perfect embodi-tory enumeration likewise grew longer. The ment of the priest -king, separated the two officestransition from specific property taxes to a gen- and gave to each its peculiar functions and pow-eral property tax occurred when the legislature ers. In his twelfth Epistola Gelasius states thisabandoned the detailed enumeration and sub- view as a principle. The world is ruled by twostituted a blanket reference to taxable property. authorities, the sacred authority of the pontiffsInstead of enumerating the forms of property and the royal power. The Christian emperorto be taxed, the tables were reversed and all needs the pontiff for the attainment of eternalproperty not specifically exempted was declared life; the pontiff depends upon the government ofto be taxable. The uniform application of certain the emperor in temporal matters. Gelasius thusrules of valuation and assessment completed the provided the Middle Ages with the literary formchange to a general property tax. The differenti- for the dualistic principle of authority which itation of property, and especially the increased Geisteswissenschaften-General Property Tax 603 importance of intangible property have renderedproperty. There were always enough persons in the uniform rule of property taxation wholly in-America who were ready to sell "lock, stock and adequate. In a number of states the general massbarrel" to provide a free market for practically of property is being broken up into classes, eachall forms of property. The general property tax of which is being taxed by methods appropriateassumed a free market in which the assessor to its peculiar characteristics. could always ascertain and measure values from Conditions of early American life were favor- the actual sales of property similar to that which able to the acceptance of the general propertyhe was assessing for taxation. tax. Property ownership, especially in land and The pattern of the general property tax fol- the type of movables commonly associated withlowed a conventional design which became well the land, such as livestock, carriages and farmnigh universal through the process of statutory products, was open to all persons with initiative.imitation. In nearly every state it acquired con- The abundance of free land prevented the de-stitutional status and thereby a sanction which velopment of large social classes that were tra-caused it to endure long after its defects had ditionally dissociated from property ownership.been thoroughly exposed. The typical consti- There was comparative absence of those groupstutional provision declared that all property ex- which derive incomes from personal servicescept that specifically exempted should be taxed rather than from property. The early exemplarson a uniform basis and at a uniform rate. The of the personal service groups, whether laborersexemptions included public property and that or lawyers, had not yet begun to command suchused for religious, educational and charitable rewards for their services as to bring them con-purposes. Small amounts of personal property spicuously to the notice of the taxing authorities. were ordinarily exempted to each taxpayer, while Economic and social conditions favored the as-larger amounts were sometimes exempted to se- sumption that property ownership was the chieflected classes such as veterans and their widows. if not the sole index of taxable capacity. Prop-In some states the full scope of the exemptions erty was the mark also of political importance,reflected the predominant economic interest, since the suffrage was generally restricted by aagriculture, and the further exemption policy property qualification until after the close of theapplied more frequently to young livestock, eighteenth century. growing crops, products unsold on the farm and The intensely dynamic character of earlythe like than to other forms of wealth. American life favored also the development of The basis of assessment was expressed in a other characteristics of the general property tax;variety of phrases, such as "true value," "mar- namely, the use of the capital value rather thanket value," "fair value in money." All of these the annual income value as the basis of the taxexpressions were simply variations of the basic and the reference to the market for the deter-concept that value for taxation purposes is es- mination of the capital value. In a stable, moretablished in a free market. It is the amount that or less static society the annual income fromwould be paid for the property in a voluntary fixed property becomes the significant aspect of transaction between a willing buyer and a willing property ownership; in a dynamic, unstable so-seller. ciety future increments in capital value are more The assessment of property was made by an important than current returns. The tax lawsassessor or a board of assessors. This official was naturally adopted, both in Europe and America,ordinarily elected in the district which he served, the predominant characteristic of property. Inalthough in some of the larger cities he was Europe this led long ago to the taxation of realappointed by the mayor or the governing body. property on its annual income value, and inThe assessment district was the city, town or America it led to taxation on the capital value.township in all of the older states in which the The abundance of land and the migratorytown form of local government was important. habits of the population from early colonial In some southern and western states the county times prevented the American people from de-was the important unit of local administration, veloping the disposition to cling to chosen land-and the assessor there became a county official. holdings and other possessions. The European The assessment was made as of a fixed date land market was frozen. Land hunger led toand the selection of this date was determined in hereditary holdings, even with minute subdivi-large part by the convenience and advantage of sion, to keep the land in the family. This reluc-the dominant rural group, although the fact that tance to sell extended in a lesser degree to otherthe assessor usually had another occupation may 604 Encyclopaedia of the Social Sciences have contributed somewhat to the practise ofdespite the development of supplemental reve- arranging that the work be done in the slacknue sources. agricultural season. Assessment dates were there- With the increase in the amount and complex- fore either in the late autumn or the early spring. ity of wealth, the general property tax proved to These dates have persisted even in the statesbe an increasingly unsatisfactory form of taxa- in which industry and trade have overshadowedtion. The most fundamental defects were those agriculture, although they have no necessaryinherent in the basic theory of the tax itself. relation to the prevailing fiscal periods for busi- Because of these defects the administrative diffi- ness or for the governmental bodies themselves.culties became increasingly serious. To obviate seasonal variations in the case of mer- The theory of the general property tax proved chants' and manufacturers' stocks many statesdefective in two essential respects. In the first introduced the assessment of such property atplace, the course of economic evolution during its average monthly value. the nineteenth century produced an extensive In theory, the assessor was to inspect anddifferentiation in the character and composition appraise the several parcels or pieces of property of property. There was a vast division of prop- and fix his valuations in the light of his knowl-erty into tangible things and intangible rights edge of selling prices or by reference to marketand interests. The rise of the modern credit conditions. In practise, there was much copyingstructure and the growth of the corporate form of the records of previous years and a minimum of business organization were the two most sig- of that vigorous exercise of the judgment andnificant factors in this process of differentiation. the intellect which the theory of the generalWhile these intangible rights and interests are property tax required. Elaborate blank formsin fact a species of property and while their were designed, particularlyfor personal prop-development has had highly important conse- erty, in order to aid the assessor in securingquences from the standpoint of the use and complete statements of taxable property. These management of and the income from the tangible returns were to be sworn to by the taxpayer,wealth of the community, they are for the most and the assessor was usually required to supportpart merely representative wealth. The general his assessment with an affidavit that he hadproperty tax treated representative wealth as actually complied with the law. independent property to be taxed exactly as the The total tax levy upon the assessed valueunderlying physical wealth. It added together was made up of the separate ratesfor state,the corporation's tangible assets and its stocks county, municipal and school purposestogetherand bonds. Many states recognized the essential with any levies for other specific purposes asinjustice of this kind of double taxation to the determined by law. The state tax might be col-extent of exempting the stocks of domestic cor- lected at a fixed rate, or the rate might beporations. Although such legislation was often determined by dividing the total state assess-clearly unconstitutional it was seldom contested. ment into the sum required for state purposes. The second defect in the theory of the general The former method has been the more usual,property tax was in its assumption that property and some states have limited by constitutionalis an all sufficient measure of taxable ability. provision the rate which might be levied onThis assumption ignored the development of property for state purposes. the personal service occupations and the large The taxpayer became delinquent if the taxincomes which were obtained by many skilled was not paid by a certaindate, and the tax lienand professional groups. Full information on thus established could be satisfied by seizurethis point is still lacking, but the federal income and sale of the property. The owner was usuallytax returns show that wage, salary and other given a period of years during which he could personal service incomes comprise about 40 per- acquire title again by paying the accumulatedcent of all incomes reported by the small group taxes, with interest and sometimes a penaltyin of persons subject to that tax. addition. The failure to recognize the changes in the The general property tax served during a long forms and character of property gave rise to period as the principal source of both state andserious administrative difficulties. The assessor local revenue. Although the general propertycould not assess intangibles on inspection, since tax is dissolving into a series of taxes onclasses he could not see them and could have no certain of property, a large proportion of all state andknowledge of their existence. The escape of local taxes is still obtained from property taxesintangibles from taxation continued, and tax General Property Tax 605 rates on tangible property rose rapidly as gov- Inequalities in assessments proved to be a ernmental costs increased. Each advance in tax serious administrative difficulty from the earliest rates stimulated further evasion, and even instage of the general property tax. The first step those states which made most strenuous effortsin providing for the review and adjustment of the amounts of intangibles actually assessedassessments, known as equalization, was the cre- were but a very small proportion of the totalation of local boards of equalization. These were amount owned. In 1928 Ohio assessed $723 ,332 supposed to hear appeals from aggrieved tax- 000 of intangible property owned by individualspayers, examine the assessor's lists and equalize and corporations. A special investigating com-the assessment. The obvious inability of local mission has recently estimated the total intangi-boards of equalization to afford adequate relief ble wealth owned in the state at $15,703,985,000.led to the creation of state boards of equaliza- The pressure of rising tax rates gave rise totion. These boards had no technical equipment other administrative difficulties. Undervaluationfor the task and no great relish for it. The was attempted where sequestration could notresulting state equalization was usually a "log- be accomplished. As the size of individual prop- rolling" process. The creation of state boards erty aggregates increased, the technical equip-of equalization and of state boards of corporate ment and the intellectual capacity of the average assessment was followed by the organization of assessor were subjected to greater strain. Thesestate tax commissions. These commissions often problems of valuation would appear under anyabsorbed the duties of the earlier boards, but system of property taxation; they appeared first, their distinctive function was the supervision of however, under the general property tax. A par-the local assessment. The more vigorous com- tial solution was provided by transferring themissions were able to show decided improve- assessment of public utilities to state boards ofments in the direction of more equitable assess- assessment. This reform left untouched thements, but they were wholly unable to restore fundamental problem of uniform property as-the general property tax as an equitable form of sessment, since the local assessors continued totaxation. produce very unequal results in their treatment A similar result befell other administrative of the general mass of property. These resultsremedies. "Tax ferrets" were authorized in a may be summarily stated as a tendency towardfew states to ferret out evaders on a percentage regression; that is, small properties were oftenbasis. Naturally they aimed at the few conspic- assessed at higher percentages of true value thanuously wealthy taxpayers but did nothing to large properties. An exception to this tendencycorrect mass evasion by the rank and file of was recently disclosed in Chicago, where thetaxpayers. Inheritance tax laws provided for dis- proportions of assessed values to real valuesclosure of the contents of safety boxes for the were greater in the high value districts with apurpose of imposing penalty assessments on small voting population than in the residentialunlisted intangibles. While these devices some- sections where the voters lived. Detailed analysis what broadened the taxable base, they were of assessment tendencies in some states, notablyquite incapable of securing a complete assess- Wisconsin, has revealed a higher assessmentment of intangibles for taxation at high rates. basis for rural than for urban property. As a consequence of the theoretical defects The assessment of personal property has givenand the practical administrative difficulties, the rise to administrative problems of another sort. adequate assessment of personal property be- The difficulty here has been in finding the came increasingly difficult, and the general prop- property rather than in its correct appraisal,erty tax moved steadily in the direction of a tax although the proper valuation of large stocks ofon real property only. Had this tendency been merchandise or materials has been as much be-allowed to continue without interruption, the yond the capacity of the average local assessorAmerican experience with property taxation as would be the proper assessment of high valuewould have paralleled the English and continen- real estate. In some eastern states, particularlytal experience. The combined influences of stat- New York, the taxation of personal propertyutory exemption and of unchecked evasion has been largely discredited by pro forma assess-would in time have effected the transformation ments of nominal amounts or by the doomageof the general property tax into a real property assessment of large amounts against individualstax. chosen more or less at random, with the privi- There is some sentiment in the United States lege of "swearing off" the assessment. for permitting and encouraging this transforma- 6o6 Encyclopaedia of the Social Sciences tion, but there is an even greater weight of opin-development. The primary segregation was be- ion in favor of retaining a fairly broad system oftween tangible and intangible property, and property taxation, under which the mass ofmany states adopted this classification. Intan- property should be resolved into classes, each ofgibles are taxed at low, flat rates. As a result of which should be taxed according to its peculiarthis reform enormous gains have been registered characteristics. The strength of this movementin the volume of such property assessed and for a diversified property tax is derived from the substantial increases in the revenue collected. belief that personal property is a beneficiary ofIt has not always been realized, however, that governmental services in the same or even inthe successful operation of a low, flat rate tax greater degree than real property. on intangibles demands strict supervision by the The passing of the general property concepttax commission. meant a transition from taxation in personam to Elaborate classification of tangible property taxation in rem. Modern diversified property has not been undertaken in many instances. The taxes are not aimed at the ability of the owner as practical result of such schemes in Minnesota a person to pay taxes. This element of personal and Montana, for example, has been the singling ability to pay is now being reached by anotherout of a specific type of activity, particularly tax which is far more exact for the purpose, mining, for relatively severe taxation .It must namely, the personal income tax. Realization ofbe concluded that the principal benefits from a the superiority of this test of personal ability scheme of classification are realized in providing hastened the abandonment of the effort tofor separate treatment of intangibles and that measure total ability by total property, a method little advantage is to be derived from an elab- which could never be adequate even as regardsorate grouping of tangible property into classes property owners except under a single compre-to be taxed at different effective rates. hensive taxing jurisdiction, to which each would A second line of reform, which has been less report his entire property. The property taxgenerally adopted, has been the taxation of in- therefore ceased to be regarded primarily as atangibles on an income rather than a capital form of personal taxation, but rather as a taxvalue basis. Massachusetts taxes at fixed rates against the property as a thing. interest and dividends, income from annuities Under this view, it is difficult to justify logi- and gains from dealings in intangibles. New cally any exemption of classes of property. EachHampshire taxes interest and dividends at the class receives governmental protection and otheraverage rate of taxation on other property. The services which are given to the property as such comparative tax burden on a 6 percent bond for and not to the owner as such. The owner of a$1000 in these states and in Minnesota, where stock of merchandise may live in another countythe rate is three mills on the dollar of capital or another state or a foreign country; yet thevalue, would be in Massachusetts $3.60, in New merchandise is protected by police and fire de- Hampshire $1.69 (at the average property tax partments and by the courts, and it is served by rate of $z.8o per $loo in 1929) and in Minnesota every governmental agency as fully and complete- $3.00. While the tax in New Hampshire is less ly as if the owner were a resident of the districtthan half that of Massachusetts, the general in which it is located. The substitution of anyresult of these newer methods, that is, of a flat kind of lieu tax for the property tax on any classtax on the capital value or a moderate tax on the of property, whether for reasons of administra- income value, is roughly the same. Either is a tive advantage or otherwise, should be recognized satisfactory and equitable remedy for the exces- for what it is, and should not operate to relievesive taxation of intangibles under the high rates the owner of his personal obligations under anyof the general property tax. From this stand- form of personal taxation which may be de-point the choice of remedies becomes a matter veloped. of preference or of political expediency. The The diversification of property into classes,Minnesota plan will derive revenue from non- for the purpose of taxing each class in a mannerdividend stocks which have a market value be- and at a rate appropriate to its characteristics, cause of prospective earnings, just as the capital has resulted in two principal methods of reform,value method derives revenue from idle land as the evolution of property taxation advancedheld in anticipation of an increase in value. from general to specific property taxes. The taxation of intangibles in Massachusetts The movement for the classification of prop-and New Hampshire, although popularly known erty for taxation was the first important reformas income taxation, is not to be confused with General Property Tax-General Strike 607 the personal income tax, which is levied againstonce supposed to be covered adequately by the the person and is based usually on the entiregeneral property tax. These are a tax or taxes personal income from all sources. The two stateson the several classes of property, a business tax mentioned are employing the income ratherand a personal income tax. than the capital value basis for taxing specific The evolution of tax systems toward a highly forms of property. In other words, they arediversified group of taxes has proceeded much employing the principle of property classifica-farther in Europe than in the United States. tion, with a further differentiation in the basisThere the pressure for revenue has been such of the tax in the case of intangibles. They arethat no conspicuous taxable object could escape therefore observing the rule of universality innotice for very long. The general property tax that all property is taxed in some manner; butdisintegrated centuries ago in England and on they have abandoned the rule of uniformity ofthe continent, but the taxation of specific forms method and rate , which is an essential feature of property, of business and of incomes has con- of the general property tax. Should either oftinued with increasing severity. The general these states introduce a thoroughgoing personalproperty taxes in Germany, the Netherlands, income tax, it would be entirely proper to in-Denmark, Austria and Hungary, are of a supple- clude interest and dividend income along withmentary nature. They are intended to reach the income from tangible property and personalwealth escaping other forms of taxation, particu- services without modifying or repealing the ex- larly the income tax, and to subject earnings from isting taxes, which have here been consideredproperty to a heavier tax burden by taxing the to be special types of property taxation. In aproperty as well as the income. The rates are number of states which now use the personalkept low and the yield has been moderate, both income tax the error has been made of assuming absolutely and in relation to total revenues. that the inclusion of income from intangibles HARLEY L. LUTZ was a sufficient warrant for the complete exemp- See: TAXATION; TAX ADMINISTRATION; ASSESSMENT tion of intangibles as property. OF TAXES; LAND TAXATION; CORPORATION TAXES; Another aspect of the reform movement is BUSINESS TAXES; INCOME TAX; LOCAL FINANCE. the development of special business taxes. The Consult: Seligman, E. R. A., Essays on Taxation (loth ed. New York 1925), especially ch. ii and p. 628 -5o; general property tax applied to the property Lutz, H. L., Public Finance (2nd ed. New York 193o) used in business as to other property, but the chs. xvii -xviii, and The State Tax Commission, Har- growth of large business units demonstrated vard Economic Studies, vol. xvii (Cambridge, Mass. anew the inability of the local assessor ade- 1918); Leland, S. E., The Classified Property Tax in the United States (Boston 1928); National Tax Asso- quately to value such properties. There was no ciation, "Preliminary Report of the Committee Ap- free market for factories, steel mills, apartmentpointed ... to Prepare a Plan of a Model System of houses and similar large aggregates. In the ab- State and Local Taxation" in Proceedings, vol. xii sence of a suitable technique for arriving at a(New York 1920) p. 426 -70; Bullock, C. J., "The taxable basis an effort was made to overcome State Income Tax versus the Classified Property Tax" in National Tax Association, Proceedings, vol. x (New the deficiencies of the local assessment by taxingHaven 1917) p. 362 -84; Fux, Boleslav, "Die Ver- the corporate excess; that is, the excess of the mögenssteuer" in Handbuch der Finanzwissenschaft, value of the corporate stock over the taxable vol. ii (Tübingen 1927) p. 133 -58; Moll, Bruno, Zur value of the tangible assets. The stock market Geschichte der Vermögenssteuern (Leipsic 1911); Win- ter, Curt, Die Vermögenssteuern der deutschen Bundes- valuation of the stock was accepted, althoughstaaten and der schweizerischen Kantone (Geithain the judgment of this authority is not always reli- 1915). able. Closely held stocks were valued by the tax commissioner, whose judgment and knowl- GENERAL STRIKE involves the sympathetic edge of such values were better than those ofcessation of labor by the majority of the workers the average assessor. Massachusetts and other in all the vital industries of any locality or region. states which once used the corporate excess haveThe term cannot properly be applied to general- found it unsatisfactory and have reacted towardized strikes within single industries. On the a business tax based directly on net incomeother hand, the assertion that there has never instead of on a valuation of stocks based on otherbeen and cannot be a genuine general strike people's judgment of the significance of therests on the arbitrary assumption of a completely income. universal cessation. The vital element in the Thus at least three different taxes are foundgeneral strike, whether it involves an entire na- to be necessary to cover the field which wastion or is restricted to a single locality, is the 6o8 Encyclopaedia of the Social Sciences more or less complete paralysis of the economicmoot points in the split between anarchists life of that community in order to bring aboutunder the leadership of Bakunin, who advocated certain desired ends. These ends determine theit as a means of overthrowing the government, classification of the general strikes which haveand the socialists under the leadership of Marx. occurred. The general strike may be economic,From that time on, especially as other types of aimed at the redress of specific injustices in in-strikes expanded into organized often nation dustrial relations, sympathetic in nature and di-wide affairs, the concept of the general strike has rected at the outset at least against employers.cropped up in many countries in trade union,as Or it may be invoked as a weapon to wrest somewell as in political labor circles. It was in con- new constitutional right for the working popula-nection with a proposed general strike for the tion; in this instance it is directed against theeight -hour day in the United States that the fatal government and is political and reformist inHaymarket Riot of 1886 occurred. That event character. Finally,it may be considered thearoused a new interest in the general strike opening wedge in a revolution against the entire especially in France, where it was enthusiastically established order, in which case itis revolu-included in the program of antiparliamentarian tionary in character. It is obvious that these lines "direct action," and in Belgium, where it was of demarcation are not always clear and may beconceived as an instrument for political reform. obliterated in the course of the strike. In the eighties and nineties of the last century it The effectiveness of this weapon was realizedwas the French labor movement which most in the prelude to the French Revolution whenvigorously advocated the general strike in its Mirabeau warned the privileged classes of hisown federations and in the international labor day against irritating "this people which pro- movement. Curiously enough France is the one duces everything and which to make itself for-important industrial country in which the gen- midable has only to become motionless." Whateral strike has never been put into practise. An Mirabeau had in mind was primarily a revolu-incipient strike in 1910 was broken under threat tionary strike, and this was true as well of theof court martial by Premier Aristide Briand, publicist Girardin, who in 1851 urged a univer-who as a socialist in 1888 and again in 1892 had sal strike against the coup d'état of Louis Na-been responsible for the commitment of the poleon, and of the sociologist Auguste Comte,Fédération Nationale des Syndicats to the gen- who a few years later spoke of this weapon of the eral strike; in 1920 another attempt at a general proletariat "against serious and prolonged viola-strike failed miserably. Beginning with the agi- tions of the sociocratic order." tation of a worker anarchist, Tortelier, in the It was only, however, with the advent of in- eighties, reaching a high point of development in dustrialism that the full force of the generalthe effective propaganda of Émile Pouget, who strike as an economic and political weapon was was responsible for the acceptance of the general realized. Credit for conscious advocacy of astrike in the Confédération Générale du Travail strike which was something more than a revolu- in the nineties, the glorification of the general tionary demonstration probably belongs to the strike reached its final theoretical culmination in Chartist pamphleteer and free lance agitator,the Reflexions sur la violence (Paris 1908, 5th ed. William Benbow, who in 1832 advanced the idea 1921; tr. by T. E. Hulme, New York 1912) of of a Grand National Holiday or Sacred MonthGeorges Sorel (1847- 1922), who believed in the of the working classes for the purpose of reform- general strike not as an actuality but as a "social ing society. In 1842 an attempt was made to putmyth" and the most significant form of propa- this in practise in Richard Pilling's unsuccessfulganda to keep alive the class struggle. Plug Plot; factory boilers were unplugged and By the time Sorel's work had appeared the in- workers "pulled out" in several counties, but thefluence of French theory and of actual general strikers were deserted by the Chartist politicalstrikes, economic, political and revolutionary, in leaders. other countries had brought the general strike The congresses of the First International (theinto the foreground to such an extent that in International Association of Workingmen) from 5905 it was probably the most vital issue in the 1864 to 1872 furnished the first debating groundlabor movement. Belgium had made use of the for the merits of this weapon in the hands of the political strike in 1893 and in 1902 to win uni- working class. It was introduced by the Englishversal manhood suffrage from the conservative delegation, which advocated its limitation to theand Catholic majority in the government. In economic sphere, and soon became one of the1893 the strike had brought out 200,000 work- General Strike 609 ers; in 190z, almost 300,000. Both strikes lastedout involving the whole working class in an im- only about a week; the suddenness of the formermense disaster." They were aware of the useful- resulted in the passage of a bill revising theness of a threat of the general strike and even ad- electorate but not granting unqualified universalvocated its use against some overweening and suffrage. The second found the authorities fullydespotic curtailment of popular rights or on an prepared and adamant. Many workers met deathinternational scale against the possibility of an at the hands of the military and the garde civique;outbreak of war. To his persistent belief and the Belgian labor movement suffered its firstoutspoken advocacy of an international general great defeat in twenty years. In Catalonia therestrike Jaurès fell a martyr shortly before the be- had been a revolutionary strike of some magni-ginning of the World War. tude lasting for ten days. In Italy in 1904 over Although the 1904 international labor con- 1,000,000 workers took part in a strike whichgress rejected the revolutionary strike, the advo- ended in rioting and violence as a protest againstcacy and practise of the general strike continued. the use of the military in labor disputes. Finally,In Germany the Jena congress of 1905 endorsed the revolutionary uprisings of 1905 in Russiathe strike and later Rosa Luxemburg and Karl had been ushered in by nation wide generalLiebknecht, whose father had opposed its use, strikes; one in January, based ostensibly on in-carried on the agitation for the revolutionary dustrial grievances but transformed into a revo-strike. In 1909 the first important economic gen- lutionary political strike, resulted in some in-eral strike occurred in Sweden as a protest by dustrial reforms and some months later in thethe Sveriges Landsorganisation (Swedish Na- grant of a popular parliament, or Duma. Thetional Federation of Labor) against the growing later strikes ended in wholesale slaughters, in theuse of the lockout by the powerful employers' loss of the democratically elected Duma and allassociations. This strike, which lasted a full other ostensible gains. It was this strike move-month and brought out 300,000 of the 500,000 ment, however, which led Lenin to give up theindustrial workers, ended in the virtual sur- antagonism to the general strike which had char- render of the workers. It disclosed not only the acterized his views up to 1900. solidarity of the working class but also the forces The discussion of the revolutionary generalwith which the government and middle and up- strike which had come up recurrently in theper classes would oppose a strike. Local trans- nineties in the second labor International be-portation was seriously impeded, but the gov- came a vital issue at the Amsterdam congress ofernment's threat of loss of jobs and pensions 1904 and clearly marked the division between held the railroadmen at work. Professional men, the extremists and the moderates, between thestudents, the titled and leisure classes, formed a syndicalists and the parliamentarians. By thispublic security brigade to carry on the most es- time no national lines could be drawn as to thesential services. advocacy of the notion: one of its most fervent In the same year a revolutionary strike broke advocates was Ferdinand Domela Nieuwenhuisout again in Catalonia, lasted for six days and of Holland; another was Dr. Raphael Friede-was followed by the unconstitutional trial and burg, the leader of a new syndicalist group inswift death sentence imposed upon Francisco Germany, the Lokalisten; to the French socialist Ferrer. The Spanish anarchists who fled from Hubert Lagardelle it was the simplest and most Catalonia to the New World exercised consid- effective weapon to carry out the class struggle,erable influence upon agitation for the general the advocacy of which was the "yardstick of so-strike, particularly in Argentina, where in 1919 cialism." In the United States in 19oá Williamunder the direction of the anarchist controlled D. Haywood and the newly formed IndustrialFederación Obrera Regional Argentina (F. O. Workers of the World supported without anyR. A.) a strike took place resulting in some eco- very definite program for its execution whatnomic gains but failing from a revolutionary Arnold Roller had called the "social generalstandpoint and causing hundreds of deaths. strike." To the politically minded and more con- A localized general strike in Dublin in 1913 servative leaders, Jean Jaurès in France, Émileunder the leadership of the syndically minded Vandervelde in Belgium, Karl Kautsky andJames Larkin awakened great sympathy through- August Bebel in Germany and to the majority ofout Great Britain, especially among that group the English speaking socialists the revolutionaryheaded by Tom Mann, who had come under the general strike was a dangerously double edgedinfluence of the I. W. W. in Australia. weapon which "could not fail a single time with- It was in 1913 that Belgian labor called its 6io Encyclopaedia of the Social Sciences third great strike for political reform, a proofobey the order were treated as rebel Bolshevists perhaps that it had by no means taken its pre-and many suffered death at the hands of Noske's vious defeats as final. This time, however, theretroops. was a ten -month period of preparation, and In China there occurred in 1925 a general 400,000 workers maintained a two -week strug-strike which began as an economic strike against gle, in which the only weak point was the failurecertain employers in Shanghai; since, however, of the public service workers to respond. Thethese employers were Japanese and Europeans, immediate political result was not striking andthe strike and the boycott that accompanied and universal suffrage was not granted until the endfollowed it took on a nationalist and antiforeign of the World War. But the magnitude of theaspect. Under the leadership of labor federations strike, its effective preparation and orderly con-affiliated with the Kuomintang the strike spread duct awakened fear among the middle and upperto Canton, Peking, Hongkong and other Chinese classes of Europe and encouraged the growth ofcities and lasted for over two months. Although those citizens' emergency organizations whichChina had often employed the boycott, this first were called into being in the post -war generalinstance of the use of the general strike was in- strikes. terrelated with the rise and development of the Immediately prior to the war in 1914 anotherfactory system, especially under imperialistic and revolutionary strike took place in Italy, in whichforeign control. Benito Mussolini, then a socialist, played a con- The general strikes of 1919 in Winnipeg, siderable part. At the close of the World War aCanada, and in Seattle, Washington, were sym- wave of sympathy strikes turned Italy into apathetic protests against the lowering of stand- center of revolutionary disturbances; this wasards by employers once the pressure of war followed by the Fascist reaction and its excesses. shortage was relieved. If the war had resulted in In the turbulent post -war period the most im- a strengthening of labor forces it had as well portant of the general strikes appeared in coun-demonstrated to citizens' committees and "min- tries which had previously had no experienceutemen" their capacity for action. The six -day with them -Germany, the United States, Can- Seattle strike and the six -week Winnipeg strike ada, Argentina, China and, finally, almost awere both hailed as Bolshevist outbursts; but hundred years after William Benbow's advocacy,although the American Federation of Labor was Great Britain. undoubtedly opposed to them, as it always had The influence of the Russian revolution wasbeen opposed to the general strike, these strikes evident in an abortive revolutionary strike underwere genuine trade union protests and inspired the leadership of the Spartacist Workers' andas much by the membership as by the officials. Soldiers' Council of Berlin, which heralded theIn Winnipeg a citizens' committee of moo ran abdication of the emperor and the creation ofthe fire, water and police services; the strike the German Republic in 1918. The followingended in rioting and the arrest and sentence of year the Spartacists again led a revolt and theresome of the leaders. Both strikes were remarkably ensued the strange spectacle of a Socialist gov-well managed by the unions in the matter of ernment suppressing such strikes through re- providing commissaries and the like. Outside of liance upon officers and soldiers of the oldmovements for general strike demonstrations, regime. In the resultant reign of terror 1500however, there is little or no vitality left to the men, women and boys were executed in onegeneral strike notion in the United States and week in Berlin. It was in this struggle that RosaCanada, especially since the decline of the Luxemburg and Karl Liebknecht, Germany'sI. W. W. two outstanding advocates of the general strike, The overwhelmingly significant economic were put to death. The folly of using such offi-general strike was that of May, 1926, in Great cers and troops showed itself in the monarchisticBritain. Many threats of a general strike had Kapp Putsch of 1920. The Ebert cabinet, which been made in the years from 1919 to 1921 by the had fled to Stuttgart, met this threat by the"Triple Alliance" and by the "Council of Ac- proclamation of a general strike for the unusualtion." The final threat ended in the fiasco of purpose of saving the existing government. "Black Friday." The general strike of May, 1926, After Kapp 's defeat and flight to Sweden thewas the inevitable outcome of the intentionally Ebert government ordered the strikers back toprovocative strategy of the Conservative cabinet. work against their will; and although few of theThe Trades Union Congress had threatened a Kappists were punished, strikers who refused togeneral strike in sympathetic protest against the General Strike 6i i national lockout of the coal miners on April 30,cost of the general strike to the government did 1926, and to the surprise of the leaders of labornot exceed $2,000,000, but the strike and the this challenge was accepted by the government.coal dispute cost the nation $400,000,000 in Although there was little or no preparation byrevenue and the nation's business over $2,000; labor, 3,000,000 workers, representing the vast000,000. Trades union funds were very seriously majority in rail and road transport, in dock anddepleted and a vast army of men left on the labor harbor work, in the printing trades and the pressmarket for months after the strike ended. Save and to a lesser degree in the building, iron andfor an amazing sense of labor unity and power steel and heavy chemical industries, obeyed theduring the actual days of the general strike, strike call and for a while completely paralyzedwhich perhaps had its reverberation in the La- economic life. The government, however, wasbour government's accession to power in 1929, well prepared for the strike and for emergencyit is doubtful if the dispute resulted in any gain. transport of foodstuffs by road and rail. TheIt cannot even be claimed that revolutionary middle and upper classes had organized in thefervor has been increased, for despite the rise of Order for the Maintenance of Supplies (O.M.S.).certain radical leaders to power the strike was The navy was extensively used, although ab-marked by its lack of revolutionary spirit and sence of press information kept thisknowledgeits insistence on the economic and social ends. from the public. There was much talk by mem- From this partial account it is obvious that bers of the Baldwin cabinet of civil war. Thegeneral strikes have been called in many coun- courts were invoked and the Astbury decision oftries by varied groups and under varying cir- May I I declared that the strike was illegal. cumstances. Trade unionists, moderate social- These measures may have caused consterna-ists, syndicalists and communists have alike re- tion but they were not as effective in the break-sorted to the instrument, either as a defensive or ing of ranks as the conciliatory officesof thean aggressive measure. The strikes haveranged more moderate Sir Herbert Samuel,who hadin length from the three -day strike in Italy in been chairman of the 1925 Royal Commission 1914 to the two -month Chinese strike.There has on the Coal Industry and who now camefor-been a wide variety of opinion among leaders as ward with somewhat unofficial offers of settle-to preparation and strategy. The advocates of ment of the miners' grievances. The Generaleconomic and political strikes have stressed the Council of the Trades Union Congress recom-necessity for careful planning on the part of the mended their acceptance, but the miners refused;leadership; to revolutionists like Trotsky and and on the following day, May 12, althoughLuxemburg, on the other hand, the only effec- there was little evidence that the ranks of thetive general strike was one which was not the strikers were seriously weakened, the Generalproduct of long organization and the arbitrary Council called off the strike. The miners re- fiat of leaders but one in which the revolutionary mained on strike for months afterward, ulti-energy of the ranks of labor providedthe real mately yielding piecemeal to the pressure ofmotive force. The original advocates of the gen- starvation and complete defeat. The ranks oferal strike realized the oppressive powers of gov- labor felt themselves badly deserted at the con-ernment but could not foresee the resourceful- clusion, and only the rail and transport workers'ness which capitalistic industrialismprovides. stubborn refusal to return to work until betterAs the use of road and air transport increases; as terms had been granted prevented the affairthe radio provides a substitute for the telephone, from becoming a rout. Nevertheless, in the fol-telegraph and mail; as the professional and lowing year the delegates to a special conventionleisured classes are organized into citizens' com- of the Trades Union Congress approved the ac-mittees not only of a generalized type but highly tion of their leaders by a large majority. specialized, like the Technische Nothilfe of The aftermath of the general strike was two-Germany, the inevitable revolutionary logic of fold: a reactionary Trades Disputes Act declar-the general strike will no doubt have to be ing general strikes illegal was made law in 1927;frankly faced by its advocates. The success of and an attempt was made by liberal capitaliststhe revolutionary strike in Europe has been and the General Council to achieve some practi- shown to be partially dependent at least on the cal degree of cooperation between capital andspirit of revolt in the military, naval and police labor, known as the Turner -Mond scheme. Op-forces; the existence of such a spirit in western position from the more conservative employers'nations is highly doubtful. Despite all these associations nullified their efforts. The actualreasons and the record of failure in the past the 612 Encyclopaedia of the Social Sciences weapon is hardly likely to be disregarded whenspark," "divine fire" and "working as if pos- in moments of desperate protest the workers feelsessed." Most people do not go quite so far as that other avenues of appeal have been deliber-the Comtists in their deification of great men, ately blocked or destroyed. but they are often reverent and almost religious WILFRID HARRIS CROOK in their attitude toward them and they erect See: LABOR MOVEMENT; CLASS STRUGGLE; STRIKE; monuments to them after their death. DIRECT ACTION; VIOLENCE; FORCE, POLITICAL; REVO- Francis Galton applied the statistical tech- LUTION AND COUNTER -REVOLUTION; ANARCHISM; SYN- nique of the probability curve to the study of DICALISM; CONFÉDÉRATION GÉNÉRALE DU TRAVAIL; genius and regarded the differences in human INDUSTRIAL WORKERS OF THE WORLD; FRATERNIZING. abilities from the idiot to the great man as Consult: Crook, W. H., The General Strike, a Study of Labor's Tragic Weapon in Theory and Practice (Chapel deviations from the average ability. He regarded Hill, N. C. 1931), with detailed bibliography; Georgi, eminence as due to ability which differs in Elsbeth, Theorie und Praxis des Generalstreiks in deramount but not in kind from the ability of the modernen Arbeiterbewegung (Jena 1908); Vandervelde, average man. Léon Paschal, who also conceives Émile, La grève générale en Belgique (Paris 1914);genius to consist solely of superior ability, holds Roland -Holst, H., Generalstreik und Sozialdemokratie (Dresden 1906); Lagardelle, Hubert, La grève générale it to be the property of developing mentally in (Paris 5905); Sombart, W., Der proletarische Sozialis- a constant fashion beyond adolescence, which mus, 2 vols. (Jena 1924) vol. ii, ch. xi; Lorwin, L. L. he regards as the threshold of decline in average (Levine, Louis), Labor and Internationalism (Newpeople. Others have devised the theory that York 1929); Ströbel, Heinrich, Die deutsche Revolu- tion, ihr Unglück und ihre Rettung (4th ed. Berlin 5922); genius is closely related to some form of insanity Clark, Marjorie R., A History of the French Laboror mental degeneration. Moreau de Tours be- Movement 1910 -1928 (Berkeley 1930). lieved genius to be a development of certain types of idiocy. Lombroso concluded on the GENEVA CONVENTION. See RED CROSS. basis of rich but artificially selected material that genius was a degenerative psychosis of the GENIUS. Genius was the counterpart in theepileptoid group. Much of the subsequent liter- ancient Italian religions of the Greek daimon to ature has concerned itself with disproving Lom- which Socrates acknowledged indebtedness forbroso's thesis. On the basis of his study of help in difficulties. It was at first thought of asBritish genius Havelock Ellis has shown that the godlike personification of the procreativesince the association of genius with insanity oc- power in man; every man had a genius and everycurs demonstrably in less than one out of twenty woman a Juno. Later it came to be regarded ascases, all theories as to genius being a form of a guardian spirit intermediate in character be-insanity must be discarded. Kretschmer points tween the gods and men, accompanying everyout, however, that psychopathic border line man from birth until death and helping deter-cases are definitely more common among men mine his destiny. There gradually developed the of genius than among ordinary men and holds notion that whenever a person showed a markedthat psychopathy tends toward creativeness be- deviation from the average in personality or abil-cause the psychopathic person, unadapted to his ity some spirit was speaking or acting throughenvironment and hence uncomfortable in it, re- him. Throughout the Middle Ages this beliefsists it and attempts to alter it by doing great colored all thinking upon the question of excep- things. He considers genius a rare and extreme tional power of any kind. Among many primitive variation of the human species biologically and peoples there is essentially the same attitude.as such possessing little stability. Lange -Eich- The Plains Indians' search for visions, for ex-baum also emphasizes the psychopathic as op- ample, was largely concerned with obtaining the posed to the psychotic aspects of genius. He personal favor of a guardian spirit, which wouldbelieves that the psychopathic constitution favors thereafter protect and guide the individual. Thethe development of genius because the intense able and successful person, whether warrior orand powerful affectivity with which it is accom- medicine man, ascribed his success and powerpanied results in experiences which others do to the favor of the guardian spirit. In modernnot have; it causes suffering and pain and leads times the word genius refers to the manifestationon to dream and phantasy which stimulate of the highest and rarest form of creative ability. achievement. Related to the explanation of gen- In popular thinking, however, it is by no meansius in terms of psychopathology is the judg- free from mythological and religious connota-ment of Jeannette Marks and others who find in tions, as is indicated by such phrases as "a divinedrugs and intoxicants the drive toward the crea- General Strike- Genius 613 tion of genius. The psychological concomitantsexperiences and provoked a process of intensive of tuberculosis are also thought by Marks andtraining. The Adlerians do not attribute artistic A. C. Jacobson to play an important part in theachievement only to compensation for a specific making of genius. defect, but they appear to regard this as the Freudians have attempted to explain the crea-most important single factor in genius. tions of the artistic and even of the practical Undoubtedly unconscious activity plays an genius as the sublimation of unsatisfied wishes.important part in artistic creations, but it is They regard the artist as maladapted and dis-difficult to use the concept of the unconscious satisfied, creating art as a "surrogate form ofwith any accuracy. In Jung's concepts of a life." Otto Rank believes that the artist, occupy-"racial unconscious" and differences between ing a position between the dreamer and theracial unconsciousnesses the concept takes on neurotic, is enabled to become an artist becausecertain highly speculative and almost mystical he possesses will power which others lack. Caseconnotations. The unconscious also forms the studies of genius by psychoanalysts illuminatebasis of Mary Austin's theory of genius, although the tenuous nature of their underlying hypothe-she prefers a somewhat different terminology. sis that the Oedipus complex furnishes the drive The quantity and the quality of men of genius toward the creations of genius. According tohave often been attributed to their race. Galton, Max Graf, Richard Wagner's Flying Dutchmanfor example, asserted that the average ability of fled back to the land in search of the one true the Athenians between 53o and 43o B.C. was, motherly heart, and when he found her he en- on the lowest possible estimate, very nearly two tered at last into rest; similarly Wagner strovegrades higher than that of the modern British, to find his rest in the refuge of motherly armswhose average ability is in turn two grades and boyish phantasy. Ludwig Jekels consideredhigher than that of the African Negro. Inas- Napoleon's ambition to rule the whole world tomuch, however, as the evaluation of genius or have been an expression of his wish to be in fullcreative ability varies greatly with time, culture possession of his mother -Mother Earth. Aliceand the judgments and standards of the group, Sperber interpreted Dante's failure to rebelit is hardly scientific to utilize Galton's criteria against the authority of the church as due to the of eminence in measuring African Negroes or fact that his own mild and non -interfering fatherAthenians. Gobineau, Chamberlain and more aroused no revolt in him; his interest in anotherparticularly Woltmann have expended consid- world arose from his desire to find the losterable ingenuity in an unsuccessful effort to objects of his affection -his mother and Bea-prove that one particular race, sometimes called trice. To explain the creations of philosophyAryan, sometimes Nordic, was responsible for Alexander Herzberg makes use of the concept ofmost if not all truly creative activity. sublimation of non -sexual as well as of sexual The relative part played by heredity and envi- impulses. He considers philosophizing to be theronmental opportunity in the creation of genius satisfaction of an impulse by means of an alter- has been the subject of extensive controversy. native to action and idealistic philosophy to beEvidence that eminent men tend to have emi- the result of an unconscious tendency to depre-nent children led Galton to contend that genius ciate or even annihilate the external world.was inherited. He failed to take adequate cogni- Diametrically opposed is Türck's view that gen- zance of the fact that in the families studied the ius, to create anything worth while, must keep environment was also superior. Lester Ward was in mind the laws of the real and the objectiveparticularly active in stressing the role of the and must not lose itself in arbitrary phantasyenvironment in determining achievement, argu- creation. ing especially on the basis of Odin's evidence The psychologists who accept the standpointthat economic status and the availability of cul- of Alfred Adler rather than that of Freud findtural opportunities in the place of residence were the source of a great deal of significant achieve-decisive conditioning factors. Cattell's study of ment in the mechanism of compensation for aAmerican men of science showed that the pro- real or fancied inferiority. They suggest, forfessional classes contributed fourteen times as example, that Demosthenes became the greatestmany scientists as did other groups and that the orator of his time by reason of his overcompen-agricultural class contributed only one half as sation for his speech defect; Beethoven a successmany scientists as did the manufacturing and as a musician because of his defects in hearing,trading classes. R. H. Holmes found that cities which early focused his interest on auditoryin the United States have been more than twice 614 Encyclopaedia of the Social Sciences as productive of individuals of eminence as thethe groups of adult geniuses studied by other rural districts and that the cities' ratio of pro-investigators; and, as Terman acknowledges, the ductivity has declined with the improvement inlater success of the children studied will depend the means of communication and of rural edu-upon factors other than the intelligence quo- cation. Place of residence and occupation oftients and may be determined by chance com- parents were also shown by S. S. Visher's statis- binations of personal merits and environmental tical study of notables in the United States tocircumstances. The question further arisesas be determining factors in achievement. On theto what relation exists between the kind of abil- other hand, there are undoubtedly differencesity possessed by the genius and the kind of in ability between individuals and families; butability demonstrated by intelligence tests. While that heredity is never entirely predictable istests have practical value in educational psychol- shown by Jennings, who contends that, whileogy, what they actually test and the intercorre- biologically superior parents appear to have alation of the various abilities which enter into better chance than others of having superiorthe performance are still uncertain. There is offspring, by a fortunate combination of genesconsiderable evidence for the view that "general biologically inferior parents may produce gen- intelligence" is not so "general" as was formerly iuses. Genius cannot be ascribed exclusivelybelieved and that the scores on the intelligence either to heredity or environment, to nature ortests are determined by whatever specific abilities to nurture; itis the complex product of theare being tested. There is no reason to believe interaction of these forces. The absence of req-therefore that the kind of specific ability pos- uisite factors in the economic and cultural envi-sessed by a Bismarck or a Michelangelo or a ronment, however, inhibits the development ofBeethoven would be correlated in any way with native ability. an intelligence quotient. Studies of the charac- Recently attempts have been made by Ter -teristics of gifted children might then have noth- man and his collaborators and by Leta S. Hol-ing to do with the often one -sided but remarkable lingworth to understand the creative ability of development of the genius. In view of the diffi- the genius by applying the methods of modernculty of knowing what an intelligence quotient genetic psychology, more particularly by study- signifies even when it has been obtained under ing gifted children who rank very high in intelli- the best possible conditions attempts such as gence tests. In the Terman study children withthat of Terman's collaborator, Catherine M. an intelligence quotient above 140 in the caseCox, to arrive at an estimate of the intelligence of younger children and above 132 in the casequotients of great men are misapplications of of the older ones were included in the giftedthe quantitative method. group. These children came mostly from homes If one assumes that a high intelligence quo- of high social status; a large proportion were oftient and ability which manifests itself in later English, German, Scotch and Jewish parentagelife are related, there is a discrepancy between and there was a somewhat larger proportion ofTerman's results on the proportion of the sexes boys than of girls, although the three childrenamong the gifted children -III boys to loo who scored highest were girls. In general it wasgirls -and the relatively rare incidence of women found that gifted children tended to be tall, geniuses in history, as noted especially by Lom- heavy and well nourished, strong and swift,broso and Ellis. Differences in education, in above the average in desirable character traitstraining for a career, in family cares, in cul- and nervous stability and rarely neurotic. This tural values for men and for women, help to ex- is in direct contrast with Havelock Ellis' state- plain the variation in achievement of the sexes. ment that there is a tendency for children who OTTO KLINEBERG become geniuses to be of feeble health and Kretschmer's view that if the psychopathic fac- See: HEREDITY; RACE; ENVIRONMENTALISM; INTELLI- GENCE; LEADERSHIP. tor, "the ferment of demonic unrest and psychic Consult: Galton, Francis, Hereditary Genius (new ed. tension," be taken away from the constitution London 1897); Paschal, Léon, Esthétique nouvelle of the genius nothing but an ordinary giftedfondée sur la psychologie du génie (2nd ed. Paris 191o); man would remain. The fact that the groupsLombroso, Cesare, L'uomo di genio (6th ed. Turin studied are by no means comparable makes it 1894.), English translation (London 1891); Ellis, H., A Study of British Genius (new ed. London 1927); difficult to determine the degree of contradiction Kretschmer, E., Geniale Menschen (Berlin 1929), tr. between these judgments. Terman's group ofby R. B. Cattell as The Psychology of Men of Genius superior children is not so highly selected as(London 1931); Lange -Eichbaum, W., Das Genie- Genius-Gentili 615 Problem (Munich 1931); Marks, J. A., Genius and Dis- solicitous. He distinguished between useful com- aster (New York 1925); Jacobson, A. C., Genius:Some merce which exported finishedgoods and caused Revaluations (New York 5926); Hinckle, B. M., Thethe importation of raw material, and harmful Re- creating of the Individual (New York 5923) ch.vii; commerce which exported rawmaterial and im- Rank, Otto, Der Künstler und andere Beiträge zurported finished products; the former should be PsychoanalysedesdichterischenSchaff ers,Imago - Bücher, vol. i (4th ed. Leipsic 1925); Herzberg, Ale-left free, the latter should be subject to the xander, Zur Psychologie der Philosophie und der Philo - strictest regulation. Genovesi viewed with dis- sophen ( Leipsic 5926), tr. by E. B. F. Wareing (Lon- favor the imposition of treaties of commerce don 1929); Austin, M. H., "Making the Mostof upon "nations that have neithermaritime trade Your Genius" in Bookman, vols. lviii -lx (1923-25); and acces- Türck, Hermann, Der geniale Mensch (7thed. nor navigation" and "wish to be open Berlin 1910), tr, by G. J. Tamson and E. C. Dei - sible to all nations." Here as in all his economic bel and ed. by G. F. Payn, F. S. Delmer, and J. A. thinking he had in view the peculiar conditions Falconer (London 1914); Dooley, Lucile, "Psycho- of the Kingdom of Naples, which distinguished analytic Studies of Genius" in American Journalof his ideas from the generalizations of the physio- Psychology, vol. xxvii (5956) 363-456; Cahan, Jacob, Genovesi Zur Kritik des Geniebegriffs, Berner Studien zurPhi- crats. In his conception of the state losophie und ihrer Geschichte, vol.lxxiii (Bernefollowed Giannone. Starting from the principle 1911); Ward, Lester F., Applied Sociology(Boston that there can be no well ordered state where 5906) pt. ii; Cooley, Charles H., "Genius, Fame, and there are more than one authority and more than the Comparison of Races" in American Academyof deplore that Political and Social Science, Annals, vol. ix (1897) one law, Genovesi was impelled to 317-58; Odin, Alfred, Genèse des grandshommes (Paris schism between the civil and the religious con- 1895); Cattell, J. M., "A Statistical Study of Ameri-science which the polity of the Roman church can Men of Science" in Science, n.s.,vol. xxiv (5906) had introduced into the very lives of the people. 658 -65, 699-707, 732-42, and vol. xxxii (1910) 633-Within the church he favored a limitation of the 48, 672 -88; Holmes, R. H., "A Study in the Origin of Distinguished Living Americans" in Americanpapal power over the bishops and a return of the Journal of Sociology, vol. xxxiv (1929) 67o -85; Visher, church to its purely spiritual functions thus dis- S. S., Geography of American Notables (Bloomington, pensing with legal authority and with coercive Ill.5928); Jennings, H. S., The Biological Basis ofpower. Human Nature (New York 1930); Genetic Studies of Genius, ed. by L. M. Terman, vols. i -iii (Stanford GUIDO DE RUGGIERO University, Cal. 1925-30); Hollingworth, L. S., Gifted Works: Elementorum artis logico -criticae (Naples 1745, Children (New York 1926); Hirsch, N. D. M., Geniusnew ed. Bassano 1794); Elementametaphysicae, 5 vols. and Creative Intelligence (Cambridge, Mass. 1931). (Naples 1743 -45; new ed. with title Disciplinarum metaphysicarum elementa, Bassano 1785); Trattato di scienze metafisiche per gli giovanetti (Naples 1766, 2nd GENOVESI, ANTONIO (1712 -69), Italian ab- ed. Venice 1782). His chief philosophical and eco- bot, philosopher and economist. Genovesi taught nomic writings are collected in Biblioteca dell' eco- metaphysics at the University of Naples but soonnomista, 1st ser., vol.iii (Turin 1852), and some turned his attention to economics. When in 2754additional political writings have been published for the first chair of commerce in Europe was insti-the first time in Monti, G. M., Due grandi riformatori del settecento: Antonio Genovese e G. M. Galanti tuted at the University of Naples, through the (Florence 1926) chs. i -ii. generosity of the Tuscan Bartolomeo Intieri, Consult: Galanti, G. M., Elogio storico del signor abate Genovesi was called to occupy it. His economicAntonio Genovesi (new ed. Naples 1778); Gentile, ideas aroused wide interest but they were hardly Giovanni, Storia della filosofia italiana dal Genovesi original; a free trader at heart, he neverthelessal Galluppi, 2 vols. (2nd ed. Milan 1930); Ruggiero, inclined for political reasons to a moderate pro-Guido de, Il pensiero politico meridionale nei secoli XVIII e XIX (Bari 1922) p. 6o -66; Fornari,Tommaso, tectionism. The basis of all economy, according Delle teorie economiche nelle provincie napolitane, 2 vols. to Genovesi, is agriculture; minerals,fisheries (Milan 1882 -88) vol. ii; Croce, Benedetto, Storia del and the like follow in importance. The bestregno di Napoli, Scritti di Storia Letteraria ePolitica, means of promoting agricultureis to removevol. xix (Bari 1925); Oncken, August, Geschichte der every obstacle to the increase andwelfare of the Nationalökonomie (Leipsic 5902) p. 241 -44. population, every fetter upon the internal circu- lation of its products, and to reduce as far as GENS. See SOCIAL ORGANIZATION. possible the number of those who do not pro- duce and who interfere with those who do. In-GENTILI, ALBERICO (1552- 1608), Italian dustry he would keep within strict bounds, asjurist. Gentili, a Protestant, was forced by reli- its disproportionate development would under-gious persecution to seek refuge in 158o in Eng- mine agriculture, about which he was chieflyland, where in 1587 he became regius professor 616 Encyclopaedia of the Social. Sciences of civil law at Oxford. He also practised in Lon-GENTLEMAN, THEORY OF THE. The don in the Admiralty Court. In 1584 he advisedterm gentleman is English, so English that it is Elizabeth's government with reference to thetaken over unchanged into other languages to plot of the Spanish ambassador, Mendoza, toexpress the many vague concepts which it covers. depose the queen and as a result was led to writeContinentals distinguish these concepts specif- his De legationibus (London 1585), in which he ically. The Italian signore must be rendered as insisted that the public character of ambassadorsgentleman, but it connotes wealth. Its abstract was limited within the states to which they werederivative, signorilità, denotes splendor, lavish- accredited; that rebels had no right to an am-ness. The old Provençal senhoril connoted pride. bassador unless their strength was equal to thatThe French gentilhomme denotes birth, as does of their government; that difference in religionthe Italiangentiluomo -for them to denote breed- between states did not involve any modificationing, an adjective must be added. The honnête of general diplomatic practise; and that the con-homme of the old regime had birth and manners. tracts of diplomats and their entourage con- In the United States not so long ago a gentleman cluded during an embassy were proper subjectin the language of vital statistics was a person matter for the local jurisdiction. This work gaveliving on income without practising a trade or Gentili a great reputation and influence and didprofession -the rentier in French and German; much to formulate and establish the principles in Italian possidente, meaning owner. The lan- and practise of modern diplomacy. In his Deguage of courtesy shows similar shadings and jure belli libri tres (Hanau 1598; ed. by T. E. specifications. Holland, Oxford 1877) he asserted that war The concepts that may be severally detected should be the subject of laws and that such lawsin the complex of notions embraced under the were naturally, and must always be, founded onword gentleman belong to all historic times and right reason and consent. Although this workpeoples. The sentiments which they express vary was soon eclipsed by the De jure belli ac pads ofin intensity and in their relative importance to Grotius, the first and third books of which wereone another. One fundamental characteristic based upon Gentili's earlier work, neverthelessnevertheless accompanies them in all times and Gentili is entitled to rank as a founder of modernplaces: they are sentiments of combat; they are international law. Grotius' Mare liberum also concepts of social competition. In modern dem- owes a great debt to Gentili's work. In 1613, asocratic times there is a tendency to think of the a defense of Spanish and English claims againstgentleman in terms increasingly ethical and for those of the Mare liberum, Gentili's posthumous four centuries theorists of the genteel have done Hispanicae advocationis (Hanau 1613) appeared,their best to confuse the gentleman with the the earliest published reports of judicial deci-ideal man. Montesquieu almost alone in his time sions on maritime law, consisting of pleadingswas courageous enough to contrast the gentle- and decisions in cases in the Admiralty Courtman's morality with the plain man's morality in London, in which the legality of the captureand to locate the concept of gentility in the of Spanish vessels by the Dutch was considered.sphere of social struggle (Esprit des lois, bk. iv, Gentili was engaged in these cases as advocate ch. ii). of Spain, an office to which he had been ap- The gentleman must be well born. The Ger- pointed in 16o5. mans concede birth in a term of bourgeois cour- W. S. M. KNIGHT tesy: hochwohlgeboren. Gentle itself derives from Consult: Holland, T. E., Studies in International Law the Latin gens and historically has been colored (Oxford 1898) p. 1-39, a reprint of Holland's famous by patriarchal feudalism, particularly that of inaugural lecture, with considerable bibliographyFrance. The old Provençal adjectivegents, mean- down to 1896; Phillipson, C., in Great Purists of theing pretty or nice, was derived from the Latin World, Continental Legal History series, vol. ii (Bos- genitive gentis: of family, of breeding. The test ton 1914) p. 109 -43; Armigero Gazzera, E., Alberico of gentility in feudal Europe is the right to a coat Gentili: bibliografia (Tolentino 1917), a very extensive bibliography of references down to the date of pub- of arms; therefore once a gentleman always a lication. See also the introduction by F. F. Abbott to gentleman. The point is reluctantly conceded by the edition of the Hispanicae advocationis, published Peacham (Compleat Gentleman, 1622), who la- in the Carnegie Classics of International Law, no. ix, ments that drinking, swearing and wenching 2 vols. (New York 1921) vol. i, p. sia -zia; and the introduction by Ernest Nys, published in the edition were no bar to recognition at the English court. of the De legationibus in the same series, no. xii, 2 Factors conditioning the importance of birth are vols. (New York 1924) vol. ii, p. 9a -37a. property, occupation and descent in time. Under Gentili-Gentleman, Theory of the 617 feudalism privilege had a legal basis in propertycies have always been peopled from the bour- deed. The general principle was formulated ingeoisie. It is again a relation of interdependence. positive law under the Venetian Republic, whichThe gentleman must have access to power, and admitted to its "originary citizenship" only fam- to lose such access means in the long run loss of ilies which had lived for three generations oncaste. Power apart from birth, wealth and breed- income. The sentiments corresponding to con-ing has readier access to gentility than has cepts of birth are more intense in more remote wealth, although the recognition may halt at periods of history, especially with reference toexternals: Marie Louise will marry Napoleon, primogeniture. In Graeco -Roman civilizationbut she will twit him in private. the family, according to Fustel de Coulanges, Achievement, distinguished ability, notable had a mystical status and was fortified by tabus. public service, have ever been roads to the ac- An exaggeration of the same sentiments appearsquisition of gentility. With singular obtuseness in Hindu concepts of caste and in EuropeanCastiglione in his Cortegiano (1528) regards gen- concepts of royalty. Castiglione, the most cele-tility as the cause of achievement. Theorists of brated of the older theorists of the genteel, re-the genteel as a rule are only too willing to see garded "quality" as physically hereditary andthe real point. Achievement, however, has al- cited analogies from horse breeding and plantways been subject to good manners, and it must culture. Goldoni's comedy exploits the notionlead to wealth; otherwise the genteel status is that a noble waif reared by peasants will in-ephemeral. The feudal system provided for such stinctively play at war; a peasant waif reared bypermanency by gifts of land and title. The Eng- nobles, at menial tasks. The prestige of birth is lish baronetcy, without inheritance of title, shows acquired in three generations by wealth orthe precarious status of achievement alone. achievement leading to exemption from gainful No gentleman works -and one must add -for labor; it is lost by returning to gainful labor. Ina living. The theory has been elaborated by Veb- modern democratic countries the distinctionlen in his Theory of the Leisure Class from the conferred by birth is less than that of achieve-point of view of economic determinism -a basis ment and good manners but it has held its ownfar too narrow. The sentiments attaching to oc- as compared with wealth. cupation are very violent and increase in inten- Wealth is the eternal disillusionment of thesity in earlier historical periods. The tabus parvenu. Historically a de facto attribute of gen-arrange themselves in a symmetrical scale. All tility, it does not constitute or confer gentility.through historic times menial labor has been a "Riches," says Peacham, "are an ornament, notbar to gentility, and with few and transitory ex- the cause of Nobility." The relationship be ceptions manual labor also. Zimmern in his tween wealth and gentility is one of interde- Greek Commonwealth outlines a primitive Greek pendence: the characteristic life of the gentle-community where artisanship was held in high man is impossible apart from wealth, which inesteem. There was a moment in Florentine his- its turn enables those whom Castiglione desig-tory when membership in the trade guilds was nated as ignoble to acquire the arts and in time forced on the Ghibelline nobility. For such cases the status of gentility. Gentility replenishes its the acute remark of Peacham on the mercantile ever depleting ranks from wealth at a pricenobility of Venice serves: if such people were which has not varied greatly in the course ofgentlemen at home, they were not so regarded centuries. The old Venetian nobility could beabroad. In modern democracies the political bought for ioo,000 ducats, the ducat beingequality accorded manual labor only intensifies roughly worth a pound sterling; a very respect-sentiments of social inequality. In Venice and able patent can be had by a gentleman for thatRome disqualifications of artisanship were ex- price today.' Wealth is in general powerless toplicit in positive law. In Grecian Thebes there acquire gentility apart from breeding. Wealthwas a law denying citizenship to anyone who had conjoined with birth tends as an objective factpractised a trade within ten years. The tabu on to produce power. But that power is not a requi-manual labor has at times a superstitious inten- site for gentility is shown by the French Revo-sity. The comte de Saint -Simon relates that the lution, where an aristocracy was swept fromnobles of Louis xiv in camp before Lille pre- power only to gain in social prestige. Henry iv offerred to go hungry rather than lift bags of rice France was slighted as an upstart by the gentle- from their wagons. The taint of labor descends men of his court. The present day gentleman'sfrom grandfather to grandson. The sentiments scorn for political power is not new. Bureaucra- work from below upward as well as from above 618 Encyclopaedia of the Social Sciences

down, as is illustrated by Princess Wolkowski's down to the grade of vicar. The priest is nota account of losing caste with her peasants ingentleman-in Europe the class struggle within Russia in 1916 by personally cultivating her roses. the clergy often rages violently. As for the "in- Peacham is puzzled by the fact that advocatestellectual," so- called -literature has noblegen- and physicians are barred from gentility althoughres, such as epic, tragedy and oratory; and "ig- those callings are "not servile but honorable,noble" genres, such as the tale, the farce and the noble and free." The mystery yields to Veblen'snovel. The novel has become genteel under principle of gainful employment. No professionEnglish influence since the eighteenth century. is genteel when it is practised for a living. Sala-Cultivation of the noble genres has consistently ried clientage for historical reasons is more gen- been held genteel, although in the days of feu- teel than free professional practise. Employeesdalism a knight regarded it as effeminate,as of institutions are more genteel than free lances."clerical," to know how to read and write. Lit- The same principle explains the case of the actorerature has been associated with money making and actress; the argument of presumptive sexualonly in very recent times- Voltaire was one of immorality usually brought against the actor'sthe first to organize and financially exploit circu- profession is an afterthought -immorality has lation. The gentleman of olden days shrank from never been a bar to gentility. The line drawn bypublication as a form of bad manners and got Peacham between the physician and the surgeoninto print only through the "treason" of some might seem explainable in the fact that the sur-friend or "theft" by some printer. The painter, geon of his day was a barber, were it not that athe sculptor and the architect were redeemed by similar line today separates the physician fromthe Italian Renaissance and largely through the the dentist. The surgeon and the dentist workadmiration accorded them by men of letters. with their hands. The surgeon, however, hasLeonardo was still regarded as a boss draftsman, recently been redeemed. The tabu on under-and Castiglione alluded to him contemptuously takers and executioners involves this element-as a dilettante. Michelangelo was one of the first regarded rationally, as de Maistre points out ofpainters and architects to win social recognition. "Monsieur de Paris," both would seem to beIn contemporary Europe literature and the arts solemn, half sacred functionaries -although theare roads to gentility on a basis of achievement, sentiments regarding gainful employment arebut unaccompanied by birth they remain in a complicated in their cases by powerful tabusstatus of clientage. The teacher has never been connected with corpses, death and bad luck. a gentleman-he works for money and in times The tabu on gainful employment is exempli-past he was usually a priest. Since the teaching fied in almost pure form in discriminationsprofession, like the priesthood, is exempt from against the merchant. Merchants were com-manual labor, it can contribute to the prestige of pletely barred from feudal and ancient gentility;birth -the priest may make a gentleman of his according to Fustel de Coulanges the Romannephew, the teacher of his son. reaction could be violent. The mercantile taint For four hundred years the western world has could, however, be removed in two generations assiduously cultivated the theory and the art of instead of three and was attenuated by goodmanners. Today manners are an essential attri- manners. In modern democracies there is abute of the gentleman. Absence of them will in- tendency to regard wealth resulting from busi-validate wealth and achievement and mitigate ness activity as achievement. sentiments attaching to birth and power. The Castiglione in particular, but older theoriststheory of manners has been consistently con- of the genteel in general, stress the exercise offused by the introduction of an altruistic ele- arms and expertness in dueling as the charac-ment, as, for example, in the definition of man- teristic pursuit of the gentleman. The situationners as consideration for others. Manners are has been analyzed anthropologically by Veblen.exquisitely practical and combative, a fact which Even in modern democracies a military com-tends to be more explicit with the older theorists. mission, down to the grade of lieutenant, is re-In France in 164o Faret formulated the rules for garded as of itself conferring distinction. Inpolitely slighting inferiors. Castiglione frankly monarchical countries tradition, if not law, re-recognized self -assertion as the right, nay duty, quires that army and naval officers be of gentleof the gentleman and elaborated a technique of birth for at least two generations. Machiavellian modesty. The considerateness of In the West the gentlemanly professions havethe gentleman is a chivalric compromise based been the military, diplomacy and the churchon the principle of reprisals: one accords recog- Gentleman, Theory of the 619 nition in exchange for recognition. Manners areseventeenth century. The transition in time is often erroneously regarded as deliberate devicesabrupt: there is a gulf between Rabelais and the for asserting quality. Undoubtedly manners haveFrench précieux in this respect. Reticence on been purified and perfected by study and criti-physical matters was unknown to the Middle cism in a process somewhat similar to the purify-Ages and the ancients. Hygiene is a very modern ing and perfecting of grammar and language.preoccupation of the gentleman; the obligation The material data, however, are supplied not byof bodily cleanliness does not antedate the.nine- invention but, as Pareto has shown, by historicteenth century, although it was characteristic of forces not directly comprehended by the gentle-the gentleman in the heyday of Graeco -Roman man, who eats with his fork because gentlemencivilization. Language is one of the manifesta- eat with forks: he does not know why. tions of group s -hence the various A fundamental distinction between ancientnon -rational. *11 genteel grammarians and oriental manners and modern western man- are always et '! numberless rational- ners lies, as is demonstrated by Crane, in the izations. A fa i érireentin history is the growth presence of women in modern western societyof a polite or literary language paralleling an and their absence from pagan and oriental socie- ordinary speech. The question as to why farnil- ties. From the twelfth century to the present the iarylanguage displeases in a printed book has role of women in society proper in the West has puzzled theorists of the genteel. Castiglione sug- steadily increased in importance and since thegested that it is due to the permanence of the seventeenth century has been virtually dominantprinted word. More probably it depends on the -the "indirect" influence of woman on affairsfact that a book establishes a formal, not an so dear to modern antifeminists. The promiscu-intimate, relation between author and reader. ous contact of men and women in society hasThe observance of fashion in dress is likewise presupposed an increasingly strict regulation ofdetermined by the pressure of group uniform- sex impulses and on the theoretical side has pro-ity, but it is also associated with powerful senti- duced recurrent chivalries and Platonisms. Overtments of competition. So cogent are sentiments manifestations of sex disappeared from Italianattaching to display in dress that aristocracies society early in the sixteenth century and fromhave often beenebliged to resort to sumptuary French and English society in the seventeenth laws as measuref self -preservation. Sentiments century. The gentleman is, however, by defini- attaching to abode are almost as violent. Housing tion sovereign and above restraints, and aristoc- regulations are enforced with special ruthless- racies have in historic times been consistentlyness in the Soviet Union as a direct and imme- licentious. Moralities are unredeemably bour-diate way of abolishing distinctions of class. geois; and there are peasantries which enforceMoralists have contended that "the clothes do the single standard set for the women also uponnot make the man." They do, however, make men, as in Sicily, Jugoslavia and Albania. Inthe gentleman; and although those same moral- general the plain man distinguishes moralityists praise the toiler's cot they wisely adorn from immorality; the gentleman distinguishesHeaven with gold and jasper. between immorality and scandal. The ethics of the gentleman are ethics of com- Castiglione distinguished neatly between the bat, of competition in a struggle for eminence bon compagnon and the gentleman. Boisterous-and distinction and are therefore antithetical to ness and noisy gaiety have been progressively humility, self -effacement, altruism and abnega- eliminated from the genteel since the days of thetion. Simplicity and inconspicuousness are prac- Hôtel de Rambouillet in France and the process tised in plutocratic democracies but as measures reached its climax in English Victorian sedate-of aloofness and exclusiveness -publicity being ness and dullness. for "climbers" only. The gentleman's ideal is The definition of the genteel as the art ofnot virtue but honor, as Montesquieu remarked; pleasing attained its maximum application in thewhatever is honorific will in the end be held French seventeenth century; but it is a universalvirtuous in the gentleman. In general the test of trend. Taine in his Ancien régime correlates with the gentleman is his superiority to external con- this definition the tendency in the language oftrols, especially the physical, moral and senti- elegance to eschew the physical and the concrete mental limitations that determine mediocrity. in favor of the euphemistic and the abstract. Re-The ethic of the gentleman in all times and luctance to mention certain parts of the body, places is Nietzschean, not Christian. Noteworthy such as the belly and legs, dates only from the among genteel superiorities is the superiority to 620 Encyclopaedia of the Social Sciences sentiment -a tendency that according to Taineboth domestic and foreign affairs. It was at reached a maximum intensity in the imperson- Gentz's suggestion that Christian Garve in 1794 ality of French manners under Louis xlv. Honormade the first adequate German translation of being the supreme virtue of the gentleman, ridi-Adam Smith's Wealth of Nations, and Gentz's cule, in the French sense, quite as much as dis-own translation and commentary on Edmund honor is the unpardonable sin. The gentlemanBurke's Reflections on the French Revolution may be a hero, but not a martyr. "In Things in-(1793) became the principal crystallization point different," said George Washington in his Rulesfor conservative and historical thought in Ger- of Civility, "be of the Major Side." Gentlemenmany. In 1795 he founded the Neue deutsche may espouse minorities as a matter of conscience,Monatsschrift in Berlin and in 1799 the Histo- but the minority musttnever be small enough torischejournal, which demanded that Prussia enter count as queer or eccentri s' e Earl of Pem-the coalition against France. In 1802 Austria broke joined the Quakers off b n Fox -but, saysobtained the services of this most talented of a contemporary, "he soon withdrew." The ethicGerman publicists, since his position as an offi- of the gentleman is a technique of prestige andcial in Berlin had become impossible politically. prestige means good standing with majorities. In very close personal contact with London, ARTHUR LIVINGSiON acting from conviction and unshaken by all vicis- See: ARISTOCRACY; CLASS; PLUTOCRACY; PROFESSIONS; situdes, Gentz remained the center of agitation LEISURE; HONOR;ETIQUETTE; DUELING; ROYAL for resistance against the French until Napo- COURT; CHIVALRY; WOMAN, POSITION IN SOCIETY. leon's downfall. Among his numerous writings Consult: Castiglione, Baldassare, Il libro del cortegiano, on politics the Fragmente aus der neuesten Ge- ed. by V. Cian (Florence 1894), tr. by L. E. Op- dychke (New York 1901); Casa, Giovanni della, Il schichte des politischen Gleichgewichtes in Europa galateo, ed. by Carlo Steiner (Milan 191o), tr. from(18o6) is of the greatest importance. the French edition of 1573 by Robert Peterson (new Gentz early recognized Metternich's brilliant ed. Boston 1914); Peacham, Henry, The Compleatdiplomatic abilities and from 1812 until his Gentleman, ed. by G. S. Gordon (Oxford 1906); Faret,death cooperated with him in the pacification of Nicolas, L'honneste homme, ed. by Maurice Magendie (Paris 1925); Fustel de Coulanges, N. D., La cité an-Germany and Europe. He acted as secretary of tique (28th ed. Paris 1924), tr. by lillard Small (12thall the European congresses from Vienna to ed. Boston 1901); Zimmern, A. E The Greek Com- Verona and every document of the Vienna chan- monwealth (4th ed. Oxford 1924); Crane, T. F., Ital- cellery passed through his hands. He gave the ian Social Customs of the Sixteenth Century (New classic Haven 1920); Taine, H. A., L'ancien régime (28th ed. diplomacy of the congress period its Paris 1920), tr. by John Durand (rev, ed. New York style. He differs from Metternich in his dynamic 1896); Magendie, Maurice, La politesse mondaine et les conception of the idea of balance of power. The théories de l'honnêteté, en France au xvlle siècle, z vols. quintessence of his thinking is a methodology (Paris 1925); Kelso, Ruth, Doctrine of the English Gen- based on Kant which kept him from the reac- tleman in the xvith Century (Urbana, Ill. 1929); Boehm, Max von, Die Mode: Menschen und Moden im neun - tionary political romanticism of his disciple zehnten jahrhundert, 4 vols. (4th -5th eds. Munich Adam Müller as well as from the liberal roman- 1924 -25), tr. by Marian Edwards (rev. ed. Londonticism of his friend Wilhelm von Humboldt. Al- 1927); Diebelius, Wilhelm, England, 2 vols. (5th ed. though his character has been disputed violently Stuttgart 1929), tr. by M. A. Hamilton, I vol. (New York 1930) p. 156 -67, 464 -66; Laski, Harold J., "The by Bonapartists, Prussian -German nationalists Danger of Being a Gentleman" in Harper's Magazine, and radicals, a profounder understanding of vol. clxiii (1931) 367-75; Pareto, Vilfredo, Trattato di Gentz from the standpoint of Europe as a whole sociologia generale, 3 vols. (2nd ed. Florence 1923);has been growing since the publication of Hein- Livingston, Arthur, "Myth of Good English" in Es- rich von Srbik's Metternich (2 vols., Munich says of 1925, ed. by Odell Shepard (Hartford 1926) p. 128 -40; Mosca, Gaetano, Elementi di scienza politica 1925). (2nd ed. Turin 1923); Veblen, Thorstein, The Theory KURT GROBA of the Leisure Class (new ed. New York 1918). Works: Ausgewählte Schriften, ed. by W. Weick, 5 vols. (Stuttgart 1836 -38); Kleinere Schriften, ed. by G. GENTZ, FRIEDRICH VON (1764-1832), Schlesier, 5 vols. (Mannheim 1838 -40); Staatschriften German publicist and statesman. As a disciple ofand Briefe, ed. by H. von Eckhardt, z vols. (Munich Kant, Gentz was at first enthusiastic about the 1921). French Revolution, but he later came to opposeConsult: Groba, Kurt, in Schlesische Lebensbilder, 2 both Jacobin radicalism and Napoleonic impe- vols. (Breslau 1926) vol. ii, p. 132 -56; Guglia, E., Friedrichv. Gentz (Vienna 1901); Mendelssohn- rialism. He was the most effective continental Bartholdy, K., Friedrich von Gentz (Leipsic 1867); Ro- advocate of the English system of balances inbinet de Clery, A., Les idées politiques de Frédéric de Gentleman, Theory of the - Geography 621 Gentz (Lausanne 1917); Reiff, P. F., Friedrich Gentz, Kircheisen andF.C.Wittichen in Institut für an Opponent of the French Revolutionand Napoleon österreichischeGeschichtsforschung,Mitteilungen, (Urbana 1912). For detailed bibliography see F. M. vol. xxvii (1906) 91 -146, and 682 -94. GEOGRAPHY CULTURAL CARL SAUER HUMAN CAMILLE VALLAUX ECONOMIC KARL SAPPER

CULTURAL. In the past century the geogra-activity as physically conditioned. The thesis of phers have been dislodged from their earlier carethe environment that molds civilization is of free encyclopaedic state, in which they discrim-course very old but receivedespecial attention inated only in terms of personal interest andfrom the rationalism of the eighteenth century made camp wherever the prospect pleased. Theand found able spokesmen in Herder, Montes- scientific tendencies of the time have brought ex-quieu and later in Buckle. Ritter's position was ternal criticisms and internal compulsions and avigorously attacked by Froebel and Peschel as large methodologic literature which marks theimpressionistic and unscientific. Even around process of intrenchment within arecognizablethe middle of the last century there existed a realm. The earlier volumes of the Geographische_polemic literature concerning the physical en- Jahrbücher (Gotha z866- ), especially the articlesvironment as the field of geographic study. by H. Wagner, are much concerned with ques- `/Friedrich Rawl in his Anthropogeographie tion of objective and method. The most compre- (2 vols., Stuttgart 1882 -91; 2nd ed. 1899 -1912) hensive epistemology is Alfred Hettner's Dieoutlined the framework in which human ge- Geographie: ihre Geschichte, ihr Wesen and ihre ography in the narrower sense has moved since Methoden (Breslau 1927). In these discussionsthat time,1set of categories of the environment essential unity has not been attained, and to this-ranging from abstract concepts of position and day there are irreconcilable camps. Thereforespace to climate andseacoasts -and their influ- the question as to what geography is must con-ence on By this one work he became the tinue to be asked, because the answer determinesgreat apost a of environmentalism, andhis the premises under which the data havebeen followers have largely overlookedhislater assembled. cultural studies, in which he concerned himself V Geography is approached in various waysandwith movements of population, conditions of to various ends'On the one hand,there is anhuman settlement and the diffusion of culture by attempt to find the limitation of study in a par-t major routes ofcommunication. The effect of ticular causal relationship between man andRatzel's environmental categories was not great nature; on the other, the effort is todefine thein his own country; in France it was tempered by material of observation. This cleavage has at-!Vidal de la Ble's acute substitutionof tained increasing dimensions year by year andpgssibilisme for the original determinism but in threatens perhaps to form a gulf across whichEngland and the United States the study of the no community of interests maybe maintained.physical environment as the goal of geography Cr The situation dates from the beginning ofbecame well nigh the mark of recognition of the modern geography but has grown acute only ingeographer. Apparently Ratzel did not regard the present century. The one group assertsdi-Nis" Anthropogeographie as anything more than a rectly its major interests in man; that is, inthestimulus and an introduction to a human geog- Gtrelationship of man to hisenvironment,usuallyraphy that was to be based on a study of culture. in the sense of adaptation of man to physicalWhereas anthropologists have made large use environment. The other group, if geographershis analysis of the diffusion of culture,western may be divided into twosimple classifications,geographers think of him only as an environ- directs its attention to those elements of materialmentalist. In the United States the Annals of the lçulture that give character to area. For purposesAssociation of American Geographers (pub- of convenience the first position may be calledlished in Albany since 1911) show therapid high that of human geography, the secondthat ofspread of human geography. So far the cultural geography. The terms are in use in thispoint of this invasion has been marked by H.H. (in manner, although not exclusively so. Bar rows' "Geography äs _Human Ecology" Karl Ritter, holder of the first academic chairAnnals, vol. xiii, 1923, p. 1 -14), the presidential in geography, especially emphasized humanaddress before that body in 1923, a frank plea to 622 Encyclopaedia of the SocialSciences institute the subject solely on the basis of en-discipline to which the physical differentiation of vironmental adjustmeni.So prevalent has thisthe earth's surface would yield. Geographers view become in English-speaking lands and soare now in possession of a method by which the different is the objective of the continental bodyorigin and the grouping of physical areas can be of geographers that the work done by the onedetermined and in which suessive steps in group is largely ignored by the other. their development are identified. Processes have ../The rejection of the environmentalist positionbeen identified, measures of the intensity and

t in geography is based not on any denial of the duration of their activity have been determined, importance of studies in environment but simplyand the grouping of land forms into assemblages on the following methodological grounds:(which constitute unit areas that can be geneti- no field of science is expressed by a particularca iy compared is well advanced. causal relation; (trthe environmentalist inquiry jhe latest agent to modify the earth's surface lacks a class of data as field of study, there being is man. ./Man must be regarded directly as a no selection of phenomena but only one of rela-geomorphologic agent, for he has increasingly tions, and a science that has no category of ob-altered "tlie ëö foliVtns of denudation and aggra- jects for study can lead, in Hettner's words, only dation of the earth's surfac Aand many an error a "parasitic existence "; (3) nor is it saved by ahas crept into physical geography because it was method that it can claim as its own; (èrrspecialnotsufficientlyrecognizedthatthe major pleading is most difficult to avoid by reason ofprocesses of physical sculpturing of the earth the fact that success lies most apparently or atcannot be safely inferred from the processes that least most easily in the demonstration of an en- one sees at work today under an occupation. vironmental adjustment. Theoretically the last ndeed, a class of facts wh Brunheslabeled objection is least serious; practically it has been facts of destructive occupation," such as soil most so, as is illustrated by a flood of easy ration- erosion, are most literally expressions of humanC alizations that certain institutions are the resultgeomorphosi1ie entire question of narrowing of certain environmental conditions. In this re-subsistence limits which confronts man in many gard those students who have least troubledparts of the world, apart from the question of the themselves with knowledge have reaped thegreater number of humans among whom the greatest apparent successes. The polemic againstsubsistence may need to be divided, is directly the position of geography as the study of envi-one of man as an agent of surficial modification ronmental relations has received its sharpestEven the most physically minded geographer is definition by Schlüter, Michotte and Febvre. driven therefore to this extent into the examina- V The giber schooj continues the major tradi- tion of human activity. tion of the subject. It therefore does not claim ' There has, however, never been a serious at- that it represents a new science but rather that ittempt to eliminate the works of man from ge- C attempts the cultivation of an old field in termsographic study.'I'he Germans have long had a acceptable to its age.iU.is, got anthropocentric;phrase, "the transformation of the natural land- rather has it shown at times excessive tendenciesscape into the cultural landscape "; this provides in the other direction. Çultural geography isa satisfactory working program, by which the only a chapter in the larger geography and al- assemblage of cultural forms in the area comes G ways the last chapter. The line of successionin for the same attention as that of the physical passes from A124z r von Humboldt throughforms. In the proper sense all geography is Oskar Peschel and Ferdinand_von Richthofen tophysical geography under this view, not because the present continental geographers. íßt proceedsof an environmental conditioning of the works. from a description of the features of the earth'sof man, but because man, himself not directly surface by an analysis of theirnesis to a com-the object of geographic investigation, has given Cparative classification ofregions.Since the dayphysical expression to the area by habitations, of Richthofen it has been customary also to use wor ps, markets, fields, lines of communica- ae term "clrölogy," the- asie+ee- 'eeions.tion. Cultural geography is therefore concerned During the latter half of the past century thewith those works of man that are inscribed into `i work carried on was overwhelmingly physical,the earth' rface and give to it characteristic or geomorphologic, not because most geog-expressiheo culture area is then an assem- raphers thought that the study of the genesis ofblage of such forms as have interdependence-anG physical land forms exhausted the field butis functionally differentiated from other arcs. because it was necessary to develop first aCamille Vallauxr----- in Les sciences géographiques (,1 Geography 623 (Paris 1925) finds the object of inquiry to be themeaning An additional method is therefore of transformation of natural regions and substitu-necessity introduced, the specifically historical tion therefor of entirely new or profoundly mod-method, by which available historical data are ified regions. He considers the new landscapesused, often directly in the field, in the recon- which human labor creates as deforming more orstruction of former conditions of settlement, less the natural landscapes and regards the de-land utilization and communication, whether gree of their deformation as the veritab eas-thes records be written, archaeologic or philo- ure of the power of human societies.n thislogj j The name Siedlungskunde has been giveri sense then he finds the physical area expressed_by the Germans to such historical studies and through two sorts of modalities, those that limitthey have been furthered especially by Robert ''and those that aid the efforts of the group7A per-Gradmann, editor of Forschungen zur deutschen sistent curiosity as to the significance o the en-Landes- and Volkskunde, and Otto Schlüter. A vironment is unaffected here by any compulsioncompact view of attainments and problems is to dress up the importance of the environment.given by the former in "Arbeitsweise der he facts of the culture area are to be explained._Siedlungsgeographie" in Zeitschrift für baye- by whatever causes have contributed thereto,rische Landesgeschichte (1928, p. 316 -57). August and no form of causation has preference overMeitzen gave great impetus to field studies by any other. asserting the extraordinary persistence of field Such a method of approach is entirely con-forms (Flurformen) and village plans as culture genial to the geographer. He has been accus- relics (Siedelung and Agrarwesen der Westger- tomed to r Bard the genesis of the physical areamanen and Ostgermanen, 3 vols., Berlin 1895). and he extds;similar observations to the cul-Although many of his conclusions have fallen, ture area, which has a somewhat simpler andthe inertia of property lines has proved a most more exact ferthan the culture area of the'Wv luable aid in determining inherited conditions. anthropolche geographic culture area is hereas much has been attained in the recon- taken to c poly of the expressions of man'sstruction of rural culture areas, the anatomy and tenure of ,. ,x , the culture assemblage whichphylogeny of the town as a geographic structure

records th- T #_measure of man's utilization ofare less well advanced to date. They are at pres- e, the surfac(,; : rr;pne may agreewith Schlüter,ent being pioneered by numerous studies, most the visibre- ffrgälly exteive and expressiveparticularly in France and Sweden. Important features ao noui4p resence.`These the geographergeneralizations have not yet appeared, but a maps as tot; ;k: 'bution, groups as to _g_enetictechnique of analysis is emerging. associatio4i, Its. ï'''':as to origin and synthesizes A logically integrated development is also into a éoQ F"" system of cum areas.Theunder way in economic geography as participat- experience e,;agromorphologic study providesing in the culture geography program (Pfeifer, the necesoryTotchnique of observation and a Gottfried, "Über raumwirtschaftliche Begriffe basis for evating the modalities stated byand Vorstellungen and ihre bisherige Anwen- Vallaux.;A, gegography such as this is still an dung in der Geographie and Wirtschaftswissen- observational science utilizing skill in field ob-schaft" in Geographische Zeitschrift, vol xxxiv, servation grid cartographic representation, and 1928, p. 321 -4o, 411 -25). Localization of pro- geographic therefore in methods as well asduction and industry is no longer the major aim objective. ; as in the familiar economic geography which The de g. pup r lent of cultural geography has oftaught distributions of commercial products and necessity proce. ded from the reconstruction ofanalyzed them. This now becomes a device in -successive euh Tres in an area, beginning withsynthesis, not an objective in itself the eco- the earliest at, proceeding to the present.The nomic geography that is in the making is nothing most seriousork to date has concerned itselfelse than culture geography carried down to not with r' it culture areas but with earlierdate, for the culture area is essentially economic culture;.incthese are the foundation of theand its structureis determined by historic present ar. i provide in combination the o growth as well as by the resources of the physical basis for a dynamic view of the culture areal IfarealThe title of pioneer belongs to Eduard culture aphy, sired by geomorphology, Há % who broke with the purely speculative

one e ' ributeitisthe developmentalculture stages of gathering, nomadism, agricul- one the subject. Such a slogan asture and industry and formulated a set of eco- "geo he history of the present" has no nomic form associations, of which the system of 624 Encyclopaedia ofthe Social Sciences hers.- culture has become best known.`lso he dis-§ynthetic study of the relationship between hu- proved a general succession in cultúre stages and an societies and thatsurfaceiAs long as geog- demonstrated the lateness of nomadism as .araphy meant simply a description of the surface culture form, first as "Die Wirtschaftsformenof the earth and of man's work on that surface der Erde"(in Petermanns Mitteilungen austhere could be one science of geography. During JustusPerthes'geographischerAnstalt,vol. this long descriptive period, when the investiga- xxxviii, Gotha 1892, p. 8 -12), Die Entstehung dertion into causes, although never completely ab- Pflugkultur (Heidelberg1909) and Von dersent, was rare and fragmentary, the two geog- Hacke zum Pflug (Leipsic 1914, 2nd ed. 1919). raphies were blended. One could not conceive of Cultural geography then implies a programphysical geography separate from human geog- which is unified with the general objective ofraphy, a fact noted by Strabo, the first of the geographyhat is, an understanding of the arealgreat geographers who limited the provinceof the science of geography to the inhabited world. Gdifferentiation of the earth) it rests largely on s direct field observations based on the technique"Ph sica . humaneo ra . h , of ._morphologic analysisfirstdeveloped incommon the fact that both are sciencesdealing physical... geography. Its method isdevelop-with he substance of the . _ r rth, C mental, specifically historical in so far as theand not with man'hysical eo raphy belongs material permits, and it therefore seeks to de-among the natural sciences.Human geography termine the successions of culture that haveis a natural as well as a social science, but treats taken place in an area. Hence it welds historical of man only as far as the subs the surface geography and economic geography into oneof the earth is affected by h. the extent subject, the latter concerned with the presentthat physicforces affect his 1 ual or col- day culture area that proceeds out of earlierlective life. On the other hand, since human ones. ¡it asserts no socialphilosophy such asactivity is sufficiently powerf el'tA modify the environmentalist geography does but finds itsbalance of the physical forces of a certain region, principal methodic problems in the structure ofphysical geography has been forced to take into area.lits immediate objectives are given intheaccount human activity and to becomein its i explanatory description of tl..iA data of areal occu- turn an extension of human geography. pation which it accumulates.\ The major prob- The connection betweenmari+anri t`!ie physi- lems of cultural geography will lie in discoveringcal environment which first presents itself is the the composition and meaning of the geographictheory of the determinant influence (4 environ- aggregate that we as yet recognize somewhatment ,ilie idea that the developthentgfhuman. vaguely as the culture area, in finding out more societies is influenced in one way or . mother by about what are normal stages of succession inthe natural conditions under Which they live. its development, in concerning itself with cli-Among these conditions climate!seeni the most mactic and decadent phases and thereby inimportant, for on it depend Srettltithe Bata gaining more precise knowledge of the relation and less directly the fauna, which lbéCauseof of culture and of the resources that are at theman's elementary requirements; f ) Sand cloth- disposal of culture. ing, form the essential basis of hungife. The CARL SAUER theory of the determinant influen dam';the cli- mate dates from as far back as Hi-- psátes,but HUMAN. However human geography may bewas expressed most clearly in theeighteenth cen- defined, it cannot be called a new science. Yettury by Vico, Montesquieud ittkkr `Consid- the designation is barely fifty years old, datingered in this way human geokkotay is :but an ex- from FriedrichRatzel's Anthropogeographie, tension of physical geography. B *ondijikhe first and was not readily accepted. Vidal de la Blache, discoveries made by the soeìalLai4rt ptitical sci- who as late as 1910 expressed his opposition to ences consisted in therealizatkni t hat by;np means the term and preferred to speak simply of geog-all the factors which control hut`ä t societies are raphy, changed his attitude and in his last yearsphysical -that physical determiri4fi exercises wrote his Principes de géographie humaine, whichonly a cestáin limited influence upu.,'the lifeof was published after his deathhe term empha-societie3:qiuman geography may thus be de- sizes the divisiortf the geographical sciencesfined as the science which deals with ti.'é a .dap- into two groups,y which physical geography,tation, in the widest sense, of human grt pups to the synthetic study of the surface of the earth,their natural environment: passi tionL. is distinguished from human geography, thewhen they subject themselves w with Geography 625 little resistance to the action of physical forces,its strength or vice versa, without any natural as occurs in the failure of men to settle certaincauses to explain these fluctuations, so that such regions; active adaptation when man to a greater writers as Hegel could go to the extent of deny- or lesser extent modifies the surface of the earth,ing the existence of any scientific relationship as is everywhe4 the case in regions in whichbetween natural conditions of this kind and the man is presenThese definitions must not belife of human societies L,..nce frequently unfa- taken in their strictest sense. In the inhabitablevorable natural conditions themselves 'do not part of the earth there are few regions whichresult in the complete prevention of human life, reveal no mark of man's activity; still rarer areone can see the limited rolóf physical deter, those regions where every trace of the originalminism in human eography.he real interest landscape, as it existed before the coming of the real object of the science lie elsewhere. man, has disappeared. All over the globe in- hey lie in the phenomena of active adaptation stances of active and passive adaptation occurwhich human societies display when they trans- t side by side. form a landscape, civilizing it by cultivation, While an adverse environment may mean autilization and communications of all sorts, and limitation or restriction of human existence and when they transform natural regions comprising may go to the extent of making it impossible, aa group of areas into human regionsAThe latter favorable environment can present only possibil- do not necessarily correspond with the natural which, however forable, may frequentlyregions, and the aspect of the civilized landscape Citiesnot be taken advantage hysical determinismgreatly differs from that of the natural landscape applies almost exclusive y to the most adversewhich it displaces or transforms. Thus the essen- conditions of environment'-for the exploitationtial facts studied by human geography become of favorable conditions of environment physicaldistinct in proportion to the extent of the trans-

determinism must combine itself with socialformation of the original landscape. /one can. determinism or, in other words, with a numberclassify them in a regular series -from the least of collective incentives and forces, among which complex, when the original landscape remains the share originally due to the natural environ- almost intact, to the most complicated, when, it ment is frequently imperceptible or completelyis almost completely hidden or transformed -a lacking. Geo : ra . h .'...... method which is not invariably successful:] the hum ala itat -the limits of the Okumene The náturaldscape underwent few changes and the Anökumene, to use Ratzel's expressionand the human landscape barely existed during -by fixing the limits of latitude beyond whichthe primitive stage of fruit gatherinu all normal human life is impossible and likewisefishig,fgliage huts or rocsk s e exs,.- when,peo- the limits of altitude on terrestrial elevations,ple were scattered and went about naked - themselves variable according to the latitude.covered with animal skins, possessing few im- It can also mark out similar limits around theplements and no political organization, as, for uninhabitable portions of certain deserts, sec-example, the Tierra del Tuegians as described tions devoid of all life and all means of life,by Darwin. 44'n the agricultural- astoral sta e like the Tanesruft in the Sahara. It is of littlethe natural landscape begins to ecome a uman ignificance that men can exist in these regions,landscape and becomes i creasingly so as rural 'bas do polar explorers, alpinists and desert ex-civilization flourishes. vrhese transformations

( plorers; they cannot live there in settled groups.never efface the essential characteristics of the In these instances physical determinism im-former landscape, for rural civilization strives to Gposes itself with severity. On the other hand, adapt itself to the landscape without destróymg regions with a climate in which moderate fluc-it. Doubtless great differences exist between the tuations of temperature, sufficient sunshine, andclearing in the jungle of equatorial Africa with rainfall distributed over all the seasons assure its huts and a few fields, the Moroccan village the best conditions for the development ofwith its earth colored houses sunk into the (, plants, especially the plants utilized by man, doground and the cultivated fields of Picardy with not necessarily witness the steady developmenttheir groups of towns and farms, but these vari- and prosperity of human societies. Even a per- ous stages of civilization are comparable in that

functory knowledge of history and a glance at ain each case a gradual adaptation to the_._._ land- map of the world reveal quite the opposite.scapef okplace simultaneously with the domes- There are regions with an excellent climate intication of animals and of useful plantsThe which human life at first flourished and later lostgeographical con figuration of the agricultural- 626 Encyclopaedia of the Social Sciences pastoral landscape is completed by the markettration of people and the gigantic growth of town, which is the center ofsettlement with alarge urban areas in proportions which would definite radius of influence. The commercial be unimaginable if food c.o.uld not be supplied city, Iarger than the market town and oftenby rapid transportation.frhethe enormous increase connected with a state organization, unites thein the means of subsistence and of labor involved commercial interests of a much greater radiusin large scale industry and the mass exchange of than that of the market town and maintainsgoods is the principal cause of the rapid increase direct comp]]unications with similar settlementsof the population of the earth At is also the cause elsewhere.` Jrban settlements of moderate sizeof the important phenomenon that densely pop- form a part of that agricultural -pastoral civiliza- ulated, newly stocked regions tend_to_ increase tion and frequently reveal the influence of thetheir population still further, while long settled natural conditions prevailing in the part of theregions with a sparse population constantly lose world where such a civilization exists. The influ- inhabitants; hence the increasing inequality of ence is usually apparent not in the general char-the distribution of man over the inhabited part acteristics of the settlements, but in a numberof the earth which goes hand in hand with the of habits and customs -housing, agriculturaloverpopulation of the large cities. The intensive implements, food and rural economic and agro-exploitation of natural resources by agriculture nomic techniques. Hence the notion of the genresand industry raises the question whether some de vie popularized in France by Vidal de lamay not possibly become exhausted, a question Blache, which applies more or less to all typeswhich except in certain definitely limited in- of human activity studied by human geography.stances geography answers in the negative chiefly l 1 he transformation of the landscape increaseson the ground that human labor is able to adapt ,with the industrial stage, with the advent of theitself with great flexibility. machine in industry and in the transportation CAMILLE VALLAUä of men and goods generally speaking, the agri- r cultural -pastoral civilization respects the land - ECONOMIC.'tconomic geography, although 'scape and strives to adapt itself to it while theyoung as a scientific discipline, is ancient as an industrial civiliza ' demolishes it and trans-applied branch of knowledge. The Indian ped- forms it completely It remodels the appearancedlers of Central America and the Hausa traders of the earth almost entirely, breaking up andof Central Africa are acquainted with the pro- removing the surface of the soil with quarriesduction and co nsumption, the physical condi- and mines or burying it under slag; leveling ittiioons, natural resources and trade routes of by means of enormous industrial plants, ports,conside`rabre areas. Doubtless the sa- i-feld true railway stations, tracks and viaducts; covering itfiiimffieltáders of the period of the prehistoric with large cities: even attempting artificially tolake dwellers in Eope, who frequently trav- revive th9 original landscape through parks andeled long distancesYLarge scale traders or manu- gardens"Large cities spread and unite, formingfacturers of civilized countries in conformity urban regions, and no connection with the nat-with the demands of the new era need an inter -t ural xegion any longer exists. national outlook and a knowledge of economic G ¡This descriptive method applied by humangeography in order to work profitably. Many geography not only permits a search for causescommercial reports made for large business but also forms an important aspect of geographyhouses are excellent dissertations on economic because of the analysis and the interpretation ofgeography, which will be fully developed as a the general conclusions which it involves, evenscientific discipline only when merchants and though these activities belong to a field in whichfarmers dealing in the international market avail geography merges with sociology, especially withthemselves of the findings of scientific geography that branch of sociolou, which in France isand economics. This may be anticipated in the called morphologie sociale. pie establishment oflight of the admirable monographs which some rapid and convenient lines of communicationpractical agriculturists such as von Thünen and over land and sea amounts to a reduction in theEngelbrecht have produced. Unfortunately, men size of the earth and brings about a more andwho have distinguished themselves in practical more direct contact between large human groups,fields have rarely recorded their experiences in with all the social, economic and political reper-4The form of writings on economic geography. cussions which this fact involves. Easy commu- he geographer usually lacks sufficient insight nication makes possible the increasing concen-into complicated economic mechanisms -which Geography 627 the most detailed statistics cannot remedy. Normatter to be the geographical distribution of can theoretical knowledge of economics fullylabor and the differences in the quality and `1 compensate for the lack of personal practicalquantity of the production, the commerce and experience. the consumption of various districts. Methodo- Historical and geographical works from thelogical discussions of the aims, the limits and time of Herodotus and Strabo have given mer-the methods of economic geography, which play ited attention to the importance of economican important part in the works of the German activities. Sebastian Münster in the sixteenthgeographers, especially Sieger, Friedrich, Dove, century gave systematic accounts of the eco-Hassert, Hettner and Rühl, are less conspicuous nomic life of countries and cities. In the latterin the French literature. Sieger excludes the half of the eighteenth century Büsching did thisfield of colonization, which according to Brunhes more thoroughly, Turgot planned a system ofis to be included in the discipline. In the Soviet economic geography and von Humboldt under-Union economic geographers under the leader- took his highly important voyage to the Spanish-ship of Bernstein -Kogan and Baransky are no American colonial empire, which, due especiallylonger interested in the bare descriptive statisti- to his study of the economic and geographicalcal inquiries that characterized prerevolutionary peculiarities and divisions of the tropics, wasRussian economic geography, but are special- exceedingly fruitful not only for physical butizing in intensive studies of the present regional also for economic geography. Ritter, the first todistribution of types of economic activity and lay the foundations of a human geography, ap-of natural resources and in devising principles C...i roached the subject historically and sought toand practical programs for a coordinated devel- explain the transmission of cultivated plants andopment of these resources in terms of regional domestic animals. Hahn continued such inquir-integration. ies, List contrasted the economics of warm and "Economicgeographers and economists fre-i cold countries, and Kohl founded the geographyquently use the same source materials, but their of settlement and commerce. In 188z Ratzelways of exploiting them are essentially different. published his important work, Anthropogeogra-Economic geography considers primarily the re phie. Ratzel's general work was continued bylationship between human economic activityancL French scientists, especially Vidal de la Blachean area with its material resources. It thus con- and Brunhes, while. German geographers con-fines itself to the investigation of such objects tinued to concentrate ;vainly on the economicas possess a certain duration, while neglecting aspects of geography. Cam, a pupil of Ratzel,many a transitory phenomenon which the econ- published in x882 a program for the organiza-omist considers significant. Accordingly, Rühl tion oft-he fiell or economic geogyaphy, a nameprefers to speak of economic geography as a which he was the first to employ.e assigned toborder discipline between geography and eco- economic geography, in contrast to commercialnomics, while Hettner regards it as being a geography, which had chiefly served practicaldivision of geography, a division which main- ends,e scientific task of dealing with thetains a close relationship with cultural geography cnature71f world areas in their direct influenceand concerns itself with the geographical dis- upon the production of commodities and thetribution of the sources of material and to some movement of goodsYEconomic geogrphy andextent with non - material subsistence. In any-1 physical geography`thus parted ways.*Götz nev-case economic geography belongs to the border ertheless continued to place the main stress uponregions of geography and is not far removed the geographical foundations of economics, asfrom conomics, into which field it often over - did many others after him, as, for example, Joneslaps?:Economicgeography is also closely con> C.. and Whittlesey, while von Richthofen, Eckertnected with political geography, since commerce and Friedrich strongly emphasized the role ofand economic life are today often much more man as an economic beingi%Chishom, Lötgens, decisively separated by political frontiers than Sapper and Braun considered these two fieldsby physiographical barriers, which can fre- as equally important and investigated man's in-quently be surmounted with relative ease by fluence upon his environment. According tomodern technique. Because of the customs bar- Hettner economic geography is concerned withriers connected with them political borders often the economic potentialities and the relationshipsdivide a natural region in such a manner that the of the various countries and localities, whiledivisions are obliged to develop their economic Rühl following Robinson considers its subjectsystems along completely different lines. 618 Encyclopaedia of the Social Sciences !Economic geography may be divided into thescribe the degree to which man has exploited geography of production, the geography of coln-the possibilities of the physical environment but Cimerce and the geography of consumptioi \Thealso to anticipate the future by pointing out last mentioned field was clearly defined Only bypossible or desirable future developments and Schmidt as Iate as 1929/Ascommerce pre -by preventing the wasteful depletion of natural ,k siiipposes traffic, the economic geographer aïs'oresources, includes the geography of transportation in his In works on economic geography the tex- field. ff tual presentation is frequently supplemented by Befeke theoretical discussion of economic ge-charts. Cultivation, mining and industrial charts ography began, an enormous mass of economicdate from the seventeenth century, while more observations gathered from all areas and coun-complicated economic charts have come into use tries of the earth had been accumulating everonly in more recent times. Since the cost of since official and private explorers of foreign production of these charts, especially if they are regions had first focused their attention on eco-colored, is quite high, there is a tendency to nomic facts and potentialities. The desires ofcompress as much as possible into a single sheet. commerce and industry to acquire raw materialsTherefore colored spaces, color gradations, col- and to find new markets for their products ledored lines and dots or shaded drawings are used. economic councils, chambers of commerce, as-Unless overcrowding is skilfully avoided this sociations for the advancement of commercialsystem, however, often produces an almost con- geography and other organizations to investigatefusing picture; the economic atlases published economic prospects at home and abroad. Whenby Bartholomew in 19o7 and that prepared by the great powers increased their colonial posses-Philip and Sheldrake for the chambers of com- sions or acquired them for the first time, espe-merce in 1925 are representative of a superior cially in the second half of the nineteenth cen-type. In opposition to the method of representing tury, many publications appeared which greatlynumerous individual products on a single sheet, increased man's knowledge of economic condi- some economic geographers, as, for example, tions in foreign regions. In order to provide forPassarge, Schmidt and Heise, have recently por- surplus populations emigration societies andtrayed separately the regions of production and governments have also conducted detailed in-the routes to the countries of consumption of vestigations of regions under consideration foreach individual product. A new and significant settlement. The results of numerous investiga-method, used for the first time in 1917 by Finch tions undertaken on behalf of private businessand Baker, has found wide acceptance. The have been treated as business secrets and haveprinciple of this relative method, which permits become known to wider circles only throughof a very clear distinction between central and their effects on trade or on productive economicperipheral regions, consists in indicating each enterprises. There is no doubt, for example, thatunit quantity of a product by placing a dot at there are some oil companies which are far bet-the place of its occurrence. This method cannot ter informed about the geology of certain dis-be applied to countries for which no relevant tricts than are the geological institutions of theirstatistics are available -a considerable disad- governments. vantage. Regional economic geography has either occu- The number of research institutions in eco- pied itself with the spatial aspects of politicalnomic geography has recently been increased units or dealt with natural units in terms ofby the establishment of new chairs; at the same economic districts and provinces in an attempttime economic geography is rapidly becoming to acquire data to determine the location ofa distinctive part of the curriculum of higher industrial sites. The solution of these problemsschools of business. The establishment of maga- has required the consideration not only of physi- zines serving the interest of economic geography, cal geographic factors but also of the many othersuch as Economic Geography (published quar- social, cultural and political factors which exer-terly by Clark University since 1925) and Erde cise an effect on economy. General economicand Wirtschaft (published quarterly in Bruns- geography, on the other hand, has not advancedwick since 1927), is also encouraging more in- beyond beginnings, and even in agriculturaltensive study of the subject. geography the available material has not been KARL SAPPER sufficiently exploited.he objective of the eco- See: CULTURE; ANTHROPOLOGY; HISTORY; DEMOG- nomic geographer is, however, not only to de- RAPHY; ENVIRONMENTALISM; DETERMINISM; MAN; C Geography-George III 629 POPULATION; MIGRATION; CLIMATE; AGRICULTURE; tung für Siedlung und Wirtschaft" in Geographischer REGIONALISM; CULTURE AREA; COMMERCE; COMMER- Anzeiger, vol. xxxii (1931) I -5, 39-45, and Zwei Rek- CIAL ROUTES. toratsreden: das Aussterben der Naturvölker (Würz- Consult: FOR CULTURAL GEOGRAPHY. Schlüter, Otto, burg 1929); Hettner, Alfred, Die Geographie: ihre Ge- Die Ziele der Geographie des Menschen (Munich 1906); schichte, ihr Wesen und ihre Methoden (Breslau 5927); Michotte, P. L., "L'orientation nouvelle en géo- Rühl, A., "Aufgaben und Stellung der Wirtschafts- graphie" in Société Royale Belge de Géographie, geographie" in Gesellschaft für Erdkunde zu Berlin, Bulletin, vol. xlv (1921) 5-43; Febvre, L. P. V., La Zeitschrift (1918) 292 -303, and Das Standortsproblem terre et l'évolution humaine (and ed. Paris 1924), tr. in der Landwirtschafts -Geographie (Das Neuland Ost- by E. G. Mountford and J. H. Paxton as A Geo- australien) (Berlin 1929); Robinson, E. V. D., "Eco- graphical Introduction to History, History of Civiliza- nomic Geography" in American Economic Associa- tion series (London 1925); Sauer, C. O., "Recent tion, Publications, 3rd ser.,vol. x (19o9) 247-57; Developments in Cultural Geography" in Recent Sieger, R., "Geographische und statistische Methode Developments in the Social Sciences (Philadelphia 1927) im wirtschaftsgeographischen Unterricht" in Geo- ch. iv; Brunhes, Jean, La géographie humaine, 3 vols.graphische Zeitschrift, vol. vii (i9oI) 195 -206; Hassert, (3rd ed. Paris 5925), tr. by T. C. Le Compte (Chicago Kurt, Wesen und Bildungswert der Wirtschaftsgeo- i920). graphie, Geographische Abende im Zentralinstitut für FOR HUMAN GEOGRAPHY: Vallaux, Camille, Les Erziehung und Unterricht, vol.viii (Berlin 1919); sciences géographiques (new ed. Pariss 930); Ratzel, Ekonomiko - geografichesky sbornik (Symposium on eco- Friedrich, Anthropogeographie, 2 vols. (2nd ed. Stutt- nomic geography), ed. by N. N. Baransky, S. V. gart 1899- 1912); Semple, Ellen Churchill, Influences ofBernstein -Kogan and L. D. Sinitsky (Moscow 1929); Geographic Environment (New York 1911); Vidal Schmidt, P. H., Wirtschaftsforschung und Geogra- de la Blache, Paul, Principes de géographie humainephie (Jena 1925); The Chambers of Commerce Atlas, (Paris 1922),tr. by Millicent T. Bingham (Newed. by G. Philip and T. Sheldrake (London 5925); York 1926); Brunhes, Jean, Lá géographie humaine, Bartholomew, J. G., Atlas of the World's Commerce 3 vols. (3rd ed. Paris 1925), tr. by T. C. Le Compte (London 1907), and in collaboration with Lyde, (Chicago 1920); Hettner, Alfred, Die Geographie, ihre L. W., An Atlas of Economic Geography (Text and Geschichte, ihr Wesen und ihre Methoden (Breslau Maps) (3rd ed. London 1928); Passarge, S., Die Erde 1927); Durkheim, Émile, Les règles de la méthode und ihr Wirtschaftsleben, z vols. (Hamburg 1929); sociologique (2nd ed. Paris 1901); Richard, Gaston, La Schmidt, W., "Der Konsum in der Wirtschafts- sociologie générale et les lois sociologiques (Paris 19I2); geographie" in Geographische Zeitschrift, vol. xxxv Bowman, Isaiah, The New World (4th ed. Yonkers, (1929) 65 -86, and in collaboration with Heise, G., N. Y. 1928). See also the American Geographic Welthandels -Atlas, pts. ii, iv -v, vii, xv, xviii, xxv (Ber- Society, Research Series, published irregularly in New lin 5927-); Finch, V. C., and Baker, O. E., Geog- York since 1922. raphy of the World's Agriculture (Washington 1917); FOR ECONOMIC GEOGRAPHY: Thünen, J. H. von, Tiessen, E., Deutscher Wirtschaftsatlas (Berlin 1929), Der isolierte Staat in Beziehung auf Landwirtschaftand "Die wesentlichen Forderungen an wirtschafts- und Nationalökonomie, ed. by H. Schumacher- Zarch-geographische Karten" in Petermanns Mitteilungen, lin, 3 vols. (3rd ed. Berlin 1875); Engelbrecht, Th.,supplementary vol. xlv, no. 209 (i93o) 265 -74; Hei - Die Landbauzonen der aussertropischen Länder, 3 vols. derich,F.,"Die Sozialwirtschaftsgeographie"in (Berlin 1898 -99); Münster, Sebastian, Cosmographia Weltwirtschaftliches Archiv, vol.ii(1913) 455 -75; (Basel 1544; reprinted Basel 1632), partly tr. byScherzer, Karl von, Das wirthschaftliche Leben der Richard Eden as A Treatyse of the Newe India (Lon- Völker (Leipsic 1886); Schlüter, Otto, Die Ziele der don 1553); Büsching, A. F., Neue Erdbeschreibung, ed. Geographie des Menschen (Munich 1906); Weber, A., by M. C. Sprengel and others, 13 vols. (8th ed. Über den Standort der Industrien, 2 vols. (Tübingen Hamburg 1787- 1816), partly tr. by P. Murdoch as 1909 -14) vol. i; Whitbeck, R. H., Industrial Geography A New System of Geography, 6 vols. (London 5762); (New York 1924), and in collaboration with Finch, Turgot, A. R. J., "Géographie politique" in his V. C., Economic Geography (and ed. New York 1930); Oeuvres, ed. by E. Daire and H. Dussard, 2 vols. (new"Economics and Geography" in American Economic ed. Paris 1844) vol. ii, p. 611 -26; Ratzel, Friedrich, Review, vol. xvi (1926) supplement, 112 -33; Bowman, Anthropogeographie, z vols. (and ed. Stuttgart 1899- Isaiah, "Commercial Geography as a Science" in 1912); Brunhes, Jean, La géographie humaine, 3 vols. Geographical Review, vol. xv (1925) 285 -94 (3rd ed. Paris 1925), tr. by T. C. Le Compte (Chicago 192o); Götz, W., "Die Aufgabe der 'wirtschaftlichen Geographie' (` Handelsgeographie')" in Gesellschaft GEORGE III (1738 -1820), king of England für Erdkunde zu Berlin, Zeitschrift, vol. xvii (1882) (176o- 182o). George m, who at the age of 354-88; Jones, W. D., and Whittlesey, D. S., Antwenty -two succeeded his grandfather, George Introduction to Economic Geography, vol. i- (Chi- II, reflected in his private life the high if limited cago 1925- ); Eckert, Max, Die Kartenwissenschaft, 2 vols. (Berlin 1921 -25); Friedrich, E., Allgemeine ideals of the English Puritan tradition, but his und spezielle Wirtschaftsgeographie, z vols. (3rd ed. public principles and conduct were in closer Berlin 1926); Chisholm, G. G., Handbook of Commer- accord with the ideas of a German court than cial Geography, ed. by D. Stamp (I th ed. Londonwith the English political temper. True to his 1928), and "World Unity" in Geographical Review, vol. xvii (1927) 287 -300; Sapper, K. T., Allgemeine mother's injunction to "be a king," he deter- Wirtschafts- und Verkehrsgeographie (2nd ed. Leipsic mined to recover at least the personal power 1930), and "Tropenakklimatisation in ihrer Bedeu- exercised by William III. In the course of ten 63o Encyclopaedia of the Social Sciences years he succeeded, by fostering the sectionalcoast. Drifting finally into reporting, he became jealousies of the Whigs, in freeing himself froman editor and something of a newspaper entre- the group which had dominated his two prede-preneur but with uniform lack of success. He cessors. Instead of a Whig administration di-married when young, and family responsibilities rected by a party leader he introduced a govern-together with the intermittent nature of his jobs ment of Tory ministers chosen by himself andcaused him to lead a rather poverty stricken individually responsible to him for the executionexistence, in which actual hunger sometimes of his will. From 177o to 1782 he was virtuallyfigured. prime minister, not only directing general policy As he grew older he developed a sense of but deciding detailed questions of administra-serious philosophic need, for which he found no tion, especially in military affairs. Unlike theready answer. He possessed neither talent nor_. Stuarts he did not attempt to over -ride Parlia-training for patient inquiry; he questioned the ment but obtained a majority for his governmentworld rather than its thinkers. The problem of in the Commons by winning over the Tories and poverty, which had so often posed itself and creating a small party of his own, the "King's which he saw all about him in the backwash of Friends," as well as by a judicious use of influ- Civil War times, seemed to him the center of ence, patronage and bribery. This system ofhumanity's woes. The discovery of a solution personal rule might have lasted longer had it not was probably assisted by the peculiarities of the been discredited by the American fiasco. George situation in California, where, through a tele- III cannot, of course, be held responsible for thescoping of historical processes, the rich new revolution. In repudiating the colonial claimscountry with all its potentialities had within a and resorting to coercion he was supported atfew decades fallen into the hands of a small the outset by the bulk of English opinion. Thegroup of greedy speculators. At length in 1869 protraction of the war, however, was due mainlyhe had a flash of insight, which he compared to to his obstinate refusal to compromise. York-the "ecstatic vision" of mystics and poets. It town deflated his majority in the Commons and was the selfish monopolization of nature's gift, forced him to accept a change of ministers. Afterland, that kept man poor. 1784 policy and administration were no longer After eight years of groping elaboration of this controlled by him, except on one or two historictheme, first in the pamphlet Our Land and Land occasions, but by the younger Pitt acting as aPolicy (San Francisco 1871), later in the columns real prime minister with a cabinet of his ownof numerous newspapers, George began to choosing. This transference of power was con- write Progress and Poverty (San Francisco 1879). firmed by the recurrent mental disorder whichThen for the first time he turned to the writings together with blindness and domestic troubleof the economists -mostly English- Ricardo, clouded the later years of his long reign. Malthus, Mill and others. Like Marx before him R. COUPLAND he accepted much that he found there; in par- ticular the Ricardian law of rent appealed to him. Works: The Correspondence of King George the Third from 1760 to ... 1783, ed. by J. W. Fortescue, 6 vols. as axiomatic, but he gave to it and to itscorol- (London 1927 -28); The Correspondence of King George laries a new orientation and meaning. His theory the Third with Lord North from 1768 to 1783, ed. by concentrated upon the field of distributive eco- W. B. Donne, 2 vols. (London 1867). nomics rather than of production or of con- Consult: Davies, A. M., The Influence of George 111 sumption. He rejected the current doctrines of on the Development of the Constitution (London 5925); wages and interest and sought for an explana- Namier, L. B., The Structure of Politics at the Acces- sion of George 111, 2 vols. (London 1929), and England tion to support his conviction that all distribu- in the Age of the American Revolution (London 1930). tive shares were interdependent. This explana- tion he discovered by expanding the law of GEORGE, HENRY (1839 -97), American econ-diminishing returns and of a margin of produc- omist. His father was a publisher in a small waytion. In contrast to J. B. Clark, who applied the in Philadelphia and his limited income had to bemarginal principleto each separatefactor, divided among a large family. George's schoolingGeorge, regarding labor and capital as "but dif- was scant, whether from ineptitude at study orferent forms of the same thing -human exer- financial necessity the record does not clearlytion-" and as tending to an equivalence of show. In his teens he went to sea and after areward, made their shares a residual from the brief return to the restricted atmosphere of hismarginal productivity of land. But while labor intensely religious home he settled on the Pacificand capital were productive only by the permis- George III --- Gerber 631 sion and assistance of natural agents they alonetranslation of the impôt unique of the physio- were truly productive. Rent was anunearnedcrats, whose works George admired at second increment and it reduced wages and interest byhand but from whose theories his own doctrine its total amount. With progress, which led todiffered widely, became its distinguishing slo- greater land scarcity, the grip of thelandlordsgan. George died in 1897 in the midstof his tightened. The problem was to free the realsecond New York mayoralty campaign, leaving producers of wealth by dispossessing the holdersthe Science of Political Economy (New York of the unearned increment. 1897), a more formal exposition of his ideas, for Armed with this doctrine and fired with theposthumous publication. The agitation con- apostolic zeal of a man who had found truth nottinued to grow after his death, but on the whole in books but by slow assimilation of experience, it has spent itself with very little practical result George left San Francisco for New Yorkin beyond a few attempts to transfer the burden of 1880. Shortly after his arrival Progress andtaxation from the value of improvements to the - Poverty, which had at first attracted little atten-value of land. tion, began to catch the popular imagination R. G. TUGWELL and to sell enormously wherever books wereImportant works: The Irish Land Question (New York read. With its passionate eloquence and inspired 1881); Social Problems (New York 1883); Protection or Free Trade (New York 1886); The Condition of Labor style it filled the need of the time not only for an (New York 1891); A Perplexed Philosopher, Being an exposition of the direful effects of landlordism Examination of Mr. Herbert Spencer's Various Utter- but for a new social philosophy offering a simple ances on the Land Question (New York 1892).His program of reform to a harassedworld. Forcomplete works have been published in ten volumes (New York 1906-11), the last two of which are the George's program possessed perfect simplicity.standard biography of Henry George by his son. Neither the confiscation of land nor the com- Consult: Post, L. F., The Prophet of San Francisco munization of its use seemed to him necessary; (New York 1930); Young, A. N., History of the Single he merely proposed to "appropriate all rent by Tax Movement in the United States (Princeton 1916); taxation ... to abolish all taxation save that uponCommons, J. R., and others, History of Labour in the land values." He became something of a prophet United States, 2 vols. (New York 1918) p. 446 -61; Teilhac, Ernest, Histoire de la pensée économique aux and lectured widely at home and abroad. In Etats -Unis (Paris 1928) p. 1I2 -68; Beer, Max, His- England his book and his agitations had a re-tory of British Socialism, 2 vols. (London 1919-2o) sounding influence on the young intellectualsofvol. ii. the incipient Fabian Society. Of the numerous disciples who gathered about him in AmericaGERBER, KARL FRIEDRICH WILHELM many were men of wealthand influence, at-VON (1823 -91), German jurist. Gerber played tracted perhaps by the fact that his schemea preeminent part in thedevelopment of both seemed to offer no threat to the business system. private and public law in Germany. In his youth In the early years he also received an enthusi- he was greatly influenced by the historical school astic welcome from the trade unions, to whomand later by his friendship for Jhering. With the he appeared less as the bearer of a specific doc-latter he became the founder of a new historical trine than as a vague symbol of protestagainstschool, and both changed gradually from a sub- corruption and injustice. In 1886 the Centralservience to the folk spirit to a more austere Labor Union together with a group of socialistsdogmatism of rational concepts. Gerber's scien- importuned him to enter the race for mayor oftific development is very typical of the juridical New York. He was defeated by only a narrowtrend of his period, which turned from common margin and might perhaps on an honest count law to codification. In Das wissenschaftliche Prin- have been elected. But the chief result ofthecip des gemeinen deutschen Privatrechts (Jena famous campaign was to clarify his position and 1846) he conceived the German common law to to consolidate his supporters into ahomogene-be hardly more than a repository of German ous group freed from theentangling influence ofjuridical consciousness. If a historical jurispru- divergent and more radical doctrines such as dence was necessary to crystallize it, a dogmatic socialism. During the succeeding years thejurisprudence was necessary to adapt it to con- movement crystallized into its permanentform,temporary needs. The repudiation of the roman- working through numerous organizations andtic was even more clearly evident in his System devoting itself to sporadic political and persist-des deutschen Privatrechts (2 pts., Jena 1848-49; ent propagandizing efforts. From1887 on, the 17th ed. by K. Cosack, 1895), which at the same term single tax, misleading in thatit was a directtime shows a transition from the particularism 632 Encyclopaedia of the SocialSciences of Germanic legal institutions toa conceptualtheir effect upon the spiritual office, his principal Romanistic art of systematization. objections being that they absorbed time and This trend toward positivism is completed inentailed duties unbecoming to churchmen. In his Grundzüge eines Systems des deutschen Staats-the later treatises, beginning with De investiga- rechts (Leipsic 1865, 3rd ed. 188o), which owedtìone Antichristi (1161 -62), Gerhoh concerned much to Albrecht and in turn became the foun-himself with the violent conflict between Fred- dation upon which Laband built hissystem oferick Barbarossa and the papacy which had public law for the German Empire. Gerber'sbroken out at the papal election of1159, when conception of the personality of the state andthe majority of cardinals had chosen Alexander of the state as a sovereign person reflected theIII and the minority had set up Frederick's new political situation of Germany, which wascandidate as a rival pope. After some hesitation no longer the patrimonial state of the MiddleGerhoh gave Alexander his unflinching support; Ages nor yet the sovereign state of the period ofbut his profound distress over the charge that absolutism. Alexander's election had resulted froma con- Gerber had too keen a sense of political reali-spiracy entered into by certain members of the ties to lose himself in the barren wastes of fineCuria, the Normans of Sicily and the Milanese abstractions and mere formalism to which hisagainst the emperor illustrates his dismay at the theory led others. He was able to accommodatepollution of the sacred power by politicalcon- it to the imperial period which followed andsiderations. Even afterhisexpulsion from devoted the latter part of his life to practicalReichersberg in his old age for fidelity to Alex- politics as Saxon minister of public worship andander the fine sanity and balance of Gerhoh's education. mediating attitude remained undisturbed. In ERNST VON HIPPEL De quarta vigilia noctis, written the year before Consult: Stintzing, R. von, and Landsberg, E., Ge- his death, he unsparingly censured the worldli- schichte der deutschen Rechtswissenschaft, 3 vols. (Mu- ness of the church, pointing to avarice as its nich 188o -191o) vol. iii, pt. ii, p. 778 -88, 825-33. chief vice and capping his reiterated plea for the strict separation of powers by an expression of GERHOH OF REICHERSBERG (1093 ordoubt as to the justice and wisdom of the exist- 1094- 1169), German theologian and politicalence of papal states. theorist. Gerhoh was born in Bavaria and in A. J. CARLYLE 1132 became provost of the Collegiate ChurchImportant works: De aedificio Dei in J. P. Migne's of Reichersberg. His temperament and prin- Patrologia latina, vol. cxciv (Paris 5835) cols. 1587- ciples are singularly interesting as revealing an5336; selections from it appeared in Monumenta attitude toward church reform which was prob- Germaniae Historica, Libelli de lite imperatorum et pontificum, 3 vols. (Hanover 1891 -97) vol. iii, which ably not uncommon but which is only slightlycontains also selections from De ordine donorum represented in the literature of the time. His Sancti Spiritus, De novitatibus huius temporis, and the starting point was a strict adherence to the dual-. first book of De investigatione Antichristi, all ed. by E. istic nature of authority and division of function. Sackur; selections from De investigatione Antichristi Profoundly devoted to the Holy See, he yeted. by J. Stültz appear in Archiv far österreichische Geschichte, vol. xx (5858) 127 -88. severely reprehended whatever political tenden- Consult: Carlyle, R. W. and A. J., A History of Medi- cies in the church seemed to vitiate its spiritual aeval Political Theory in the West, vols. i -v (Edin- work. He was at the same time a loyal subject burgh 1903 -28) vol. iv, pt. iv, ch. iii; Nobbe, H. F. A., of the empire and resolutely criticized what he Gerhoh von Reichersberg (Leipsic 5885). conceived to be papal aggressions upon its rights. In his earlier treatises, De aedificio DeiGERLACH, ERNST LUDWIG VON (1795- (written between 1126 and 1132), De ordine1877), German publicist and statesman. Gerlach donorum Sancti Spiritus (1142-43) and Dewas one of the founders of the Conservative party novitatibus huius temporis (1155-56), he showsin Prussia and a leading exponent of conservative himself perplexed about the problem of theprinciples both in parliament and in the press. regalia, those quasi -political rights and dignitiesHe belonged to that class of conservative govern- which Pope Paschal II had proposed to sur-ment officials who being descended from the render if the emperor would concede the claimknightly nobility carried on occasion their inde- to investiture. While Gerhoh hesitated to advisependence in politics to the point of turning their the surrender of the regalia he was one of theconservatism against the government. Like his very few ecclesiastical writers who lamentedfather, who had resigned a high administrative Gerber--Gerland 633 post because of antipathy to Stein's reforms,fense of his ideas while respecting no govern- Gerlach was always something of a frondeur.ment or party were always impressive. With no agrarian connections and no zest for ALFRED VON MARTIN soldiering he was not a typical Prussian butConsult: Martin, A. von, "Autorität und Freiheit in rather an objective and internationally mindedder Gedankenwelt Ludwig von Gerlachs" in Archiv critic of Prussianism. In his political philosophyfir Kulturgeschichte, vol. xx (1930) 155 -82. he was influenced first by Savigny's faith in un- hampered organic growth as opposed to ration-GERLACH, OTTO ADOLPH JOSEPH (186z- alistic reform and later by Haller's theory that the1923), German economist. Gerlach studied math- historically evolved "natural order" was divinelyematics and physics and later social science and ordained; but he came to recognize that the cap-agronomy as a student of Roscher, Schmoller, stone of a conservative system must be the beliefWagner and Stammler. In 1903 he was appointed in a supernatural absolute order at the basis ofprofessor of political science at the University of all reality. He regarded political life from theKönigsberg. His most important works are in point of view of a jurist and moralist rather than the fields of value, finance and agrarian prob- a statesman; accepting Haller'sinterpretation oflems. In his inaugural dissertation, Über die Be- political relationships in terms of private law hedingungen wirtschaftlicher Thätigkeit (Jena 1890), strengthened it further by harmonizing it with ahe subjected the value theories of Marx, Knies, religiously sanctioned ethical imperative. TheSchäflie and Wieser to a critical examination. In need that Gerlach felt to establish upon a fixedcontrast to the views of these authors Gerlach and authoritative basis the immutable moralattempted to prove that a uniform relation of principles which govern law and politics led himman to goods is neither possible nor necessary to ground his political philosophy in theology.in explaining economic phenomena. Man's rela- He inclined toward the Roman Catholic churchtion to goods is of a twofold nature. The relation based as it was on authoritarian principles with ato consumption goods is in the realmof the creed which is not subject to varying interpreta-affective, of the sensations of pleasure and pain; tions and with a clearly defined interest in poli- it is therefore necessarily subjective and incapa- tics. But absolutism as a political principle or able of objective measurement. Man evaluates form of government represented to Gerlach "rev-producers' goods, which are a means to an end, olution from above "; this conservative who ab-through cognition; the relation is therefore ob- horred revolution in any form thus often ap-jective and susceptible to quantitative treatment. proached liberalism in theory, tended to align In the field of finance Gerlach applied himself himself with the constitutionalists rather thanto problems of taxation policy andthe history the nationalists and ultimately felt drawn intoof fiscal literature. His other works are of a de- the ranks of the Center. The reign of Frederickscriptive and statistical character and deal with William iv with its departure from a narrowproblems of agricultural labor, land settlement, Prussian policy marked the height of Gerlach'sthe significance of landed property and preser- political prestige and the year 1848 the climax ofvation of the peasant class. his practical influence. As long as problems of KARL BRAUER internal statecraft had precedence over foreign Works: Die preussische Steuerreform in Staat und Ge- policy and long time considerations over themeinde (Jena 1893); Zur Reichsfinanzreform (Berlin 1906); Die Reichsfinanzreform von 1909 (Berlin 1911); exigencies of the moment, as happened during"Geschichte der Finanzwissenschaft" in Die Ent - the half century of peace following 1815, Ger- wicklung der deutschen Volkswirtschaftslehre im neun - lach with an essentially static philosophy and sozehnten Jahrhundert, z vols. (Leipsic 1908) vol. ii, ch. inflexible a personality was in his element. Butxxxviii. Gerlach revised and enlarged the 5th ed. of with the ascendancy of Bismarck, particularlyRoscher's System der Finanzwissenschaft (2 vols., after the wars of 1866 and 1870 -71, Gerlach's Stuttgart 1901). career came to an end. He refused tofollow his party into Bismarck's camp and subjectedBis- GERLAND , GEORG (1833- 1919), German marck's policies to thoroughgoing criticism. Heethnologist and geographer. Gerland, at first a was disciplined and eventuallydismissed, and philologist, in 1875 became professor of geog- the party press was closed to him. Although heraphy in Strasbourg. His contributions to Theo- turned to pamphleteering he gradually lost vir-dore Waitz' Anthropologie der Naturvölker (of tually all of his followers. Yet the almost fanaticwhich he wrote vol. v, pt. ii, and vol. vi, Leipsic loyalty to his convictions and the fearless de- 1865 -72) are still useful as collections of ethno- 634 Encyclopaedia of the SocialSciences graphic material. In his Ober das Aussterben dercentuated. Several of the more importantstates Naturvölker (Leipsic 1868) Gerland discussedduring this period adopted codes, for example the nature of child mortality, infanticide andthe Prussian Allgemeines Landrecht of1794 and infectious diseases among primitive people,who,the Saxon Bürgerliches Gesetzbuch of 1863. Other he contended, are dying out not becausetheystates, as for example Baden, had introduced lack vitality but because theyare being forciblythe French Code civil (Code Napoléon)as their destroyed by European civilization. He alsoem-own territorial law. phasized, however, the importance of psycho- The growing demand for German legal unity logical factors and of spiritual and cultural dis-had two roots, one idealistic and the othereco- integration. In his Anthropologische Beiträgenomic. The idealistic went hand in hand with (Halle 1875) Gerland attempted to introduceGerman political hopes. The German people into psychology the atomistic -mechanicalcon-were weary of particularism and strove for a ception of nature based on the theory of evolu-unified German Empire that would havea tion. He believed that universal culture traitsstronger position in the world than a conglom- developed in one center were carried bymaneration of individual states. Such a tendencywas in his migrations from continent to continentfirst evident after the War of Liberation against and that ethnic differentiations took place byNapoleon but it had always been joined witha means of different innate talents, isolation andlonging for a unified law for the whole of Ger- the sum total of the influences of the naturalmany, more particularly for the creation of a environment. Gerland originally held thata peo- German civil code. But the time was not yet ple consists of the sum of single individuals andripe. It was the growth of the spirit of national- that the true picture of a people could becon-ism all over Europe in the second half of the structed only on the basis of complete knowledge nineteenth century that gave the idealisticmove- of all individuals, a task which he consideredment in Germany the impetus necessary for the capable of solution to a certain degree in thecreation of such a code. In the meantime the study of primitive groups because of thegreateconomic forces had also gained strength. Since similarity of their members. Nevertheless, in hiswithout unity the growing German economy Immanuel Kant, seine geographischen and anthro-was hindered at every step, the merchant and pologischen Arbeiten: Zwölf Vorlesungen (Berlinthe industrialist became its champions. It is in- 1906), in which he was the first to point out thedeed noteworthy that success had been achieved significance of Kant's anthropological writings, even before the founding of the German Empire he recognized Kant's view that the development in completing three general German codes of of human society is a function of the species. commercial law: the Wechselordnung (law of bills W. E. MÜHLMANN of exchange) of 1849, the Handelsgesetzbuch Consult: Sapper, Karl, in Geographische Zeitschrift, (commercial code) of 1861 and the Gewerbeord- vol. xxv (1919) 329 -40; Neumann, Ludwig, in Peter- nung (industrial law) of 1869; these are the his- manns Mitteilungen, vol. lxv (1919) 22 -23. torical forerunners of the German civil code. It is also worth noting that Austria participated GERMAN CIVIL CODE (Deutsches bürger-in the work on the first two codes but had liches Gesetzbuch, usually abbreviated as BGB).separated from Germany before the drafting of The political history of Germany had been char-the BGB. Austria lives today under its civil code acterized for many centuries by not only politi-of 1811; however, it is not beyond the realm of cal but legal disunity. Each of the Germanstatespossibility that the German and Austrian civil possessed its own law, which often differedcodes will be amalgamated at some future time. greatly from that of its neighbors. Moreover, The drafting of the German civil code occu- the Roman law which had penetrated Germanypied more than twenty -two years, from 1874 to with the passing of the Middle Ages and had 1896. It would be easy to see in this an instance been taught at all the German universitiesas aof the proverbial German thoroughness, but it "common law" improved the situationveryshould not be forgotten that codification in other little. The legal maxim was: Landrecht brichtcountries has also taken long periods of time. gemeines Recht. Thus if a state had itsown law,The twenty -two years of the creation of the this territorial law had to be preferredto theBGB are divided into five periods of greatly Romanic common law. It was toward the endvarying lengths: the work of the so- called pre- of the eighteenth century and in the firstpartparatory commission, 1874; of the first commis- of the nineteenth that this antagonismwas ac- sion, 1874 to 1887; of the second commission, Gerland-German Civil Code 63 5 1890 to 1895; consideration in the Bundesrat,Reichstag and the Bundesrat, the latter com- 1895; and in the Reichstag, 1896. posed of the representatives of the twenty -five The preparatory commission was chargedseparate states. Although the historical role of with drafting a general plan. The principle ques-the Bundesrat was to guard the interests of the tion was whether something fundamentally newold particularism, it did not act as its conservator should be created or whether the existing terri-in the drafting of the BGB. Except in a few torial laws should be epitomized after the rec-instances it too was inspired by the thought that onciliation of differences. The layman is likelyGermany needed a unified law that would be to imagine that a new code is actually newinsuperior to the forces of particularism. On the content; experience, however, teaches the con-other hand, political considerations did impel trary. Almost always the great codeshave em-the Bundesrat to one important alteration. It bodied only preexisting law; they are only land-had been intended to integrate the fundamental marks; they truly only "codify." The membersprinciples of the conflict of laws, or private of the preparatory commission recognizing thisinternational law, in the codification of the do- rejected the principle of innovation and acceptedmestic German law. The Bundesrat, however, that of codification. fearing that international complications would The first commission consisted of eleven ju-follow, has eliminated the provisions which rists. They were very learned but unmistakably it regarded as dangerous. The result is contained oriented toward Roman law, and they laid morein the introductory part of the BGB (articles 7 emphasis upon logical construction than uponto 31). conformity with national characteristics. Their It was first possible to learn the trend of industry and non -partisanship, however, de-popular opinion when the draft of the code was serve the highest recognition.They worked be-considered in the Reichstag. To be sure, there hind closed doors for thirteen years and made had been opportunity for this even earlier. When public the so- called I. Entwurf in x888. the first draft had been published, it had been The second commission differed from the firstaccompanied by an invitation for public criti- in having as members not only jurists but men ofcism and public opinion had been aroused upon affairs, for instance agriculturists and a banker.a few questions, for instancewhether upon the It is noteworthy that at that time it was not sale of leased property the tenant's rights should deemed necessary to add a representative of thebe terminated (now sect. 571 if.). But on the workers or the trade unions, and the voice ofwhole popular participation was slight until the the workers was first heard later in the Reichs-deliberations in the Reichstag. In that body a tag. The second commission introduced a num- forceful opposition with a definite philosophical ber of important changes in the law, for instancebasis made itself felt. With regard to some mat- the principle that a habitual drunkard may beters a struggle arose against the acceptanceof declared incapable of managing his own affairsthe "alien" Roman law in preference to the in- (sect. 6, subd. 3), the provision for the protec-digenous Germanic law. A passionate contro- tion of the rights of personality in a name (sect.versy arose over civil marriage:the Center, the 12), the right of a marrying daughter to demandCatholic church party, wished to withdraw the a dowry from her father (sect.1620), furthercontrol of marriage from state authority and important changes in the law of associationsrestore it to the church. Partly arisingfrom this (sect. 21 ff.) and above all certain far reachingcontroversy was the struggle over insanity as a measures of social protection inthe law of mas-ground for divorce. It was finally accepted by ter and servant which deserverecognition asa vote of 16r to 133 (sect.1569). As an example early signs of the reaction against uncompro-of the way passions can be aroused over rela- mising nineteenth century individualism. Thetively minor problems the question of the hares product of the labors of the second commissionmay be cited. The BGB recognizes aliability was the so- called II. Entwurfof 1895. for damage caused by game; that is, the hunter The participation of the Bundesrat whichis liable to a landowner for any damage caused (sect. 835). then followed is to be explained by the characterto his fields in the pursuit of game of the constitution of the German Empire atIn the draft hares were included with other that time. Whereas today under the constitutiongame. The Conservative partyrepresenting the of 1919 the Reichstag is the sole legislativeinterests of the great landholders demanded that organ, under the earlier constitutionthe consenthares be made an exception, but the other parties of two legislative organs was necessary, theopposed it. The BGB representing the longing 636 Encyclopaedia of the Social Sciences of almost a century and the labors of more thantivism and socialization which were just begin- twenty years almost foundered in this contro-ning to emerge. versy. In the end the conservatives won: the Nevertheless, the German civil code has asa hares are not to be found in the law. whole endured. Except for a few relatively un- After the deliberations in the Reichstag hadimportant changes it is still in full force and been concluded the code was proclaimed by theeffect. Above all, certain celebrated elastic pro- emperor Wilhelm n on August 18, 1896, butvisions have made it possible to adjust it toa in order to allow enough time for its contentslarge extent to new developments of cultural to become familiar it was not to go into effectand social life. Thus, section 242 subjects the until January 1, 1900. At the same time a wholewhole law of contracts to the requirement of number of accompanying laws went into effect,"good faith" and section 8z6 makes it possible for instance a law relating to the registry of landin the law of delicts to inquire beyond narrow and a law relating to non -contentious jurisdic- technicalities into "good morals." What the tion. To bring them into agreement with thehighest court in Germany, the Reichsgericht, BGB other important laws, for instance thehas been able to accomplish by virtue of these commercial code and the code of civil procedure,provisions and how the BGB has been adjusted were radically amended. In all it was a veryto new economic needs are described in a work by important code that was finally achieved in 1900.J. Wilhelm Hedemann, Reichsgericht and Wirt - The German civil code contains 2385 para-schaftsrecht (Jena 1929). It is a particularly im- graphs and is divided into five parts; the firstpressive fact that even the experiences of war is an introductory general part and the otherand revolution have left the BGB almost un- four relate respectively to the law of obligations,touched. Many voices have been heard loudly the law of things, family law and the law ofdemanding its radical alteration -particularly inheritance. This represented the division ofthose voices that demanded "socialization" of the Pandects, which was thus retained. Particu-the whole of the German economy -but they larly great care was devoted to the general part.have had little success. The three great guiding It is unique in the legislation of the world. In it principles of the BGB, freedom of contract, many fundamental legal concepts are finely dis-private property and the integrity of family life, tinguished and raised to the rank of generalare still accepted. However, some reforms are principles, for example the concepts of mani-contemplated. It is intended to better the posi- festation of will, of contract, of representation.tion of illegitimate children; the wife is to be It is noteworthy that commercial law, for in-freed from the superior powers of her husband stance the law of partnership and joint stockover her property; a reform of the law of land- associations, was not introduced in BGB butlord and tenant is planned in connection with remained in separate laws. the general reform of the land law. Above all, A creation of the late nineteenth century, the the law of contracts between master and servant German civil code bears unmistakable traces ofhas been almost relegated to desuetude as a its liberalism and individualism, although to beresult of the development of a modern labor law sure these trends were not allowed full expres- alongside the BGB. A general revision or a total sion. After its first draft and through the wholeabandonment of the BGB is quite beyond the course of its parliamentary consideration the realm of possibility. code remained a work of non -partisan scholar- The German civil code has also had a strong ship; in this it differs from the much moreinfluence in foreign countries. Although it has "popular" Swiss civil code. It may be said,nowhere been received in toto, wherever since however, that the German civil code came into1900 attempts have been made to fashion civil being at an unfavorable time. It stands not atcodes the BGB has proved highly valuable in the beginning but the end of a historical periodsupplementing the ideas of codifiers despite dif- and therein differs from the French civil code,ficulties in language and in modes of thought. which derived from the profound changes ofThe Swiss civil code of 1907 particularly is the French Revolution and could give expres-inconceivable without the influence of the Ger- sion to the new points of view which had thenman codification. been born. On the other hand, the BGB was J. WILHELM HEDEMANN fashioned in a period of social quiescence. As a See: CIVIL LAW; CODIFICATION; CODE CIVIL; RECEP- consequence it escaped the problems of giant TION; UNIFICATION. industry, cartels, trusts, trade unions, collec- Consult: For materials of the drafting period: Motive German Civil Code-Gerontocracy 637 zu dem Entwurfe, 5 vols. (Berlin 1888, 2nd ed. 1897); The term gerontocracy may be used to refer Protokolle zum ii. Entwurf, 7 vols. (Berlin 1897-98);to the generalized dominance of the aged, but Denkschrift zum Entwurf (Berlin 1896). Of the enor- in historical descriptions of culture it should mously rich literature on the code itself the great systematic textbook of Enneccerus- Kipp -Wolff, Lehr- be confined to the designation of a formal pat- buch des bürgerlichen Rechts, 3 vols. (6th -12th ed.tern of social organization in which the aged Marburg 1928 -30) is the chief example. The follow- are organized into councils of elders. It maybe ing are representative handbooks: Lehmann, Hein- defined as the dominance through social con- rich, Allgemeiner Teil (3rd ed. Berlin 1928); Hede- mann, J. W., Schuldrecht (2nd ed. Berlin 1931), andtrol of the upper age class among peoples who Sachenrecht (Berlin 1924); Lehmann, Heinrich, Fa- have no form of the state, no political organi- milienrecht (Berlin 1926); Endemann, Friedrich, Erb- zation or political control. This formal pattern- recht (Berlin 1923). The great commentaries are:ing of society is limited in distribution and Staudinger, I. von, 7 vols. (9th ed. Munich 1925-31); appears to be linked with secret societies, with Planck, J. W. von, 5 vols. (4th ed. Berlin 1913 -30); Busch, L., and others, Das bürgerliche Gesetzbuch mitwarrior gradings and with other age grade or besonderer Berücksichtigung der Rechtsprechung des age class organizations. Formal ageclassifica- Reichsgerichts, 5 vols. (6th ed. Berlin 1928). For gen-tions exist more widely than gerontocracy. They eral views: Hedemann, J. W., Das bürgerliche Recht are found among peoples who arehighly or- und die neue Zeit (Jena 1919); Thur, A. von, Grund- ganized politically, such as the Incas and some lagen und Ausbau des bürgerlichen Gesetzbuches (Stras- bourg 1918). For historical background: Hedemann, North American tribes. J. W., Die Fortschritte des Zivilrechts im xix. Jahr- Gerontocracy appears to be confined to the hundert, z vols. (Berlin 1910 -30). Borchard, E. M.,primitive culture strata of Negro Africa -sur- Guide to the Law and Legal Literature of Germany viving in west Africa on the margins of the (Washington 1912) p. 56 -97, contains a bibliography development of the state or political control, of literature in English on the BGB. English transla-dominant among the more primitive cultures of tions of the BGB are by Walter Loewy (The Civil Code of the German Empire, Boston 1909) and by Chung the Bantu of Kenya colony in east Africa -and Hui Wang (The German Civil Code, London 19o7).to the Negroid and Australoid and mixed Negro - Australoid peoples of Melanesia and Australia. GERONTOCRACY. Old men and women stillIn these cultures an age classification of corn- possessed of their faculties have been dominantmunities is found with the oldest age groups in social control and direction in allhumanfunctioning as a council of elders. The elders societies. In civilized societies ancient and mod-do not exercise the functions of chiefs or rulers; em the dominance of theaged appears to bethey do not possess legislative, judicial or exec- the consequence essentially of their greaterutive powers. They act in a quasi-judicial capac- experience and balance in judgment as com-ity as arbitrators of a sort when there is a pared with that of younger persons, chiefly asdispute about damages in the community, and a result of their moreextensive experience withafter hearing the facts they give their opinion facts, human nature and social techniques,theiron the common law and on whatdamages control of the family and the familywealthshould be paid. They have no power to enforce and therefore the aggregate socialwealth, andthe payment of the damages. Such geronto- the fact that they have establishedthemselvescratic political control may be sharply con- in power to the consequent exclusionof thetrasted with complete anarchy -an absence of younger groups. In preliteratesocieties theseboth political and age class social control -as same causes operate,but in addition the olderrepresented, for example, by the Yurok Indians groups are the repositoriesof the unwrittenof northwest California and their cultural kin common law, of themagical group ceremonialsnorthward to the Columbia River. and of the equipment of theseceremonials. Considerations of gerontocracy by historians The share of power or influence accordedagedof culture have been deficient inasmuch as they its women varies but isusually confined to do-have been confined to the institution in mestic life and economic activities such asMelanesian and Australianvarieties.Rivers primitive agriculture and home manufactureswriting in I91I was apparently ignorant of the which may be carried on by women.Women'sexistence of gerontocracy in east Africa and his share of influence does not appear tobe corre-theories regarding the cultural linkages of the lated with matrilineal descent ormatriarchy.institution cannot be considered as valid until In primitive gerontocracies women areuniver-thoroughly reappraised in the light of the Afri- sally excluded from the dominatingcouncils ofcan data. Rivers, for example,makes much of the linkage of the dual social organization and elders. 638 Encyclopaedia of the Social Sciences gerontocracy in Melanesia and considers theseinto districts of fantastic shapes to becomea law. as intimately interrelated in development. ButBy 1840 gerrymandering was the commonprac- in Negro Africa there is no definite evidence oftise in American legislation for the apportion- the present or past existence of the dual socialment of seats in the national House of Repre- organization. Loeb's comparative study of secret sentatives as well as in the state legislatures. As societies also indicates that the subject requiresa result of gerrymanders the maps of congres- reanalysis in the light of the history of secretsional and legislative districts in some American societies. states presented very striking irregularities in Judging chiefly from the distribution data,boundaries and in the shape of the different gerontocracy appears to be correlated in dis-districts. For example, there was the famous tribution with the Negroid race. Where domi- "shoe string" district in Mississippi, about three nantly Australoid peoples, such as the Austra-hundred miles long and about twenty miles lians, exhibit the institution it may be due tobroad; a district in Pennsylvania resemblinga Negro influence and admixture. Negroid anddumb -bell; and in Illinois the "saddlebag" and Australoid races were once continuous in geo- the "belt line" districts. graphical range from the Pacific around the Various attempts have been made to check littoral of the Indian Ocean to west Africa; andthe practise in the United States by means of with this racial continuum, according to Fro- legislation or other agencies. The reapportion- benius and others, there was an archaic culturement act passed by Congress in 1842 required continuum. This culture continuum may havethe election of members of the House of Repre- included the institution of gerontocracy. sentatives from single member districts which Whether gerontocracy is a form of social con-should be composed of compact and contiguous trol more archaic than the state or politicalterritory. But while the districting remains in government is very problematical and mustthe hands of state legislatures great variations remain so until the institution is more carefullyin construing the terms of the act must be ex- investigated. pected. Proposals have been made to abolish the W. C. MACLEODsystem of districts and choose all representatives See: SOCIAL ORGANIZATION; SECRET SOCIETIES; AGE at large, but this would result in the complete SOCIETIES; GOVERNMENT; PRIMITIVE LAW. denial of representation to the minority party. Legal action against the gerrymander is often Consult: Frazer, J. G., The Golden Bough, 12 vols. (3rd ed. London 1907 -15) vol. i, p. 334 -35; Loeb, E. M.,possible, but judges hesitate to interfere with "Tribal Initiations and Secret Societies" in University legislative discretion in such political matters. of California, Publications in American Archaeology Moreover, legal rejection of a redistricting stat- and Ethnology, vol. xxv (1929) 249 -88; Lowie, R. H., ute may merely revive an earlier gerrymandered Primitive Society (New York 192o) p. 359-61; Mac-apportionment which is likely to be even more Leod, W. C., The Origin and History of Politics (New grossly unfair because of the shifts of population York 1931)chs.ii,vi;Powdermaker, Hortense, "Leadership in Central and Southern Australia" insince its enactment. The referendum may some- Economica, vol. viii (1928) 168 -90; Rivers, W. H. R., times be used to veto a flagrant gerrymander, The History of Melanesian Society, 2 vols. (Cambridge, as was done in Ohio following a Republican Eng. 1914) vol. ii, ch. xvii. redistricting act of 1915. A campaign of educa- tion carried on while apportionment acts are GERRYMANDER is a term used to describepending in state legislatures would considerably the abuse of power whereby the political partycheck the manipulation of districts. The most dominant at the time in a legislature arrangeseffective remedy, however, and the one which constituencies unequally sothatitsvotinghas probably been the most important factor strength may count for as much as possible atin the relative absence of gerrymandering in elections and that of the other party or partiesEurope is the substitution of proportional repre- for as little as possible. To accomplish this de-sentation for the single member district. sign it masses the voters of the opposing parties Continental Europe has not been free from in a small number of districts and so distributesgerrymandering. Criticisms of Wahlkreisgeome- its own voters that they can carry a large number trie in Switzerland were heard as early as the of districts by small majorities. 1870's. When France changed from scrutin de The word gerrymander was derived in 1812liste to scrutin uninominal in 1927, the new single from the name of Governor Elbridge Gerry,member districts were flagrantly gerrymandered who allowed a bill apportioning Massachusettsby the commission in charge of districting. But Gerontocracy-Gerson 639 the possibility of gerrymandering has beenamong the workers, but interference by the au- largely destroyed by the widespread adoptionthorities and attempts by the political police to in Europe of the list system of voting with pro-divert his legal activities to the service of their portional representation. Especially is this trueown ends caused him about 1900 to join the of the German electoral system, which prevents revolutionary movement. He was one of the the wasting of any votes by cumulating the sur-founders of the Socialist -Revolutionary party, plus votes from the smaller electoral districtstook a part in the drafting of its program and for use in connection with a list of candidatesdirected until his arrest in May, 1903, its terror- for the Reich as a whole. ist activities, as head of its Fighting Organiza- Tradition has no doubt been a factor of sometion. In 1904 he was tried and received a death importance in Europe. In many countries elec-sentence, which was commuted to life imprison- tion districts largely follow traditional politicalment. After escaping from Siberia in the fall of or racial units. While the representation of cer-2906 he participated in February, 1907, in the tain groups has often been restricted, it hasconvention of the Socialist -Revolutionary party rarely been through the fantastic rearrangementheld in Finland and influenced its resolutions of preexisting districts. The rotten boroughson the complex issues which faced the party in of England, while somewhat similar to gerry-connection with its participation in the Second mandering in their consequences, were a resultDuma. He remained politically active until he not of any statute passed by Parliament but ofsuccumbed to disease. the failure of Parliament to rearrange constitu- Gershuni, an almost legendary figure to the encies to meet changing social and economicRussian masses, was a man of uncommon will conditions. The general redistricting of parlia-power, exceptional ability as leader and organ- mentary seats in 1918 was effected by commis-izer and a rare sense of political realities. Unlike sions composed of persons in whose integritythe terrorists of the earlier generation he did not and independence the House of Commons had regard terrorism as the principal means of over- confidence. The principles they were to followthrowing the government or even of forcing were laid down in advance by the House. Thereconcessions from it. He maintained that with was no gerrymandering, since the practise is notthe spread of revolutionary sentiments political in accord with English political traditions. Aus-assassinations in retaliation for governmental tralian politics, on the other hand, have wit-repression were increasingly inevitable. They nessed considerable apportionment manipula-were a sheer waste of lives and energy when left tion, especially on the part of the Labour gov-to unorganized individual initiative; but if car- ernments of Queensland and the anti -Labourried out under centralized control by a revo- governments of Victoria. lutionary party they could, through adequate WILLIAM SEAL CARPENTER preparation, proper timing of the attack and See: APPORTIONMENT; CONSTITUENCY; ROTTEN BOR- careful choice of object, be made very effec- OUGHS; REPRESENTATION; PROPORTIONAL REPRESEN- tive both in impressing public opinion and in TATION; MINORITY REPRESENTATION;ELECTIONS; disorganizing the repressive machinery of the PARTIES, POLITICAL. state. Terrorism should be merely one of the Consult: Griffith, E. C., Rise and Development of the manifold activities of the party, but for technical Gerrymander (Chicago 1907); Brooks, R. C., Political Parties and Electoral Problems (New York 1923) p. 434- reasons it should be strictly isolated from the 43; Hamm, W. C., "The Art of Gerrymandering" inothers, which although clandestine nevertheless Forum, vol. ix (1890) 538 -51; Sauer, C. O., "Geog-involved comparatively wide contacts; it should raphy and the Gerrymander" in American Politicalbe delegated to a special group, the Fighting Science Review, vol. xii (1918) 403 -26; "The Slaying Organization. He insisted that as soon as civil of the Gerrymander" in Atlantic Monthly, vol. lxix (1892) 678 -82; Commons, J. R., Proportional Repre- liberties were achieved the terror as a form of sentation (2nd ed. New York 1907) ch. iii; Short, L. socialist action would have to be discarded. M., "Recent Redistricting Legislation in Missouri" ALEXANDER GOURVITCH in American Political Science Review, vol. xxv (1931) 634-49; Sharp, W. R., "The New French Electoral Law and the Elections of 1928" in American Political GERSON, JOHN (Jean Charlier de) (1363- Science Review, vol. xxii (1928) 684 -98. 1429), French church reformer. In 2395 Gerson became chancellor of the University of Paris and GERSHUNI, GRIGORY ANDREYEVICHbegan to play an important role in French poli- (1870 -1908), Russian revolutionist. He was orig-tics and in the ecclesiastical struggles over the inally interested in purely educational workschism. In 1415 he was sent to the Council of 640 Encyclopaedia of the Social Sciences Constance, where he took a prominent part inful, however, whether he would ever have sub- the most significant discussions. His oppositionscribed to its principles. to the doctrine of tyrannicide, by which John RICHARD SCHOLZ Petit had justified the murder of the duke ofWorks: The best edition of Gerson's works is by Orléans by the duke of Burgundy, aroused the L. E. Dupin, 5 vols. (Antwerp 17,26). latter's enmity and forced Gerson to flee fromConsult: Schwab, J. B., Johannes Gerson (Würzburg Constance in 1418. In the next year he settled 1858); Connolly, J. L., John Gerson (Louvain 1928). in Lyons, where he was active as a preacher, educator and writer. GERTZENSTEIN, MIKHAIL YAKOVLE- Gerson tried to establish peace in church and VICH. See HERTZENSTEIN, MIKHAIL YAKOV- state and was one of the leaders of the conciliar LEVICH. movement. His policy was always one of com- promise. Just as he endeavored to reconcileGERVINUS, GEORG GOTTFRIED (1805- scholasticism and mysticism into a reformed71), German historian. After abandoning a com- mystical theology he strove in his plan for themercial career Gervinus became a student of F. reform of the church to maintain and supportC. Schlosser at Heidelberg. In 1835 he was the old system of church organization, elimi-appointed professor of history at Heidelberg and nating its disadvantages by establishing the newin 1836 at Göttingen. As one of the group of doctrine of the superiority of the councils. AssevenGöttingenprofessors who protested early as 1409 he attempted to prove in De auferi-against King Ernst August's breach of the bilitate papae, a treatise written for the Councilconstitution he was deprived of his post and of Pisa, the possibility of dethroning the schis-returned to Heidelberg. In 1848 he became a matic popes, maintaining firmly, however, inmember of the Frankfort Assembly but soon opposition to Marsilius of Padua and William resigned because of political disagreements. of Ockham, the doctrine of the divine basis of Gervinus' work as a historian is characterized the papacy and the immutability of the ecclesi-by a greater appeal to the political feeling of his astical hierarchy and monarchy. A similar op-nation than to the moral feeling of the individ- portunism marks his speeches at Constance andual. In the concluding volume of his Geschichte his other works, especially De potestate ecclesi- der poetischen National -Literatur der Deutschen astica et origin juris (Paris 417?). By making a(5 vols., Leipsic 5835-42, later enlarged under distinction between the authority of an officethe title of Geschichte der deutschen Dichtung, derived from God and the frequently erring5th ed., 5 vols., 1871 -74), which represents the incumbent of the office he established the divinefirst great attempt to combine the history of character of the papacy and of papal authority, literature with a study of the political and social at the same time emphasizing the superioritycurrents of the time, he expressed the wish that of the church and its councils over the papacy.the nation, having reached the culmination of Nevertheless, self -government should be theliterary greatness with Schiller and Goethe, exception rather than the rule in church admin- might turn to practical political deeds. A typical istration, for papal government has been or-representative of constitutional liberalism, Ger- dained by God. Whenever it becomes necessary,vinus was likewise one of the most ardent cham- however, the church may by its councils limit pions of federalism, considering the preservation papal power. Upon this doctrine Gerson restedof the particularism of the local German states the possibility of the reform of the papacy. within a strong federation (Bundesstaat) a solu- Gerson's political theories also show a some-tion of the national problem. This particularism, what weak policy of compromise. In severalhe believed, was inherent in the Germanic great political speeches delivered before thespirit and was largely responsible for the cul- French court he recognized as the ideal state atural development of Germany. The Deutsche strong monarchy regulated by religion and rea-Zeitung, which he founded in 1847, propagated son and requiring the cooperation of the threethese ideas and his Geschichte des neunzehnten estates, especially of the nobility. He believedJahrhunderts seit den Wiener Verträgen (8 vols., in the independence of the temporal power inLeipsic 1855 -66) is based largely on the view so far as it was not antagonistic to faith and thethat history is a development toward freedom church. Because of his doctrine of the supremacyand democracy. The appearance of the intro- of the councils Gerson came to be regarded asduction to this work in 1853, in which these an ardent proponent of Gallicanism. It is doubt -general principles were indicated, brought upon Gerson--Geshov 641 him a charge of high treason and a withdrawal ofonly for money; their production is restricted, so his professorship. Gervinus disapproved pas-that their yield would not fall below the level of sionately of the methods of Bismarck. He wasprimary interest. In order to abolish primary full of indignation at the war of 1866 and he diedinterest Gesell proposed to eliminate the superi- not reconciled by the events of 187o -71. ority of money over commodities by introducing ALFRED STERN "shrinking" money ( Schwundgeld) which would Consult: G. G. Gervinus Leben von ihm selbst -r8óoweekly lose o.1 percent of its face value, a rise (Leipsic 1893); Dörfel, Johannes, Gervinus als his- in its purchasing power being prevented by a torischerDenker,Geschichtliche Untersuchungen, properly directed currency policy. Such money vol. ii, pt. z (Gotha 1904); Lehmann, Emil, Georg Gott- could not be withheld from the market; it would fried Gervinus (Hamburg 1871), tr. by Edith Dixon (London 187z);Rychner, Max, G. G. Gervinuscease to earn primary interest and become free. (Berne 1922). Gesell's land reform scheme is not so original. He proposed the nationalization of land and its GESELL, SILVIO(1862- 193o),Germanleasing to the highest bidder. The rent received money reformer. Gesell lived for many years inby the state would allow the payment of interest Buenos Aires, where he became a wealthy mer-to the original owners and the gradual amortiza- chant, and later spent some time in Switzerland,tion of their capital. After this the rent revenue engaging in farming and writing. In April, 1919,would be used to reduce taxes, to provide for he joined the Soviet cabinet of Bavaria as min-mothers' pensions, old age pensions and the like. ister of finance. During the Argentine money de- FRANZ HABER flation of the late eighties he developed the doc- Important works: Die Reformation im Münzwesen als trine of "free money," the later version of whichBrücke zum sozialen Staat (Buenos Aires 1891); Die together with his plan of land reform inspired natürliche Wirtschaftsordnung durch Freiland and Frei - geld (Les Hauts Geneveys 1916, 6th ed. Berne 1924). the movement for a "free economy." The move- ment, particularly vigorous in the early post- Consult: Langelütke, H., Tauschbank and Schwund- geld als Wege zur zinslosen Wirtschaft (Jena 1925); war years, included the Swiss and GermanFrei - Wegelin, W., Tauschsozialismus and Freigeld (Munich land - Freigeld Bund and similar organizations, 1921); Haber, F., Untersuchungen fiber Irrtümer mo- which met at their first international convention derner Geldverbesserer (Jena 1926). in Basel in 1923. Gesell's scheme of social reform is intended toGESHOV, IVAN EVSTRATIEV (1849 -1924), eliminate non -labor incomes, such as interestBulgarian statesm?n. Geshov attended Owens and rent, the existence of which in the presentCollege in England and became one of the very system he attributes to the inequality inherent in few among the Bulgarian youth in Turkish times the relationship between the buyer and the sellerto possess a good education and a knowledge of of commodities in the market. While commodi- world affairs. In 1872 he returned to Bulgaria to ties because of their perishability exercise a de-take an active part in the early struggles of his mand for money which cannot be delayed forpeople against Turkish domination. He became long, money which is not spent for consumptionprominent politically and was chief of the purposes -funds which are saved and spent onlyPeople's party (Narodna) for many years. when a surplus is realized thereby, or mercantile Geshov was appointed financial director of capital -can be withdrawn from the marketEastern Rumelia in 1882 and a little later head without a loss in value. Because of this advantage of the National Bank in Sofia, which he helped the holders of money are able to command ato reorganize on the model of the best national premium which is not related to mercantilebanks in western Europe. In 1885 he introduced profit, a differential between the price paid tothe postal savings banks. From 1894. to 1897 he the producer and the true value of the commod-served as minister of finance and gave most of ity. When the prices at which merchants canhis attention to the development of the coopera- sell fall and this differential disappears, mercan- tive movement and to encouraging the handi- tile capital withdraws from the market, a tempo-crafts, which for many years had been suffering rary breakdown of circulatory processes ensuesfrom the industrial competition of the west. and stocks deteriorate. The possibility of exact-Under his direction the agricultural banks were ing such a differential, called by Gesell primaryreorganized in 1894. Geshov also reorganized interest or exchange interest, imparts to moneythe system of taxation in order to make it more the characteristic of capital. Capital goods func-equitable; direct taxes were reduced and the tion as capital because they can be purchasednumber of indirect taxes increased. 642 Encyclopaedia of the Social Sciences As a diplomat he stressed the pan-Slav pointintermediate course for the acquirement of polite of view, insisting upon the maintenance of goodculture and a higher course to prepare for the relations with Russia, which he considered theuniversity. protector of Bulgaria. He also tried to preserve ROBERT REIGBERT the friendship of Great Britain. In the news- Consult: Paulsen, Friedrich, Geschichte des gelehrten paper Maritsa he agitated for a Rumelia freed ofUnterrichts, 2 vols. (3rd ed. Berlin 1921) vol. ii, p. the Turkish yoke; when Eastern Rumelia broke 57-30; Michaelis,D., Memoria Johann Matthias away from Turkey and declared itself united to Gesner (Göttingen 1761); Ernesti, I. A., Narratio de ,. M. Gesnero (Leipsic 1762); Saupe, H.,Über Johann Bulgaria in 1885 he made a fruitless visit toMatthias Gesner (Weimar 1856), and Göttinger Pro- Copenhagen to persuade the Russian czar tofessoren (Gotha 1872); Eckstein, F. A., Programm der give his approval to this move, which provoked a Thomasschule (Leipsic 1869). Balkan war. He also helped negotiate the ensu- ing peace of 1886. In 1911 he became primeGESTALT. The term Gestalt is a short name minister and played a significant part in thefor a category of thought comparable to other formulation of the Balkan alliance. Althoughgeneral categories like substance, causality, func- chief of Bulgaria's bourgeois party, heputtion. But Gestalt may be considered more than through many measures that were beneficial tosimply an addition to preexisting conceptual the masses. Despite his strong nationalist senti-principles; its generality is so great that one is ment he was an outstanding pacifist, preferringforced to ask whether causality itself or sub- on almost all occasions conciliation and compro- stance does not fall legitimately under it; or ex- mise to drastic action. pressed differently, whether the conception of R. H. MARKHAM causality as it has developed since Hume must Important works: L'alliance balkanique (Paris 1915); La not from the point of view of Gestalt be radically genèse de la guerre mondiale -la débdcle de l'alliance bal- altered. The aspect of the universe to which the kanique (Berne 1919). Gestalt category applies has occupied human Consult:Bulgarska Akademiya na Naukite, Ivan thought since ancient times. Its essence is found Evstratiev Geshov, vzhledy i dieynost (I. E. Geshov,in two main problems: first, the problem of the views and activities) (Sofia 1926). relation between a whole and its parts; and, second, the problem of the harmony, adapted - GESNER, JOHANN MATTHIAS (169r-ness or teleological perfection of certain mor- 1761), German educator. As principal of thephological structures and types of behavior. In Leipsic Thomasschule Gesner reformed themodern times the attempted solution of these study of ancient languages in a neohumanistic problems has played a leading role both in biol- direction. While professor at Göttingen heogy and in certain philosophical disciplines like founded a training school for teachers and aaesthetics, epistemology, logic and ethics. German society after the pattern of Gottsched's The development of the new Gestalt concept society in Leipsic. He put an end to rote learningoccurred, however, in neither of these fields but of grammar and construing of texts, substitutingin psychology. The reason is not difficult to dis- "cursory" reading to quicken the growth ofcover. In philosophy, where consideration of the natural aptitudes, understanding, taste and abil-relevant problems had led to teleological as op- ity of expression in one's mother tongue. Heposed to causal solutions, emphasis had come to was an early advocate of the conversationalbe placed on a realm of being different from method of learning languages. nature, at least from nature as treated by physics Gesner organized the new German classicaland chemistry. In biology, on the other hand, school (Gelehrtenschule) and introduced classicthe same problems have been obscured and dis- authors in place of Christian Latin writers. Hetorted by the Darwinistic concept of biological rejected the traditional humanistic formal dis-survival value, i.e. by the category of utility. The cipline in favor of the new ideal of ethico -hu- relation of the organism to its organs, the unity manist culture and defended his ideas success-of structure possessed by each organ itself, the fully against mechanical traditional humanism,coordination of different organs in behavior and Pietistic fears of classical learning and utilitarianfinally the adaptedness of behavior to the envi- fanaticism. I-Ie advocated the state school and aronment of the organism -all these facts were somewhat one -sided neohumanistic uniform ele-regarded through the spectacles of a category mentary course of six years, designed for thewhich may be described as teleology reduced to needs of the merchant and laboring classes, anmechanism through utility. Geshov-Gestalt 643 Psychology late in the last century had notof sensations, each depending on its particular come under the strong influences operative instimulus, the totality presenting no more than a philosophy and biology. The decisive step in themosaic of different sense impressions whose geo- new direction was taken by Charles von Ehren- metrical order is determined by the geometrical fels( "Über Gestaltqualitäten" in Vierteljahr-pattern of the retinal image. But unit formations schrift für wissenschaftliche Philosophie, vol. xiv, and the shape of the units so formed are referred 189o, no. 3, p. 249 -92), who pointed out factsto a new factor which operates upon the sensory of the utmost importance for psychology which material. Thus two principles were believed to be had been more or less overlooked by the tradi-operative in the perception of Gestalt phenom- tional schools. He asked, for example: When oneena: a mechanistic, machinelike sensory process hears a melody, what does one hear? The usualand an extrasensory creative mental function. answer, tones, is insufficient for two reasons: Parallel to this development another, which first, if a melody consisting of six tones is pre-was also to contribute to the modern Gestalt sented to one person, he will hear more than theconcept, was taking place in the study of behav- sum of what six persons would hear if each hadior. Driesch, the biologist -philosopher, tried to been presented with one of the tones only; and,explain action by two similar principles. The second, it is possible to change every tone of the one, corresponding to the sensory mechanism, is melody by transposing it either into a differentthe reflex mechanism; the other, corresponding octave or into a different key, and yet the melodyto the production process, is what Driesch called will remain the same. Therefore another answerthe psychoid. The first supplied on a strictly to the question must be found, and this newmechanistic basis the material of behavior; the answer must recognize the fact that in the indi-second regulated these reflexes and transformed vidual's experience of the melody something elsethem into coordinated and meaningful behavior. is real besides the tones. Since the chief element For Driesch the significance of behavior was one in the dominant psychological system of the timeof the main conclusive arguments in favor of was the sensation and since the bulk of the sen- vitalism. sation was considered to be its quality, Ehrenfels Such association with vitalism was, however, gave the name of quality to this new existentialunfavorable to the development of the Gestalt datum which was not a sensation. He called itidea. With a sound scientific instinct most psy- a Gestaltqualität, which may be adequately chologists and biologists shunned the introduc- translated as form -quality if one keeps in mindtion of vitalistic principles, with the result that that the second part of this term emphasizes the the Gestalt idea, since it seemed to rest on a existential aspect of the first and puts it thereby vitalistic foundation and certainly was not com- on the same level of reality with sensory qualities patible with the traditional mechanism, was like blue, red, sweet. more or less neglected. At first no other claim was made for the con- It was not until a full twenty years after the cept of Gestaltqualität than that of its being apublication of Ehrenfels' original paper that the necessary psychological concept which must be concept was further developed. The bearing of treated on equal terms with the older ones butthis new development is most easily understood which could well be harmonized with themwhen the relation between mechanism and vital- through treating the Gestaltqualität as somethingism is reconsidered. Both views involve the ac- added to the original sum of sensory data. Unsat-ceptance of the laws of physics which emphasize isfactory as this solution was, the great achieve-the machinelike nature of events, incapable of ment of Ehrenfels in pointing out this new fieldexplaining the order of life or mind. To mecha- bore ample fruit in the many experimental in-nistic eyes this order in events is nothing but the vestigations carried on after 1895 by a small butresult of the blind reactions of "organismic ma- vigorous group of psychologists at the Universitychines" which have developed by trial and error of Graz. They investigated properties of suchand elimination of the unfit. Vitalism did recog- wholes as possessed Gestaltqualität and devel-nize the reality of order but to explain it found oped the theory that they were of pure mental it necessary to assume a new entity whose sole extrasensory origin created by a mental functionfunction was to create that order which was inex- which in opposition to current empiristic or re-plicable on purely mechanistic principles. Thus productive theories they called the process oflogically vitalism needed mechanism. A solution production. Seen in a larger frame this theory is of the vitalistic- mechanistic dilemma had to be vitalistic. It presupposes the whole mechanismvery radical. It involved the acceptance of the 644 Encyclopaedia of the Social Sciences reality of form and order, but in order that theseoutline of the explanation can be drawn here. should be kept within a strictly scientific systemBriefly, the physical environment by affecting the vitalistic force which was held to create themthe sense organs sets up on the surface of the had to be rejected. Further, since the existenceorganism the conditions for a dynamic organi- of such a force followed logically from the ac-zation of process within the organism, the physi- ceptance of form and order and of mechanism,ological counterpart of the world of direct expe- it was the latter that had to be rejected. rience. As a rule these distributions are not quiet The solution of the problem was indicated byor static but are under stress and contain energy Max Wertheimer and W. Köhler. The first state- which can be consumed in transforming them ment of the new point of view came in Wert-and relieving pressure. Millions of such organi- heimer's paper "Experimentelle Studien über zations are, geometrically, equally as possible as das Sehen von Bewegung" (Zeitschrift für Psy- the one actually in existence at any time; but chologie, vol. lxi, 1912, p. 161 -265). Both Wert- according to a very general law of Gestalt theory, heimer and Köhler pointed out that the ideacalled the law of Prägnanz, the best possible that form and order can be produced only byequilibrium will be achieved, the actual organi- preexisting machines which are as unconcernedzation will be as "good" as the conditions allow, about their products as is a lathe about thewith regard to closedness, articulation, consizt- screws it turns out is a view totally alien to theency of the particular wholes on the one hand developing science of physics. On the contrary, and of the total field on the other. The distribu- the world of physics reveals on every hand ordertion of the stimulation on the sense surface, how- arising from the specific properties of substances ever, limits the "goodness" which the develop- and processes in relation. In physics it is as un-ment of perceptual organization can achieve. necessary to introduce rigid constraints and pre-Stresses always remain within the perceptual existing devices to explain orderly distributionfield and therefore the most frequent way of in equilibrium or the transition from one statetransforming this organization is through action. to another as it is to assume a supernatural force If one sees an "attractive" object one is actually for this purpose. Spontaneous self- distributionattracted by it and tends to approach it, i.e. the of process, producing functional wholes, is a organization of the psychophysical field contains concept employed, if not expressly enunciated,a pull which is relieved by the movement of the by every modern physicist. Once this is recog- body. Thus action is directly adapted to direct nized, the physics of organic processes need noexperience because itis regulated by it in a longer be made in terms of machine controlled perfectly natural way. Thus according to the events. If brain processes show functional wholes Gestalt concept meaningful behavior remains produced by self- distribution of process, thenmeaningful in theory, in contrast with the mod- the Gestaltqualitäten find a natural explanation. em doctrine which tries to reduce behavior to They appear as properties of spatially or tem-a sequence of original and conditioned reflexes porally extended wholes. If these wholes areand to make it thereby devoid of any meaning conceived as the mental correlates of physiologi-or significance. Because of this new emphasis cal functional wholes aroused by the total stimu-the Gestalt point of view will be of great and lus constellation within a system with its ownincreasing value as it is applied to the whole field specific properties, it is possible to abandon at of social studies. one stroke the sensory mosaic which nobody has At this point the question may be raised: in ever observed and the process of productionwhat sense is the Gestalt idea a new category? which is equally fictitious, at the same time re- Scientists had come to believe that they would taining the reality of form. The scope of theknow the whole universe if they knew the prop- Géstalt category is also enlarged far beyond the erties at each particular point at each particular pale of the Gestaltqualität, since both the wholes moment. Now it is recognized that there are themselves which have these qualities and themany things, such as the Gestaltqualitäten of organization of the field into these wholes be-Ehrenfels, which do not belong to space and come aspects of one and he same problem (seetime points but to larger space -time volumes. CONSCIOUSNESS for further discussion of this In other words, analysis if it wants to reveal the psychophysical isomorphism). universe in its completeness has to stop at the From the same principles is derived an expla-wholes, whatever their size, which possess func- nation of behavior, or action, with its charac-tional reality. Neither substance nor energy nor teristic of adaptedness. Only the most generalevents prove to be divisible ad libitum. There- Gestalt 645 fore, instead of starting with the elements and To summarize: the Gestalt category wherever deriving the properties of the wholes from themit is applied in science signifies the attempt to a reverse process is necessary, i.e. to try to un-find within the mass of phenomena coherent derstand the properties of parts from the prop-functional wholes, to treat them as full primary erties of wholes. The chief content of Gestalt asrealities and to understand the behavior of these a category is this view of the relation of partswholes as well as of their parts, from whole and wholes involving the recognition of intrinsicrather than from part laws. To apply the cate- real dynamic whole -properties. gory of cause and effect means to find out which From this point of view causality falls under parts of nature stand in the cause -effect relation. the Gestalt category. Hume attempted to reduceSimilarly, to apply the Gestalt category means causality to mere factual sequences of pointto find out which parts of nature belong as parts events. When it is said that A causes B, in reality to functional wholes, to discover their position no more is meant, according to Hume, than thatin these wholes, their degree of relative inde- A is followed by B. But here the example of thependence and the articulation of larger wholes melody is in point: with equal right Hume might into subwholes. Since most wholes are organized have said that there are the six tones, one afterinto more or less independent subwholes, each the other, and nothing between them. And yetlarger whole may ultimately be proved to be a a melody is not only something very different subwhole of a still larger one; and only the prog- from the sum of the tones, it not only providesress of science can show where each whole has the tones with properties they do not possessits final boundaries or whether this final bound- outside the melody, but it also carries withinary does not coincide with the boundaries of the itself its own law. The sequence of tones pro- universe. duced by a dog running over the keyboard of a The significance of this new approach is indi- piano is certainly no less causally determinedcated by the tendency among modern students than the sequence of tones in a melody, but itsin other fields to attack the same problem of determination is of a different kind. These ran-the whole -part relationship and to reach similar dom tones are the incidental result of an activityalthough less far reaching solutions. In biology which in itself may be coherent and unitary butC. M. Child has tried to derive morphological which is not concerned with the production ofdevelopment as well as behavior from physiolog- tones; no tone therefore depends on any otherical gradients, i.e. from relevant, non -atomistic tone, each resulting entirely from the dog's move-properties of the systems. In German psychol- ments. In the melody, on the other hand, eachogy several schools have developed Gestalt con- and every tone gains its significance by its placecepts, all differing from the Gestalt theory by an in the whole, so that all are interdependent andultimate dualism. A good account of these and come into existence at their proper moment be-of the older attempts may be found in a paper cause of that interdependence. Or, from anotherby Egon Brunswik ( "Prinzipienfragen der Ge- angle, even if chanticleer crowed every morning stalttheorie" in Beiträge zur Problemgeschichte just before sunrise, this regular sequence wouldder Psychologie, Jena 1929, p. 78 -149). The basic be no more a causal one than any other sequence. tendencies in physics have been referred to. In More generally speaking, two causal sequences,philosophy particular interest attaches to the divisible into A B C ... and AI BI C1... respec-theories of Jan C. Smuts, whose principle of tively, may occur in such a way that A is alwaysholism has many points of contact with Gestalt, followed by A B by B1 and so forth and yetalthough it is not quite clear how far he con- may remain absolutely independent. Accordingceives of holism as in nature and how far as a to the only significant law, A B C ... form oneprinciple above nature; and to the philosophy of series, Al BI CI ... another. Then law can no Whitehead, whose searching analysis of physics longer mean the mere statement of sequences and metaphysics results in conclusions very sim- but must refer to real functional wholes akin toilar to those of the Gestalt theory although his melodies; scientific law must state, under theultimate metaphysical solution seems to be dif- Gestalt category, the intrinsic properties of suchferent. spatial and temporal wholes. These wholes may K. KOFFKA legitimately be called meaningful, whereas the See: PSYCHOLOGY; MECHANISM AND VITALISM. random sequence of tones is certainly perfectlyConsult: Köhler, W., Gestalt Psychology (New York meaningless, and thus again meaning pervades 1929); Wertheimer, Max, Ober Gestalttheorie, Sym- the applications of the Gestalt category. posion, Sonderdrucke, vol.i (Erlangen 1925), and 646 Encyclopaedia of the Social Sciences "Untersuchungen zur Lehre von der Gestalt" in Psy- lamic theology. In it he expounded the prin- chologische Forschung, vol. iv (1923) 301 -5o; Koffka, ciples of religion, morality and mysticism, de- K., "Psychologie der Wahrnehmung" in International Congress of Psychology, viii (Gröningen 1927) p. 159-pending only upon the traditional proofs and 65; Helson, Harry, "The Psychology of Gestalt" inupon sayings or anecdotes relating to the most American Journal of Psychology, vol. xxxvi (1925) 342- respected characters in the theology of Islam. 70, 494 -526, and vol. xxxvii (1926) 25 -62, 189 -223; The section on morality explains what ethical Scheerer, M., Die Lehre von der Gestalt (Berlin 1931). habits and customs should be followed in vari- ous social situations and analyzes the evil pas- GHAZZALL, ABU -HAMID MUHAMMADsions with much acumen. The section on com- IBN MUHAMMAD AL -TUSt AL- SHAFI`i mercial law discusses the various types of con- AL- (í058- IIii), Persian philosopher and re-tract and gives an excellent analysis of the theory ligious reformer. Al- Ghazzáli studied law at anof sales. The mystic element, while very subtle, early age and became the leading disciple of theis comparatively restrained. The Ihya estab- Imam -el Haramayn. After the latter's death helished Mussulman orthodoxy at a time when taught canon law at the Academy of Nizám -althere was a definite need for clearly stated be- Mulk in Bagdad. At that time he tended towardliefs; it has been an important factor in the per- skepticism, but after a study of the variousmanence and stability of Islam. schools of Muslim thought experienced a religi- B. CARRA DE VAUX ous conversion and accepted the mystic doc- Consult: Carra de Vaux, B., Gazali (Paris 1902); Asfn trines of Sufism. In 1107 after a number of years Palacios, Miguel, Algazel (Saragossa 1901); Mac- passed in travel and retreat he was recalled toDonald, D. B., "The Life of al- Ghazzáli" in Ameri- teach at Naysábur. Finally he returned to his can Oriental Society, Journal, vol. xx (1899) 71 -132, and Development of Muslim Theology, Jurisprudence native town, Tus, where he founded a school for and Constitutional Theory (New York 5903) pt. iii, ch. jurists. iv. Al- Ghazzáli has related in his vivid autobiog- raphy, the Mungidh (French translation by Bar - GHETTO. The origin of this term is a matter bier de Meynard in Journal asiatique, 7th ser.,of dispute. The most popular theory is that it vol. ix, 1877, p. 5 -93), how he was struck by thederives from the Italian ghetta, meaning cannon waning of faith and religious sentiment in Islamor casting factory. It was presumably first used and consecrated himself to the task of revivingto describe a quarter of Venice which was situ- the dying religion. This decadence he consideredated near such a factory and which in 1516 was due primarily not to the political confusion ofenclosed by walls and gates and declared to be the period but rather to the wrongful use ofthe sole part of the city open to Jewish settle- reason in the problems of metaphysics and reli-ment. Other theories are that the word derives gion. He therefore attacked the neo- Platonicfrom the Italian borghetto (a small, negligible tendencies of the Hellenizing scholastics, such assection of a town) or from the vulgar Italian Fárábi and Avicenna, in his celebrated work theguetto, or guitto (a filthy creature), or from the Tahâfut (The overthrow of philosophers, CairoGerman Gitter (bars). The assumption that it 1303). In it he pointed out the vanity and futilityderives from the Hebrew get (indicating separa- of pure reason and claimed to prove that alltion, segregation) is unwarranted, since except scholastic argument was fraught with error andin some documents at Rome that term is not incapable of proving the most fundamentalone of the many synonyms used in the Hebrew truths, such as the existence of a creator. In vari-records to express such meaning. In any case, ous writings al- Ghazzáli also protested againstthe institution antedates the word and the latter the school of the rationalist theologians, calledis used currently in several ways. It indicates not Mutakallims, partisans of scholastic argumenta-only the legally established, compulsory ghetto tion, or Kalâm. He declared that reason as the(a section of a city in which all Jews must reside, basis of proof was adapted only to the highestother quarters being closed to them, at certain intellects and not to the mass of the people andhours even for transit) but also the voluntary that religion and law must therefore be foundedcongregation of urban Jews in a separate quar- upon education, imitation and custom. He him- ter, a phenomenon known in every land of the self wrote for popular use a voluminous treatise Diaspora centuries before compulsion was exer- entitled the Ihyá (The resurrection of the religi-cised and still common. By analogy the word is ous sciences, q vols., Cairo 1312), the clearestcurrently used to describe similar quarters of and most adequate expression of orthodox Is- non -Jewish groups. This usage is justified by the Gestalt-Ghetto 647 fact that the rise of the Jewish ghetto isbasicallyof legal ghettos conservative Jewish elements similar to the rise of quarters of other groupslamented and resisted the dissipation of the at- differing in language, religion, race or generalmosphere in which they were comfortable and culture from the surrounding majoritypopula-best able to perpetuate group solidarity and their tion, such as immigrant quarters, Negro quar-domination of the solidary group. In brief, while ters in American cities, European quartersincompulsory ghettos were known in a few places Asiatic cities, native quarters in South Africanin Germany and Sicily before the fourteenth cities; or even quarters of occupation groups,century, the institution was firstsubstantially such as those of guild members in mediaevaldeveloped by the autonomous action of the Jews towns. without the desire of the general population or When Christianity first spread to western Eu-the authorities and only later did it become a rope, not only Jews but alsoChristians hadform of discrimination and persecution. separate quarters, such as thecatacombs. With The transforming of the ghetto into a com- the Christianization of the Roman Empirethepulsory institution caused no great change in the position of the Jews as an alien group becamegeographical distribution of the Jews, since the more marked than before andthey tended to seg-majority the world over had of their own accord regate as much because of centripetaltendenciessettled closely together. Nor was the creation of as because of external pressure.The establish-a geographical boundary theprime purpose of ment of a separate Jewish quarterfacilitated theirmaking the ghetto compulsory. The goal was to religious functions, for example, the observanceestablish by means of a geographical ghetto a of dietary laws and frequent prayer in the syna-social ghetto; to crowd the Jews out of central gogue, as well as socialintercourse within thebusiness locations; to push them into small side in group and simplified notonly inner communalstreets and thus to limit their opportunities administration but also the satisfaction of ad-commerce, handicrafts and competitiveactivity ministrative requirements of municipal authori-in general. The compulsory ghetto spread from ties. In every country, even where thelegal southern Italy to central and eastern Europe. All ghetto was non -existent, there arose separateghettos- beginning with those of Rome, Venice, Jewish quarters. In mediaeval Germanysuch aTurin, Florence, Pisa, Ferrara, Genoa, Mantua, quarter was called Vicus judaeorum,Judengasse, Benevento and Naples and including those of Judenviertel, Judendorf, Judenstadt and, muchAvignon, Carpentras, Vienna, Prague, Frank- later, ghetto; in England, Jewry; in France,jui-fort, Cracow, Posen, Vilna and Sandomierz as verie; in Spain, juderia; in Portugal, judiaria;inwell as such Russian cities as Kiev and Moscow, Provence, carriera; in Poland, zydowskie miasto, where no Jews might dwell under any circum- dzielnica zydowska, ulica zydowska; in Northstances and where those categories ofJewish Africa, mellah. The only surviving legalandmerchants allowed to visit at stated periods were compulsory Jewish ghetto in the world is theforced to stop at designated hotels the doors of mellah in Morocco. which were locked at night- despite differences The earliest known appearance in law of thisdue to geographical isolation, variation in moral tendency toward segregation is the grant of Ru-codes, religious persecution and juridical restric- diger, bishop of Speyer, who in 1084, in ordertions, served one general purpose: all eliminated to attract Jews to the city and thus"add to itsor limited the participation ofJews in commerce honor," gave them the right to have a separate and handicrafts and weakened their competition. residential quarter where "they might not be The compulsory residential restrictions laid readily disturbed by the insolence of the popu-down by the Venetian senate in 15i6 did not lace." Similarly the Jewish quarters in Toledo,prevent Jews from playing an important role on Seville and Valencia from about 1200 to aboutthe Bourse (then perhaps the largest in the world) especially 1400 were conceded to affordprotection againstor from participating in commerce, attack and to facilitate the organization of com-with the Orient, or from organizing trading firms munal life. It is clear that the ghetto was valued in partnership with Christians. But merchants by its inhabitants. One community for manyand traders formed a negligible percentageof of years commemorated by aspecial ritual the anni-the ghetto population, the great proportion which became impoverished because of its iso- versary of the establishmentof its ghetto; several communities which lost their ghettos repur-lation. In 1388 the Council of Valencia decreed chased them; when the dawn of themodernthat Christians dwelling in the Jewish quarter should move out and in 148o the Cortes, onthe era in western Europethreatened the existence 648 Encyclopaedia of the Social Sciences grounds that Christians were debased by livingvirtually a monopoly on the trade of central and beside Jews, decreed that the latter must live insouthern Europe. The creation of the compul- a segregated section. In Portugal a special com-sory ghettos, like the exclusion of Jews from pulsory Jewish quarter was designated in everymany occupations, such as money lending, trade section which counted more than ten Jews amongin specified merchandise and handicrafts, was its population; the gates were locked every eve-part of the organized effort of the maturing ning at vespers and Jews who returned afterChristian bourgeoisie to eliminate the Jewsas closing were fined and often subjected to cor-competitors. Moreover, since the Jews paid over poral punishment. the best portion of their profits to their feudal The signal for general segregation of the Jewsand royal patrons either as taxes, loans or forced in a locked ghetto was given by Pope Paul iv in"gifts," the battle against Jewish merchants and 1555 in the bull Cum nimis absurdum, and thetraders was also a part of the effort of the Chris- compulsory ghetto was in general a product oftian bourgeoisie to free themselves from feudal the sixteenth century. The thesis of the bull wasoverlords and to gain control of the munici- that it is an impossible absurdity for accursedpalities. Jews to live openly among Christians, to pur- The struggle against the Jews in Frankfort chase real estate or to employ Christian servants.was typical. In accordance with an agreement, It ordered the establishment of ghettos in allrenewed quarterly, between the municipal coun- cities of the Papal States. Even in the ghettoscil and that of the Jewish community the Jews Jews were prohibited from owning houses andhad the right of domicile only in specified sec- had to wear a mark of identification. The Roman tions of the city. The size of the Jewish populace ghetto, down to its abolition in 187o, was thewas limited; Jews were forbidden to compete filthiest example of the institution. It was situ- with Christian merchants or members of craft ated on the low bank of the annually floodedguilds; they were prohibited from purchasing Tiber, an unhealthy section where impoverished real estate; they were excluded from member- Jews had long lived. The entire Jewish popula- ship in merchant and craft guilds or from doing tion was confined within brick walls; the gatesbusiness in the open market and were forced to were kept locked the entire night and late cornerspeddle from house to house or to sell in the were penalized with lashes and a fine. Condi- ghetto. When they sold at rates lower than those tions might vary somewhat with changes on theprevailing in the open market, the populace pre- papal throne, but they were seldom amelioratedferred to buy from them rather than from the by any action of the College of Cardinals or offaithful, a fact which aroused hostility often cul- the inquisitors. A mountain of laws was rearedminating in pogroms. The Jews appealed for to regulate every movement of Jews within and protection to the king, whose serfs (servi camerae) without the ghetto, to decide in which trades orthey were in legal theory. The opposition party, handicrafts they might engage and the like. Asled by a lawyer, Nicholaus Weitz, and an arti- a result of this restriction of activities the com- san, Vincent Fettmilch, in a memorandum to munity became so impoverished as to be unablethe king in 1602 challenged the royal prerogative to pay taxes, and by 1647 its indebtedness hadover the Jews. The memorandum asserted that, mounted to 167,000 scudi (approximately $loo;while it was true that the Jews had previously 000). This picture is in a general way charac-been the property of the king, Charles iv had teristic of the situation in all ghettos. turned them over to the municipality and they The religious argument, widely and effectivelywere now the serfs of the city burghers, who pro- employed in the campaign to segregate the Jews, posed that they be expelled as criminals and their was but a rationalization of a more basic con- possessions be turned over to the municipality. flict. In the sixteenth century the growing Chris- In a countermemorandum the Jews sought to tian bourgeoisie, organized in merchant andprove that the municipal council and the mer- craft guilds, embarked upon a systematic strug- chant and craft guilds had built a fence around gle against feudal barons, bishops, kings andthem from which they had no egress and that emperors to obtain wider municipal autonomythey were forced to pay much higher taxes than and commercial freedom. The Jews, thanks to others. In 1613 the burghers forbade all Jews the protection of feudal lords, had in the pre-who possessed less than 15,000 guldens to re- ceding period of flourishing trade recovered frommain in Frankfort. They confiscated io percent their sufferings of the eleventh to the fifteenthof the possessions of sixty Jews, whom they centuries and were prospering through what wasdrove from the city, and were on the verge of Ghetto 649 driving out the remainder of the communitybeginning of the nineteenth century, although when royal commissioners commanded that the they remained in the ghetto without political persecution of the "royal serfs" cease, granted rights, they had begun to play a significant role permission to the expelled to return and pro-in the general economic and cultural world. vided for implementing the agreement betweenThey formed, however, but a small proportion the municipal and the Jewish councils. In 1614of the ghetto population. the burghers, led by Fettmilch, perpetuated a Since the ghettos were concentrated in the pogrom in which many on both sides werelarge industrial centers they experienced fre- wounded, the ghetto was ruined and 138o Jewsquent increases in population through successive were driven from the town. Only then did theinfluxes. Despite its unfavorable living condi- royal commissioners receive a command to arrest tions the ghetto often offered better economic Weitz and Fettmilch. Two years later the com-opportunities than did many provincial towns missioners led the Jews back to Frankfort in awhere unrestricted quarters were available. Pop- formal procession, granted them special militaryulation growth was not steady, however, being protection and settled them anew in the ghetto.periodically interrupted by harsh persecutions. Within the ghetto poor Jews were practicallyThe Jewish population tables of Frankfort offer prisoners, but the rich received special privilegesa rare insight into Jewish political history. They or bought a modicum of freedom with money.show between 1463 and 1569 an increase of only Some streets were reserved for wealthy Jews,790 over an original 110, between 1590 and 1690 others for the poor. The ghetto of Venice con-an increase of only loco over an original moo tained large Jewish merchants and manufactur-and between 1709 and 1808 an increase of only ers, and according to Luzatto approximately85 over an original 3019. The mortality rate per 4000 Christians were employed in the Jewish moo between 1675 and 1699 seems to have been factories there in 1638. In Vienna in 1753 there about 41 percent and between 175o and 1799 were seventeen families of rich Jewish liveried about 42 percent, indicating decisively that the merchants, traders and bankers and some 350 population growth was due not to natural in- Jewish cashiers, bookkeepers, agents, servants,crease but to the influx of newcomers. While at teachers, rabbis and other retainers. At the endthe end of the sixteenth century approximately of the eighteenth century of the 3000 Jews in2000 Jews were settled in Venice, in the middle the Frankfort ghetto fifty -four paid taxes onof the seventeenth century there were, because sums exceeding io,000 guldens, thirty -two onof a large influx and despite persecutions, 6000. sums between 5000 and xo,000, and forty -nine In recent centuries the concentration of Jews on sums between 3000 and 5000. in the largest cities of all countries has exceeded The fact that ghettos were for the most partthat of the general population. A third of the in the larger and more important commercialentire Jewish population of the world is concen- and industrial cities must have had a decidedtrated in the fifteen cities of Europe and America influence on Jewish occupational distribution.having a population of 1,000,000; 6 percent of Statistics as to the occupational distribution ofthe entire population of these cities is Jewish. the Frankfort Jews, while meager, show that inHere the Jews themselves have created volun- 1694 there were 267 persons, or 7o percent oftary ghettos, quarters of the city, where Jews the total, in trade (textiles, clothes or money);constitute often as much as 8o or even 90 per- nineteen, or 4.9 percent, were butchers or bank-cent of the total population; in these districts the ers; thirty- three, or 8.6 percent, were in the freegreat majority of the city's Jewish population is professions; forty- eight, or 12.5 percent, wereto be found. In one district of Warsaw, for ex- landowning and professionless; nine, or 2.1 per- ample, Jews comprise 94.4 percent of the popu- cent, were unskilled laborers; and seven, or 1.9lation; in another the percentage is 78.7, in a percent, were beggars. In 1703 the figures show third 63.1, in a fourth 59.4. In Vienna and a slight decline in the first two categories and an Warsaw, each of which has twenty wards, about increase in the third. The Rothschilds, Schiffs,two thirds of the entire Jewish population is Speyers, Wertheims, Gomperzes, Oppenheimerssettled in four wards. In 1892, 75 percent of the and Orensteins, all of whom played importantJewish population of New York lived on the roles in nineteenth century finance, arose fromEast Side. Although the improved status of some the ghettos of Frankfort and Vienna. Theyimmigrants has resulted in a certain amount of amassed their wealth during the wars of thescattering, in some districts of the Bronx and seventeenth and eighteenth centuries and by theBrooklyn the Jewish population totals between 65o Encyclopaedia of the Social Sciences 8o and 90 percent of the whole. The Jews in theagainst this point of view. Whilesome Zionists Bronx number 9.5.28 percent of the totalpopu-on the whole share liberal sentiments with re- lation of that borough, and in Brooklyn35.oz gard to the ghetto, the so- called Diaspora nation- percent. In London in 1929 two -thirds of thealists have adopted a different attitude. Simon 75,000 Jews in the city were concentrated in theDubnow's historical work in particular has served East End and Stepney. to document their view that the mediaeval ghetto Although with the sharpening of class differ-had positive values for the Jewish community ences in the modern ghetto a certain proportionand that within its walls there grew upa com- of the more prosperous Jews moves toa non-munal organization, national solidarity anda Jewish section, only a small group belonging to cultural life which, while colored by the effects the upper class definitely breaks with Jewishof walled isolation from the outside world,pro- surroundings and lives aloof from a Jewish en-duced characteristic values of its own. These vironment. In some countries, for example, ItalyDiaspora nationalists demand an opportunity and France, where the proportion of Jews to thefor autonomous life such as the ghetto partially total population is extremely small, members ofprovided and look to the new theory of minority the proletariat show a similar trend. On the otherrights as a basis for the development they seek. hand, when the Jews of the middle class attempt JAKOB LESTSCHINSKY to make such a break, there occurs a mass exodus See: DIASPORA;ANTISEMITISM; JUDAISM;JEWISH and a reconcentration of the same Jews in a new AUTONOMY; JEWISH EMANCIPATION; ZIONISM; ETHNIC section of the city. This phenomenon of volun~COMMUNITIES; ASSIMILATION, SOCIAL. tary concentration is due to a complex of reli- Consult: Dubnow, Simon, Weltgeschichte des jüdischen gious, national, social and economic reasons. Volkes, to vols. (Berlin 1925 -29) vols. vi -x; Caro, Perhaps the most significant fact behind it is Georg M., Sozial- und Wirtschaftsgeschichte der Juden that wherever the wandering Jewish masses goim Mittelalter und der Neuzeit, z vols. (Frankfort they concentrate in special fields of artisanship 1908 -2o; vol. i, 2nd ed. 1924); Baron, Salo, "Ghetto and Emancipation" in Menorah Journal, vol. xiv and small manufacturing, i.e. in the occupations (1928) 5x5-26; Wirth, Louis, The Ghetto (Chicago to which they have been historically bound, 1928); Abrahams, Israel, Jewish Life in the Middle which do not require large capital investment Ages (London 1896); Philipson, David, Old European and involve no great physical exertion. The oc-,Jewries (Philadelphia 1894); Vogelstein, H., and Rie- cupational concentration of the mass of Jews,ger, P., Geschichte der Juden im Rom, z vols. (Berlin 1895 -96); Berliner, Abraham, Aus den letzten Tagen both employers and laborers, increases the tend- des römischen Ghetto (Berlin 1886); Pribram, A. F., ency to residential concentration. In the wake Urkunden und Akten zur Geschichte der Juden in Wien, of this phenomenon comes the concentration of 2 vols. (Vienna 1918); Schwarz, Ignaz, Das Wiener Jewish middlemen, intelligentsia and all the Ghetto, seine Häuser und seine Bewohner (Vienna 1909); other elements of a functioning community. Kracauer, Isidor, Geschichte der Juden in Frankfurt am Main (1150 -1824), 2 vols. (Frankfort 1925-27); Within such a community there arises a network Roth, Cecil, Venice (Philadelphia 1931); Unna, Josef, of institutions (charitable, social, cultural, politi-Statistik der Frankfurter Juden bis zum Jahre 1866 c which, in turn, tend to stabilize and per-(Frankfort 1931); Ruppin, Arthur, Soziologie der Ju- den, z vols. (Berlin 1930 -31); Cohen, Israel, Jewish pal)etuate e the ghetto. Life in Modern Times (2nd ed. London 1929); Lest- It has already been pointed out that conserva- schinsky, Jakob, "Die Umsiedlung und Umschich- tive and dominant elements in the de jure ghettotung des jüdischen Volkes im Laufe des letzten Jahr- communities resisted the break up of the ghettohunderts" in Weltwirtschaftliches Archiv, vol. xxx threatened by the rise of the modern state. Simi- (1929) 123 :-56 *, and vol. xxxii (1930) 563-99; Lin- larly, conservative elements in the de facto ghet-field, Harry S., "Statistics of Jews -1929" in Ameri- can Jewish Yearbook, vol. xxxii (1930-31) 251 -81; tos of today resist the drift away from the ghettoHapgood, Hutchins, The Spirit of the Ghetto (New and cultivate an atmosphere of animosity towardYork 1909). Jews who reside outside. On the other hand, Jewish liberalism, seeking to realize the theoriesGIANNI, FRANCESCO MARIA (1728- 1821), of the French Revolution with regard to theirItalian statesman and economist. Gianni was position in the state, has not only worked toborn in Florence. He was director of the cus- destroy the old but has disapproved the newtoms in Pisa and was later promoted to the rank type of ghetto. Historians of the liberal schoolof senator in Florence and made superintendent tended to paint the mediaeval ghetto as an insti-of the silk industry. Gianni rose to eminence in tution of unmitigated evil. The rise of modern 1766 when a grain scarcity menaced the coun- Jewish nationalism was attended by a reactiontry. Conversant with the works of Bandini, he Ghetto-Giannone 651 proposed the extension first to Siena, then to allnational historian a mass of material hitherto neg- Tuscany of free trade in grain originally grantedlected it marked an innovation in historiog- to Maremma in 1738. On September 18, 1767,raphy. In spite of Giannone's more or less ex- was promulgated the famous act by which Tus- tensive plagiarisms in particular passages the cany became the pioneer in the cause of com-originality of his conception remains undis- mercial liberty. The grand duke Leopold placedcredited. The laws and institutions of Naples great confidence in Gianni, gave him the rank ofhad emerged during the kingdom's long strug- minister and followed his advice when he,gles to free itself from the hegemony of the elaborating a view first put forward by Hutche-church, which claimed feudal suzerainty over it; son and commented upon by Hume, stronglyand the problem of the relations between church argued that public debt was not truly a stateand state -in Giannone's day still the gravest debt but a sum of private debts from taxpayers concern of the Neapolitan government -was up- to public creditors, in which the state acted only permost in his mind. Upon the framework of the as an intermediate agency. Pursuant to this the-historical manifestations of this problem Gian- ory an edict of 1788 distributed the public debtnone pinned his history. The spirit pervading among payers of land taxes. Gianni lived to see Dell' istoria civile was plainly anticurialistic. Re- his work overturned after the ascension of Leo- ducing the basis of ecclesiastical temporal power pold to the Austrian throne. The Debt Redemp- from divine right to merely "human titles" he tion Act was recalled and in 179o, a year of foodvigorously championed the principle that the scarcity, he, as the author of free trade in grain,church should be subordinate inall except was branded as an arch enemy of the people;purely spiritual matters to the civil and lay ele- his house was sacked and he was obliged toments in the state. Thus he heralded and helped escape to Bologna. For a brief period he wasprepare such great movements in defense of the minister of finance under the French regime andrights of the state as Febronianism in Germany, he retired in 18o1. Josephism in Austria, Leopoldism in Tuscany LUIGI EINAUDI and the ecclesiastical legislation of Charles III's Works: Scritti di pubblica economia, storico -economici e minister, Bernardo Tanucci, in Naples. In re- storico - politici,2vols.(Florence1848 -49),with sponse to Dell' istoria civile the Neapolitan church biography by G. Ponsi, vol. i, p. 1 -7; Governo della excommunicated Giannone and forced him into Toscana sotto it regno di S. M. it Re Leopoldo zz (Florence 179o), the celebrated budget report for the exile. Finding refuge at the Viennese court of period 1765 -89 said to have been written by Gianni. Charlesvi,he remained in Austria until 1734, Consult: Ricca -Salerno, Giuseppe, Storia delle dottrine when he was lured back to Italy by the hope finanziarie in Italia (znd ed.Palermo1896)p. that the Bourbon Charles in, recently ascended 290 -93. to the Neapolitan throne, would protect him. His hopes proved vain; after many wanderings GIANNONE, PIETRO (1676 -1748), Neapoli- he was treacherously arrested by the king of Sar- tan jurist and historian. In 1723 Giannone, thendinia and kept a prisoner in the fortress of Turin an influential jurist at Naples, published thefor the remaining twelve years of his life. Shortly voluminous Dell' istoria civile del regno di Napolibefore his imprisonment he had completed the (4 vols., Naples 1723; ed. by Achille Mauri, 2IZ triregno (1736; first published 3 vols., Rome vols., Milan 1853; tr. by James Ogilvie, 2 vols.,1895), a doctrinal formulation of his religious London 1729 -31) with which he had been occu- views, which in the years since the publication of pied for twenty years. The word civile, as his in-Dell' istoria civile had progressed from anticurial- troduction states, was meant to designate a newism to radical anticlericalism. conception of history finding its content entirely GUIDO DE RUGGIERO in "political matters ... laws and customs." Consult: Vita scritta da lui medesimo, ed. by Fausto Considering Giannone's training and tempera-Nicolini (Naples 1905); Mauguin, G., Etude sur ment, it was natural that in the actual workingl'évolution intellectuelle de l'Italie de 1657 à 1750 en- out of his problem he should devote his attention viron (Paris 1909) p. 131 -32, 176 -81; Croce, Bene- not to a narrative of political events but to thedetto, Storia del regno di Napoli, Scritti di Storia evolution of the legal, administrative and consti-Letteraria e Politica, vol. xix (Bari 1925); Ruggiero, Guido de, Il pensiero politico meridionale nei secolo tutional structure of Naples. As a record of the xvi11 e xix (Bari 5922) p. 28 -41; Fueter, Eduard, life of the nation Dell' istoria civile inevitably Geschichte der neueren Historiographie, Handbuch der shows the limitations of the juristic point ofmittelalterlichen and neueren Geschichte, vol. i (2nd view, but by introducing into the province of the ed. Munich 1925) p. 276 -78. 652 Encyclopaedia of the Social Sciences GIANNOTTI, DONATO (1492 -1573), Italian(1540), written in dialogue form, in which he political theorist. Giannotti was active in theheld that the aristocratic government of the republican government of Florence which wasVenetian Republic was the embodiment of the established after the political changes of 1527,"mixed" regime, is more an exposition than a when the city revolted against the dominationcritical study. Giannotti was also the author of of the Medici. He was chosen secretary of theseveral literary works. Dieci di libertà e pace, the supreme council, GUIDO DE RUGGIERO and maintained to a certain extent the tradition Chief works: Opere politiche e letterarie, ed. by F. that the Florentine secretaries were political L. Polidori, z vols. (Florence 185o), which contains theorists as well. After the fall of the republic the works mentioned in the text. he went into exile, living many years in Venice. Consult: Sanesi, G., La vita e le opere di Donato In 1527 he wrote Discorso sopra it fermare it Giannotti (Pistoia 1899); Ridolfi, Roberto, "Nuovi contributi alla biografia di Donato Giannotti" in governo di Firenze, which he dedicated to the Rivista storica degli archivi Toscani, vol.i (1929) gonfalonier of justice, the chief magistrate of213-47. Florence. In it he named the principal aspira- tions of various groups in society; the massGIBBINS, HENRY DE BELTGENS (1865- desiresliberty,a smaller group aspiresto 1907), English economic historian. Gibbins was honor, while absolute power is the ambition ofborn at Port Elizabeth, Cape Colony, and edu- certain individuals. From this he concludedcated at Bradford Grammar School and Wad - that it was necessary for the Florentine Repub- ham College, Oxford. While still an undergrad- lic to have three organs of government to satisfyuate he became interested in social and eco- these aspirations: a grand council recruitednomic questions, and at the age of twenty -five from the masses for the first; a senate chosenhe published his best known work, The Indus- from the aristocracy for the second; and for thetrial History of England (London 189o). He was third a gonfalonier appointed for life. He thus ordained deacon in the Church of England in showed himself an advocate of a mixed constitu- 1891 but adopted the profession of schoolmas- tion, in which were to be fused the principles ter, serving as vice principal of Liverpool Col- of democracy, aristocracy and monarchy, a fu-lege between 1895 and 1899 and subsequently sion which the Greek political philosophers had as headmaster of King Charles I School, Kid- ardently desired and which Renaissance thought derminster. Gibbins' later works, The History had taken up and adapted to the conditions ofof Commerce in Europe (London 1891), English thereestablished contemporarycitystates. Social Reformers (London 1892, 2nd ed. 1902), Giannotti developed this same theme on a largerBritish Commerce and Colonies (London 1893 scale in a more comprehensive work written dur-3rd ed. 1899) and The English People in the ing exile, Della repubblica fiorentina, in which,Nineteenth Century (London 1898) added little using Machiavelli's Discorsi as a model, he inter- to his reputation. His Industry in England (Lon- mingled theoretical observations with historicaldon 1896, 7th ed. 1912) was substantially an examples and criticism of existing governments.expansion of the Industrial History. He reaffirmed the need of mixed government on None of Gibbins' work can be said in any the grounds that since there are different socialstrict sense to have been based on research; he classes and since therefore the desires of the was essentially a popularizer in the best meaning classes forming the body politic are differentof the term. Written at a time when little atten- "it is necessary to bear in mind these desires tion had been paid to the subject, his Industrial so that each part may be satisfied," because itHistory passed through twenty -seven editions is only thus that a stable social order can bewithin thirty years. It was widely used in the established. On this basis he gave his judg- schools, but it appealed especially to the working ment of the Florentine republican experimentmen's classes which were then springing up, and of 1527 and disclosed the weaknesses which inin which industrial history was probably the his opinion had caused its fall. It is interestingsubject most generally studied. Of the two dif- to note that like Machiavelli he was an advocate ferent interpretations which had been recently of acitizenmilitia,recruited by districts,propounded by William Cunningham and J. which would elect its leaders from among itsThorold Rogers, Gibbins adhered to that of members and in which he had much greaterRogers, with whom he had come into personal faith than in the mercenary forces. Anothercontact and from whom he had received much work of Giannotti, Della repubblica de Veneziani encouragement. While Rogers' teaching can be Giannotti.-Gibbon 653 traced throughout the Industrial History, it be-eighteenth century rationalist school of histo- comes particularly evident in Gibbins' accounts rians that arose with Bolingbroke, Voltaire and of the decay of the guilds and of the relationDavid Hume. The aim of this school was to between the Black Death and the Peasants' Re- liberate history from the incubus of supernatural volt and in his presentation of the golden ageinterpretations and to supersede the old chron- which had been destroyed by the greed of land- icle method of writing by a reasoned philosophi- lords or the unscrupulousness of industrialists.cal narrative based upon a critical examination He asserts that the change from domestic toof the authorities and the cultural value of the factory production was "sudden and violent"evidence. Utility was the objective, scholarship and draws a highly colored picture of the evilmerely the means to the end. But although Gib- caused by the industrial revolution. On thebon was undoubtedly affiliated with this move- whole Gibbins did not change his grounds inment in his contempt for the compilateur grossier the successive editions of the book, although he who did not write en philosophe, he held no brief did attempt to rebut the charge that he wrotefor its leading doctrine that history is "philos- with animus against landlords. The currentophy teaching by examples." His scholarly in- edition (28th ed. London 1926) has been prettystincts and training led him to a better under- thoroughly revised by J. F. Rees, who offers astanding of the historian's function and tech- quite different interpretation of some periods, nique. Laying great stress on accuracy, design, particularly of the fourteenth and sixteenth cen-justness of perception and, above all, the correct turies. appreciation of the causal connection between J. F. REES events he links himself with the rigorous his- torians of modern times. GIBBON, EDWARD (1737 -94), English his- The motif of the Decline and Fall is decay. In torian. Gibbon's intellectual development mayGibbon's eyes European history from the age of be summed up in four principal phases or turn- the Antonines to the downfall of the empire in ing points, each of which materially influencedthe west is a record of immense and steady the conception, plan and execution of his liferetrogression. His analysis of the causes of the work, the History of the Decline and Fall of the phenomenon is inadequate, his account being Roman Empire (6 vols., London 1776 -88; newmainly descriptive and panoramic; but he is in- ed. by J. B. Bury, 7 vols., 1909 -14). These turn-clined to attribute the disaster, partially at least, ing points are: his precocious acquisition atto the triumph of Christianity and describes the about the age of fifteen of a great store of his-rise and progress of the church with a thinly torical information which although unsystematicveiled hostility. At the same time he is fairly and unsupported by other studies furnished thecognizant of other operative causes -military, inspiration of his subsequent career; his conver- social, economic -and in the last resort suggests sion to Roman Catholicism while a student atthat possibly the principle of decay was inherent Oxford in June, 1753, and his reconversion toin the organism from the start. Probably the Protestantism at Lausanne, Christmas, 1754 -aweakest part of the work is that which deals with premature intellectualcrisisthat inflicted aByzantine history from Leo the Isaurian to permanent lesion on his mind, destroyed hisBasil it, a period falsely represented by Gibbon interest in dogmatic religion, drove him foras one of uniform corruption and decline. It moral support to deism and infused all his later should also be noted that many of the authorities utterances on the Christian religion and theon whom he relied have now been discarded as Christian church with a chronic bitterness; hisuntrustworthy. But as a narrative history of the sojourn from 1753 to 1758 at Lausanne, wheregreatest event in the world the Decline and Fall of under the care of a Swiss pastor, M. Pavillard,the Roman Empire is, and probably will remain, he laid the basis of a sound Latinity and thereby unsurpassed. provided himself with a key to unlock the his- J. B. BLACK tory of Rome and a passport to serious historical Consult: The Memoirs of the Life of Edward Gibbon, research; his visit to Rome in October, 1764,by G. B. N. Hill (London 1900); Morison, J. C., during which came the moment of illumination Gibbon (London 1878); Black, J. B., The Art of His- in the light of which he discerned the true scopetory (London 1926) p. 143 -83; Ritter, Moriz, Die Entwicklung der Geschichtswissenschaft an den führen- and drift of his studies and formulated the planden Werken betrachtet (Munich 1919) p. 296 -309; of his magnum opus. Sainte - Beuve, C. A., Causeries du lundi,55 vols. Historiographically Gibbon belongs to the (3rd ed. Paris 1857 -72) vol. viii, p. 435-72. 654 Encyclopaedia of the SocialSciences GIBSON, JOHN BANNISTER (178o-1853), the Life, Character and Writings of John B.Gibson American judge. A justice from 1816to his (Philadelphia 1855); Matlock, S. D., "JohnBannister death and for twenty -five years of that periodGibson" in Great American Lawyers, ed. byW. D. chief justice of the Supreme Court of Pennsyl- Lewis, 8 vols. (Philadelphia 1907 -09) vol. iii,p. 351- 404; Appel, J. W., "Gibson and Progressive Juris- vania, Gibson performed an important task,to prudence" in Pennsylvania Bar Association, Reports, quote his own words, "in building upa new vol. xv (1909) 356-7o; Wíster, Owen, "TheSupreme system, in part on the model of an old one." He Court of Pennsylvania" in Green Bag, vol. iii(1891) combined a deep seated respect for the essential 72 -87. features of the common law of England and ofGIDDINGS, FRANKLIN HENRY (1855- English equity, as developed by thegreat Eng-1931), American sociologist. Through the influ- lish chancellors Hardwicke and Eldon, witha ence of his teaching of sociology and the history sense of the needs of a pioneer society and theof civilization at Columbia University,Giddings advancing claims of democratic theory. Al-was one of the founders of sociology in the though his influence upon American lawwasUnited States. Many of his worksare polemical exercised through his judicial work exclusively, essays written in the journalistic tradition which he is entitled to rank as a leader in the American he acquired as editorial writeron the Springfield reception of the common law and equitysystemRepublican and the Springfield Union before of England. Yet he escaped something of theentering upon his teachingcareer. These writ- blind reverence of Story and Kent forspecial ings reflect Giddings' social philosophy better doctrines of the English chancery based on thethan do his more academic works, in whichhe peculiar structure of eighteenth century society.formulated a system of sociology composed of The difficult problem of enforcing equitabledetailed logical categories. Hewas an insistent principles through legal forms without the fullproponent of a rigidly scientific sociology, sta- equipment of equitable remedies, whichwas fortistical in method and borderingon psychology more than a hundred years a peculiar feature ofand history in content; he was inclinedto base Pennsylvania jurisprudence, may have causedhis own judgments, however,on immediate some aberrations in Gibson's judicial thinkingimpressionistic reflections. upon the nature of equity and equitable relief. The keystone of Giddings' sociologicalsystem But upon such a crucial issue as the relations ofwas his doctrine of "consciousness of kind," the forms of remedies to substantive rights Gib-which he derived from Adam Smith's theory of son recognized that "the drapery of the action"moral sentiments and from Herbert Spencer's was not a matter of prime importance and that doctrine of evolution and which he reformulated in many respects the writs and pleadings of the in his later works as the doctrine of "pluralistic common law were "worn out machinery." In thebehavior." The essence of the doctrine is that field of constitutional law he is remembered byindividuals, by responding tocommon stimu- the reasoning of a dissenting opinion in whichlation, by communicating and associating, by he held the judiciary to be withoutpower toacting upon one another through suggestion,ex- declare void an act of the legislature, because ofample and imitation, generate similar feelings conflict with the state constitution-a positionand develop likemindedness. Froman awareness later abandoned with characteristic honesty andof these likenesses and of contrasting behavior practical common sense. Perhapssome of hisconsciousness of kind or type arises whichcon- phrases have caused later judges tostray; forverts gregariousness into discriminative associa- instance, his characterization ofa negotiabletion and herd habit into norms and elements of instrument as "a courier without luggage." Butcustom through which society by using social his benevolent personality and amiabletemper,pressure maintains social cohesion and perpetu- combined with an unusual gift for clear, vigor-ates the adequate. ous and epigrammatic expression, served with Giddings' idealization of the social stability his learning and broad culture to make him thearising from likemindedness led himto oppose most conspicuous of the chief justices of hismass immigration, to regard large cities with commonwealth. He merited the praise that hetheir heterogeneity of population with distrust founded there "a liberal,progressive juris-and to condemn radicalismas disruptive. He prudence." was an active opponent of socialism, regarding ORRIN K. McMURRAYas its cardinal fallacy its principle that industrial Consult: Roberts, T. P., Memoirs of John Bannister derangements and their consequent tragedies Gibson (Pittsburgh 189o); Porter, W. A., An Essayon can be prevented by planning under a socialist Gibson-Gierke 655 ,state. Although he vaguely urged "social engi-Althusius' ideas within the whole context of Eu- neering" he held with the social Darwiniansropean political theory. In Das deutsche Genos- that in social as in natural selection the strugglesenschaftsrecht Gierke is more purely the scholar for existence leads to the survival of the fittestand theorist than in Deutsches Privatrecht, which and that the process is inexorable and beneficent.partly grew out of his participation in contro- He defended what he designated a creed ofversies over the adoption of the German civil socialized individualism, advocating that thecode, the first draft of which appeared in 1888. successful, who were to him synonymous withGierke attacked the draft, which seemed to him the superior, should refrain from abusing theirunimaginative, because it gave little or no atten- power to exploit the unsuccessful. tion to codifying the developing Germanic ele- During and subsequent to the Spanish Amer- ments of contemporary German law. Although ican War Giddings advocated an American im-he was not wholly successful he without doubt perialistic policy patterned after that of imperialsucceeded in strengthening certain fundamental Britain, which he conceived of as an ideal demo-Germanic trends. cratic empire. His intense chauvinism during Gierke's concept of Genossenschaft ( cooperaz the World War was expressed in part by antive association) influenced all his work. He did attack upon German political philosophy. not give it a rigid definition but traced its evo- BERNHARD J. STERN lution in contrast with its antithesis, Herrschaft. Important works: The Principles of Sociology (New Genossenschaft is found where several human York 1896, 3rd ed. 1896); Democracy and Empire beings realize the ends of the group through (New York 1900); Studies in the Theory of Human some form of cooperation of their several wills, Society (New York 1922); The Scientific Study ofwhile Herrschaft is found where group ends are Human Society (Chapel Hill, N. C. 1924). For a com- realized through subordination of the wills of plete bibliography see A Bibliography of the Faculty the group members under one or several com- of Political Science of Columbia University, z88o -zoo manding wills. Gierke attributed to the Ger- (New York 1931). Consult: Gillin, J. L., "Franklin Henry Giddings" in manic peoples a particularaptitude for Genossen- American Masters of Social Science, ed. by H. W. schaft and the freedom which it helps to maintain. Odum (New York 1927) ch. vii; Lichtenberger, J. P., Apart from its theoretical implications the "Franklin Henry Giddings, an Appreciation" ingreatness of Gierke's work lies in the firmness Journal of Applied Sociology, vol. ix (5925) 326-32; with which it is rooted in the past of German Northcott, C. H., "The Sociological Theories of Franklin H. Giddings" in American Journal of Soci- legal history. In his undertaking to analyze the ology, vol. xxiv (1918 -19) 1 -23; Abel, Theodore, "The legal forms of association and cooperation among Significance of the Concept of Consciousness ofthe Germanic peoples he profoundly influenced Kind" in Social Forces, vol. ix (193o)1 -1o; Ward, branches of law which are of particular impor- L. F., "Principles of Sociology" in American Acad- tance at present, such as the law of joint stock emy of Political and Social Science, Annals, vol. viii (1896) I -31; Tenney, Alvan A., in Columbia Univer- companies, the law of cooperative associations sity Quarterly, vol. xxiii (1931) 319 -24. and industrial law. Whoever wishes to do either theoretical or practical work in these fields must GIERKE, OTTO VON (1844- 1921), Germango back to Gierke. Upon public law his influence jurist. Gierke was one of the great exponents ofhas been indirect but equally great, for his pupil, the Germanistic point of view in the interpreta-Hugo Preuss, was the drafter of the German tion of German legal history -a point of viewconstitution of 1919. With Gneist and Laband, which as a pupil of Georg Beseler he embracedGierke is one of the important founders of con- with passionate enthusiasm. He worked withtemporary German constitutional law. In gen- tireless energy through most of his life uponeral he has greatly stimulated the sociological two monumental works, Das deutsche Genossen- approach to law. schaftsrecht (4 vols., Berlin 1868, 1873, 1881 and CARL JOACHIM FRIEDRICH 1913; vol. iv unfinished) and Deutsches Privat- Consult: Stutz, Ulrich, "Zur Erinnerung an Otto von recht (3 vols., Leipsic 1895, 1905 and Munich Gierke" in Zeitschrift der Savigny- Stiftung für Rechts- 1917; published as part of Binding's Systemati-geschichte, Germanistische Abteilung, vol. xliii (1922) sches Handbuch der deutschen Rechtswissenschaft).vii-lxiii, to which is appended a complete bibliog- To these must be added his famous monograph,raphy of Gierke's works; Schultze, Alfred, "Otto von Gierke als Dogmatiker des bürgerlichen Rechts" in Johannes Althusius und die Entwicklung der na-Jhering's Jahrbücher für die Dogmatik des bürgerlichen turrechtlichen Staatstheorien (Breslau 188o, 4th Rechts, vol. lxxiii (1923) i -xlvi; Gurwitsch, Georg, ed. 1929), in which he undertook to outline"Otto von Gierke als Rechtsphilosoph" in Logos, 656 Encydopaedia of the Social Sciences vol. xi (1922 -23) 86 -132; Planitz, Hans, "Otto von metaphysics of sociology. In Giesswein's socio- Gierke" in Deutsches biographisches Jahrbuch, vol. iii (Berlin 1927) p. 110 -18; Coker, F. W., Organismiclogical system the milieu and moral and social Theories of the State (New York 191o) p. 76 -8o; ideas form the elements whose synthesis, the Emerson, Rupert, State and Sovereignty in Modern cultural idea, is decisive for the development of Germany (New Haven 1928) ch. iv. human society. He held that individuals and society condition each other and found the rec- GIESELER, JOHANN KARL LUDWIG onciliation of socialistic and individualistic aims (1792- 1854), German Protestant church histo-in the basic teachings of Christianity. His socio- rian. Gieseler was the son of a Westphalianpolitical writings were the theoretical bases for pastor and studied theology at Halle. He taughthis practical activity in'parliament, to which he at the universities of Bonn and Göttingen. Be-was elected in 1904, and in the foundation of the sides his wide scientific study, which coveredChristian Social party. Giesswein succeeded in the entire field of ecclesiastical and dogmaticfounding ninety -eight Christian Social trade history, he interested himself in practical socialunions in Hungary, but because of their align- questions. He superintended the orphan asylumment with the clerical party of large landowners in Göttingen and founded a society to aid ex-received no support from them for his program convicts. In his numerous writings and particu-of agrarian and radical social reform. He later larly his chief work, Lehrbuch der Kirchenge-reorganized the Christian Social party, which schichte, he takes especial interest in the influ-abandoned him when he refused to cooperate ence of the church upon the organization ofwith the counter -revolutionary reaction. With a society in the course of its development. As anfew adherents Giesswein fought unswervingly important part of internal church history hefor the democratic liberal tradition during the treats the history of the internal constitution ofyears of terror in Hungary. Even during the society with special reference to the influence ofWorld War he was active in behalf of interna- Christianity upon the ethical conceptions of thetional pacifism. As member of the Central Com- people. Just before his death he was occupiedmittee for an Enduring Peace he made a report with the question as to how far the church hadin 1915 in Berne on the idea of association in transformed the social relationships existing ininternational law. In the militaristic atmosphere the Roman Empire. His realistic attitude is alsoof post -war times Giesswein was the only scholar seen in his avoidance of ideological construc-and politician in Hungary who entered the lists tions of history and his eagerness to let the with courageous sincerity for international union sources speak for themselves. In his theological and the supranational education of youth. He work he united critical discernment of the defi-also took active interest in the Esperanto move- ciencies of the records with a fine appreciationment and in the struggles for the legal equality of the abiding worth of a living Christianity. of woman and against alcoholism. KARL VOLKER RUSZTEM VÁMBÉRY Important works: Lehrbuch der Kirchengeschichte, 6 Important works: Die Hauptprobleme der vergleichenden vols. (Bonn 1824 -57; pts. i -v, 4th ed. 1844 -48, pt. v, Sprachwissenschaft (Freiburg i.Br. 1892); Determini- 2nd ed. 1849), tr. by S. Davidson, J. W. Hull and stische and metaphysische Geschichtsauffassung, 2 vols. H. B. Smith, 5 vols. (New York 1857 -80). (Vienna 1906 -07); Keresztényszocidlis törekvések a Consult: Redepenning, E. R., "Gieselers Leben and társadalmi is gazdasági életben (Christian Social en- Wirken" in Lehrbuch der Kirchengeschichte, vol. v, p. deavors in social and economic life) (Budapest 1913); xliii -xlvi, English translation in vol. i, p. v -xiv; Baur, A szocidlis kérdés is a keresztényszocializmus (The F. C., Die Epochen der kirchlichen Geschichtsschreibung social question and Christian Socialism) (Budapest (Tübingen 1852) p. 232 -36. 1914); A háború és a társadalomtudomány (The war and sociology) (Budapest 1915); Soziologische und ge- schichtsphilosophische Bemerkungen zur Organisation GIESSWEIN, SANDOR (1856 -1923), Hun- der zwischenstaatlichen Beziehungen (The Hague 1916); garian sociologist, pacifist statesman and Cath- Gerechtigkeit and Friede (Pressburg 1918); Hdború is olic prelate. Giesswein began his career by the bike között (Between war and peace) (Budapest 1921). study of Assyriology and comparative philology Consult: Giesswein emlékhönyv (Giesswein memorial) but later turned his attention to the philosophy (Budapest 1925). of history and sociology. As a forerunner of Paul Barth he believed that history contemplates theGIFFEN, SIR ROBERT (1837- 191o), English flux of things, sociology the achievement; and statistician and writer on finance. Giffen worked that just as the philosophy of history is the meta- for several years in a solicitor's office in Glasgow, physics of history, so social philosophy is the where he also attended classes at the university. Gierke-Gifts 657 After moving to London in 186z he became con- 318 -21, and Royal Statistical Society, Journal, vol. nected with the Globe and the Fortnightly Re- Ixxíií (1910) 529 -33. view, and from 1868 to 1876 served as assistant editor of the Economist under Walter Bagehot. GIFT TAX. See INHERITANCE TAXATION. In 1876 he entered the service of the Board of Trade and remained with it until his retirementGIFTS in 1897. He was chief of the Statistical Depart- PRIMITIVE. The voluntary offering of tan- ment and later the first head of the Labour De-gibles and intangibles designed to please or partment. Through his work at the Board ofpropitiate is a world wide practise. Gifts to chil- Trade he was responsible for considerable im-dren, to members of the family and friendship provements in official economic statistics; he also gifts, such as the friendship baskets given to one directed the first national census of wages in another by Pomo women, are usually expressions 1886 and played an important part in the reformof affection. There are many ceremonial occa- of bankruptcy legislation in 1882. He was one ofsions on which gifts are given. Strangers, adopted the founders of the Statist in 1878 and editor ofpersons, clans or tribes and newborn children the Journal of the Royal Statistical Society fromare welcomed with gifts. At ceremonies of initia- 1876 to 1891. tion into age societies and secret orders the gifts Giffen's numerous statistical studies are mod-conferred sometimes go to the sponsor in return els of clear exposition and of legitimate statisticalfor relinquishing his place. Marriage gifts are inference. He paid little attention to the mathe-given to the parents or clan of the bride and matical analysis of statistical data and was acutelycounter gifts presented by them. What is called aware of the limitations commonly inherent inmarriage by purchase is often in fact gift and quantitative material. In his studies of wealthcounter gift, for the women whose parents do and taxation he dealt particularly with Irish tax-not make satisfactory return gifts may be sent ation, which he considered disproportionate toback. the wealth of the country. In his address on The Many types of service are rewarded by gifts, Progress of the Working Classes in the Last Halfsuch as help of medicine men, acknowledgment Century (London 1884) he made the earliestof the offices of the opposite moiety in burial of competent attempt to measure the industrialthe dead, as among the Kwakiutl, and services progress in the United Kingdom in the nine-of the wife, as among the natives of the Tro- teenth century. His Growth of Capital (Londonbriands. Propitiation gifts are offered at the 1889) is one of the early estimates of nationalcommencement of a transaction, to be recipro- wealth which is still consulted. Giffen's contri-cated in equivalence, as in the Solomon Islands, butions were not confined to statistics. His ad-or in double value, as in the case of Kwakiutl vice was frequently sought by various govern-transfer of a "copper." Gifts are often exchanged mental bodies and some of his most valuableat the making of a treaty, as a pledge of good work is to be found in the printed memorandawill; the original tokens, of wampum, became for and evidence submitted to royal commissionsthe Iroquois and Algonquins the records of con- and committees. In these his wide acquaintancetract. Gifts to the dead often exceed the posses- with financial subjects and his unusual power ofsions of the dead persons when alive. Indians of accurate generalization from voluminous andsouthern California cast into the mortuary fire complex evidence appear to the greatest ad-quantities of not always appropriate gifts. In vantage. Of his views on broader economicmany areas the ancestors may be thought to questions it is sufficient to observe that he was acling to the habitation, take part in the festivities free trader and that he was strongly opposed toand receive their share of the potlatch, as among bimetallism. the Kwakiutl. Offerings to supernatural beings W. A. BASHAM have taken many forms: libations to the lares and penates among the Romans; burnt offerings Important works: American Railways as an Investment (London 1872, 3rd ed. 1873); Stock Exchange Securi-among the Hebrews; prayer wands among the ties (London 1877); Essays in Finance, First SeriesPueblo Indians; human sacrifice among the Phoe- (London 188o, 5th ed.189o); Essays in Finance, nicians and the Aztecs; mortification of the flesh, Second Series (London 1886, 3rd ed. 189o); The Caseas in the torture of the Plains Indian's sun dance against Bi- metallism (London 5892, 2nd ed. 1892); Economic Enquiries and Studies, z vols. (London 1904); and the monastic haircloth shirt and scourge; Statistics (London 1913). and often conciliatory gifts given in the spirit of Consult: Articles in Economic Journal, vol. xx (1910) charity. Each offerer of these varied gifts ex- 658 Encyclopaedia of the Social Sciences petted greater counter gifts -life, health, happi-honorarium assumes fixed value, whereas coun- ness and spiritual power. ter gifts call for enhancement, with the onus on The practise of gift giving on seasonal holi-the recipient to give more than he received. days is widespread. It often takes the form of Ceremonial gifts served both psychological solicitation, as in the case of the asking festivaland sociological ends, satisfying the ego through of the Alaskan Eskimo and the gift beggingdisplay and emulation, promoting fellowship ceremony of masked Russian children, which isand solidarity of the group, maintaining wealth similar to the Hallowe'en practises familiar inin a state of flux, supporting religion and the the United States. Holiday gift giving is espe-primitive state, offering a substitute for war and cially prevalent in modern societies, where it iscementing alliances. stimulated by commercial enterprise. H. NEWELL WARDLE It is the law of the gift that it may not be sum- marily refused without giving offense, and a LAW OF GIFTS. A gift in the broad sense is counter gift must be tendered in due season. The any transaction with intention of gratuitously Maori of New Zealand class with theft failure to enriching another. Under this definition fall offer the return gift. Neglect to offer or refusalwills and legacies, but for convenience these to take a gift is a declaration of war among Dyakhave always been treated separately in the gen- tribes of Borneo. The Northwest Coast tribeseral category of "succession." The natural con- acknowledge the potlatch to be "fighting withsequence ought to be that the subject of gifts favors" in place of "war by deeds." Among thecovers only gratuitous enrichment inter vivos, last named the wealth of a clan or moiety isbut the Roman law and the common law con- gathered into the hands of a chief and trans- tain the further class of gifts mortis causa, These ferred at a feast to the opposite moiety to "ele-are dispositions made in the form of a binding vate the name." In due time this wealth isand irrevocable transaction inter vivos, i.e. de- returned, during a potlatch of the latter, inlivery or formal promise, but containing condi- double measure to be distributed among thetions express or implicit which make them members according to their original contribu- substantially equivalent to legacies. tion. The transfer of blazoned mats in Samoa Regarding the form required for a gift, it is and the circulation of Vaygu'a in the Kula orbituseful to distinguish between executory and ex- in the Trobriands are comparable. The practiseecuted transactions or between a promise and is not confined to the Pacific area and appears to a delivery of possession. The latter, when made have been the custom in ancient Ireland. Amongof a movable object with the intention of trans- the Kabyla of north Africa ceremonial gifts of-ferring ownership, is valid in all systems of law; fered by invited guests at circumcisions and mar-in the modern world a special document is re- riage festivities are announced by herald andquired for the transfer of title to land. Although recorded by scribe, to be returned with increase there is no difference in principle between the to the donor upon invitation to his fête. Giftsforms of making an executed gift and of trans- among the Plains Indians, for which no materialferring ownership for any other reason, all legal return was expected, none the less lifted thesystems require more formality for a promise giver in the esteem of his fellows, ultimatelyto make a gift than for one involving a quid pro advancing him to the chieftainship. Striving forquo. Subject to the Lex cincia, mentioned below, prestige and the feeling of the need of recipro-in classical Roman law a formal stipulatio was cation are not absent in gift giving in modernnecessary to create an obligation; but one al- societies. ready existing might be gratuitously renounced The custom of gifts of welcome with their in any manner, a distinction which has survived counter gifts developed into more or less organ-generally in Europe, although it does not obtain ized journeys for the purpose of barter amongin the common law because of the influence of the ancient Aztecs and more recently amongthe doctrine of consideration (q.v.). In the Cor- British Guiana tribes. The modern use of shellpus juris Justinian allowed an action on any money in the New Hebrides for the purchase ofinformal promise but provided that for an a pig has not replaced the obligation to recipro-amount surpassing Soo solidi (about $1500) the cate upon occasion with a pig. Nor is the opening transaction should not be binding until "insinu- or propitiation gift wholly obscured in the civi-ation," a process similar to recording. For all lized practise of treating a customer. Acknowl-gifts in modern Europe there is generally re- edgment for service passes into wage when thequired a document signed before a notary. The Gifts 659 latter's presence is not necessary according toan impoverished donor is treated under thehead the latest code of Switzerland, and the Frenchof ingratitude -as an ingratitude on the part of courts allow a gift if disguised as a document ofthe donee. sale. The common law follows much the same The great exception to the rule of irrevoca- principles, demanding in lieu of delivery anbility has been the gift mortis causa, i.e. upon instrument under seal or its modern equivalent.condition that the donor predecease the donee. Difficulty has arisen, however, in connectionPerhaps before and certainly under Justinian with assets represented by such documents assuch a gift was presumed to be freely revocable stocks and bonds, savings bank books, insuranceon account of its resemblance to alegacy, a policies, warehouse receipts. There has beenprinciple which prevails in those parts of Europe much controversy over the effect of gratuitousnot influenced by the French code and has even delivery of the document in these cases, andfound its way into the common law, although courts in England and America have taken vary-that requires the contemplation of some par- ing positions. The Restatement of the Law ofticular danger or disease. The rule is abrogated Contracts has recently declared for irrevocabilityin France, for, with the above two exceptions, if the document delivered is one the surrenderaccording to the ancient customary maxim Bon- of which to the debtor is necessary for enforce-ner et retenir ne vaut it is there essentialthat a ment of the claim. A growing tendency, evi-gift be irrevocable for any but the two ordinary denced by the Restatement, may be noted inexceptions. The wholesale reception of the in- favor of gifts where there isa "promissorystitution of gifts mortis causa into the common estoppel," i.e. where the promisor ought to havelaw is a curious phenomenon. The policy of the foreseen that the promisee would change hisstatute of frauds, which abolished nuncupative position in reliance on the promised gift, as by(oral) wills, obviously applied to these gifts, traveling a long distance to visit the promisor,which were substantially equivalent to legacies, refraining from certain acts such as smoking for being freely revocable by the donor even though a certain time or the like. Furthermore,Anglo-the power of revocation was not reserved; the American equity gives effect to any statementonly express condition was that the donor should which can be construed as a declaration of trust.predecease the donee. The English courts, how- Upon performance of the necessary formali-ever, recognized them as a separate institution ties an unqualified gift inter vivos was irrevocableon account of their appearance as suchin the in classical Roman law, but Justinian institutedearlier works of Bracton and Swinburne. These two exceptions: gross ingratitude of the doneewriters had followed Justinian's law as to their or appearance of afterborn childrenof the donor.revocability but had strangely overlooked his The content of the first exception is thoroughlyprovision that they must be made before five if redundantly covered by the emperor, whowitnesses. The fact that they are formally gifts provides that thereunder are comprised attemptsbut substantially legacies is reflected in the vari- on the donor's life, physicalinjury, atrociousous rules governing them; thus theyneed not insult or considerable diminution of his patri-be proved before the probate court as a will mony; the German civil code makes no attemptmust be, but any principle not relating to the at definition in this respect in accord with the form of a will or codicil which applies regardless modern tendency to allow a reasonable marginof the testator's intent, such as the rules of of discretion in the application of legal rules.testamentary capacity or those taxing inheri- Except in France the donor alone, not his heirs,tance, has necessarily been extended to them in may revoke for ingratitude, whence aspecialalmost all times and places. To avoid difficulties exception has to be made in the event of hisof proof by its tax commissioner the legislature murder by the donee. The German and Swissof Wisconsin provided that any gift made within codes reject the exception of revocation in thesix years of death should be conclusively held case of afterborn children but allowrevocationto be in contemplation of death, but this attempt of enough to maintain the donor in his usualwas held unconstitutional in Schlesinger v. Wis- position if he unexpectedly and without faultconsin [27o U. S. 230 (1926)]. becomes impoverished -an extension of the gen- Among restrictions upon gifts in Roman law eral rule of Roman law whereby the donor hadwere those dependent upon the fact that the when sued by the donee the beneficium compe-donee was in a position unduly to influence the tentiae, a privilege of somewhat the same im-donor. A Roman statute of 204 B.C., the Lex port. In France the refusal of a donee tohelpcincia, was evoked by the undue remuneration 66o Encyclopaedia of the Social Sciences exacted from their clients by the rich and power- make the act of giving criminal under certain ful lawyers of the day. It apparently prescribedcircumstances; antitipping legislation may be a criminal penalty for such persons and tookmentioned by way of example. But experience the opportunity to hinder all gifts above a speci-has proved such laws unsatisfactory; enacted fied sum to others than relatives by requiringoriginally in quite a number of American states, absolute execution, i.e. in effect delivery as wellthey have been by now repealed in all of them. as formal conveyance for immovables; in theAs for allowing revocation, such a course seri- case of movables an additional six months mustously impairs the security of transactions and elapse. Although this legislation was obsoletetends to put the donee at the mercy of the donor. under Justinian, its principle is evident in hisFrom the theoretical point of view there is little "insinuation." Another limitation was containedjustification for the practise of nullifying gifts in the statutes for repetundae, which made itnot induced by fraud or duress, apart from the criminal for a public official to receive gifts frominstitution of prodigality. Where such conduct those subject to his power; such gifts were con-is a ground for the appointment of a guardian, clusively presumed to be extortionate. Thisthis would be a sufficient remedy except where sweeping presumption no longer existsany-the gift had been of all the donor's property,a where; the specific intent to induce the unethicaltransaction which when performed by a sane conduct must always be proved. The most im-person is almost necessarily intended to be portant prohibition of Roman law was that byeither a testament or declaration of trust in favor which any gift between husband and wifewas of the donee. At common law the appointment absolutely void. Its effect was considerably mod- of guardians for spendthrifts was rejectedas ified by Caracalla's provision that the transactioncontrary to the genius of a free people; with might convalesce on the donor's death, thepur-perfect consequence that system has never had pose being to assimilate the case to the Lexany special rules prohibiting gifts or allowing cincia, according to which only the donor andtheir revocation; only in the case of the donor's not his heirs could avoid the gift, a principlemurder by the donee has it felt the need ofa which it will be remembered also applied toparticular exception such as exists in European revocation for ingratitude. As may beseen fromcountries. this tendency to desuetude, the policy behind JAMES BRADLEY THAYER the prohibition is not very clear and its genesis See: PROPERTY; ALIENATION OF PROPERTY; INHERI- is probably to be explained historically. The TANCE; WILLS; SALE; MARITAL PROPERTY; CHARITABLE ancient Roman marriage resembled that of the TRUSTS; MORTMAIN; ENTAIL. common law in that the wife had no personality Consult: FOR PRIMITIVE GIFTS: Wardle, H. N., "In- or property of her own; hence gifts were out ofdian Gifts in Relation to Primitive Law" in Interna- the question. With the growth of the empiretional Congress of Americanists, 23rd, Proceedings (New York 1930) p. 463 -69; Mauss, Marcel, "Essai sur ordinary marriages were recognized, terminable le don: forme et raison de l'échange dans les sociétés at the will of either party and involving no archaïques" in Année sociologique, n.s., vol. i (1923- change in the wife's status or property. Itmay24) 30-186; Malinowski, Bronislaw, Argonauts of have seemed unfair that the feminine parties to the Western Pacific, London School of Economics and Political Science, Studies in Economics and Political these reluctantly recognized unions should beScience, no. lxv (London 1922); Firth, Raymond, in a so much more advantageous positionto Primitive Economics of the New Zealand Maori (Lon- derive pecuniary benefit from the transaction. don 1929); Boas, Franz, "The Social Organization But since the wife's property was separate dur- and the Secret Societies of the Kwakiutl Indians" in ing the marriage, it is difficult to ascribeanyUnited States, National Museum, Annual Report, importance in this connection to the freedom of1895 (1897) p. 311 -738. FOR LAW OF GIFTS: Buckland, W. W., A Text Book divorce. No restrictions whatever onspouses in of Roman Law from Augustus to Justinian (Cambridge, the matter of gifts now exist in Austria, Ger- Eng. 1921) p. 253 -58; Girard, P. F., Manuel élémen- many or Switzerland. taire de droit romain (8th ed. Paris 1929)p. 992 -1006; It may be concluded that the great disfavorAscoli, A., Trattato delle donazioni (Florence 1898); Brissaud, Jean, Manuel d'histoire du droit français (Par- originally shown to gifts has been gradually is 1904), tr. by R. Howell as A History of French Pri- disappearing, and for this there is probably bothvate Law, Continental Legal History series, vol. iii a practical and a theoretical reason. Practically (Boston 1912) p. 703 -15; Baudry- Lacantinerie, Gabri- it is almost impossible to prevent gifts; if the el, and others, Traité théorique et pratique de droit civil, donor does not wish to revoke, there is nobody 29 vols. (Paris 1905 -09) vols. x -xi; Schröder, R., Lehrbuch der deutschen Rechtsgeschichte (6th ed. Berlin else entitled to claim. It is of course possibleto 1922) p. 311 -12, 325 -27; Planck, J. W. von, Kom- Gifts Gilbreth 661 mentar zum bürgerlichen Gesetzbuch, 5 vols. (4th ed. manage the situation if it took care not to ex- by E. Strohal and others, Berlin 1913 -30) vol. ii,pand circulation automatically as gold flowed in pt. ii, p. 772 -800; Thornton, W. W., A Treatise on and kept foreign paper in its portfolio. the Law Relating to Gifts and Advancements (Phila- delphia 1893); Rundell, O. S., "Gifts of Choses in T. E. GREGORY Action" in Yale Law Journal, vol. xxvii (1917 -18)Important works: Gilbart's writings on banking and 643-55; Mechem, Philip, "The Requirement of De-currency are collected in Works, 6 vols. (London livery in Gifts of Chattels and of Choses in Action" 1865 -66). in Illinois Law Review, vol. xxi (1926 -27) 341 -74, Consult: The biographical memoir in the Works: 457 -87, 568 -609; Bruton, P. W., "TheRequirementSelect Statutes, Documents and Reports Relating to of Delivery as Applied to Gifts of Choses in Action"British Banking, 1832 -1928, with an introduction by in Yale Law Journal, vol. xxxix (1929 -30) 837 -6o; T. E. Gregory, z vols. (London 1929) vol. i, p. ix -ix, Williston, S., "Gifts of Rights under Contracts in Writing of Delivery of the Writing" in Yale Law 70 -117. Journal, vol. xl (1930-31) 1 -16. GILBERT, THOMAS (17zo -98), English poli- GILBART, JAMES WILLIAM (1794 -1863),tician and poor law reformer. Gilbert was a English banker. In 1834 Gilbart became generalmember of Parliament from 1763 to 1795. By manager of the London and Westminster Bank,suggesting the employment of the famous en- the first joint stock bank established after thegineer Brindley and by other means he helped passage of the Bank Charter Act of 1833. Vestedto promote the development of canals; he was al- banking interests, including the Bank of Eng-so the author of acts for reforming housesof land, threatened the success of the new bankcorrection and for helping friendly societies, but with injunctions, lawsuits and adverse bills inhis importance lay in poor law reform. Gilbert Parliament, but Gilbart overcame all opposi-put his finger on the main abuses of the system tion. He was instrumental in enlarging the legal of his time: first, the small size of the unit of ad- powers of joint stock banks and played anministration, the parish; second, the institution important role in the development of a formof the mixed workhouse, in which the sick and of banking organization which now completelythe idle, the sane and the mad, were herded to- dominates the field. gether; third, the fact that the overseers were Gilbart also took an active part in the bank-unpaid. In his bill of 1765, which failed in the ing and currency controversies of his time.Lords after passing the Commons, and in the Although his name has been overshadowed bymeasure of 5782 which bore his nameGilbert those of Tooke, Newmarch and Fullarton, on proposed that parishes should be allowed to join whose side of the battle he stood, his contribu-in unions and that these should be allowed to tion is more imposing than may appear at firstbuild workhouses for the care of the aged, the sight. To the arguments in favor of continuingsick and the infirm. Sixty -seven such unions the right of note issue by country banks hewere established under the act,comprising 924 added the principle of periodic fluctuation.parishes. The able bodied poor excluded from "The laws which regulate the issues of countrythe workhouses were to be given employment by banks," he said before the Select Committeepaid officers created by the act. This well con- on Banks of Issue in 1841, "are derivedfromceived reform demanded careful and intelligent the state of trade in the respective districts in administration. This was lacking in the years of which those banks are established, and I thinkdistress which followed the Napoleonic wars, those laws must be uniform in their operationwhen the provision of outdoor relief became the because there are uniform fluctuations in eachbasis of the economic life of the villages and the year." The circulation of the Bank of Englandunderpaid laborer received assistance from the was governed by the dividend payments onpoor rates according to the size of hisfamily. government securities, by the short term bor- This system of allowances was abolished by the rowing of the government and by the move-drastic reform of 1834. ments of bullion; these factors also tended to JOHN LAWRENCE HAMMOND be periodic in their movements. Gilbart thoughtConsult: Webb, Sidney and Beatrice, "English Poor it undesirable to unify note issues subject to Law History," English Local Government, 9 vols. such different influences. A second and most(London 1906 -29) vols. vii -ix. important suggestion made by him was that the Bank of England should control exchangeGILBRETH, FRANK BUNKER (1868 -1924), rates by holding "foreign securities" and "for-American management engineer. After leaving eign credits ": the Bank, he thought, could alwayshigh school Gilbreth entered the employ of a 662 Encyclopaedia of the Social Sciences contractor and builder, became foreman and Hopkins University in Baltimore. Here he intro- then superintendent and in 1895 establishedduced what was for America an innovation: the himself in the same business. Stimulated by the undergraduate school became but an appendage management technique of Frederick W. Taylor,to the graduate and professional schools. En- he experimentally applieditsprinciplesto dowed universities have tended to follow this bricklaying and increased outputamong hisscheme, but state institutions have not. Gilman workers from boo to 2700 bricks a day. In1912 also organized the often copied Johns Hopkins he began practise as a consultant inmanage-Hospital, staffed by the faculty of the medical ment. His inventive imagination and mechanicalschool which he developed at Johns Hopkins. aptitude were manifest in numerous devices andBy his insistence upon a college degree and systems for the building arts and in the applica- scientific study as prerequisites for entrance and tion of micromotion methods to the study of in-by strongly supporting research he raised the dustrial operations. His outstanding contribu-level of medical training. tions to the technique of scientificmanagement, Gilman was also a leader in general social up- made jointly with his wife,Lillian Mollerlift movements. He formed and for ten yearswas Gilbreth, were emphasis on motions in stand-president of the Charity Organization Society of ardizing operations; utilization of the cinemato- Baltimore, an early and successful example of graph and cyclegraph in recording them forsystematic philanthropy. A plan drawn up by subsequent delayed motion analysis and elimi-him became the basis of the program of the nation of unnecessary motions; classification ofRussell Sage Foundation. He helped persuade motions into basic types, for which he coined theAndrew Carnegie not to found a new university word "therbligs "; a new insistenceon the dangerbut to use his money in other directions, and of fatigue; the development of simultaneousserved from 1901 to 1903 as first president of the motion cycle charts; and the devising of instruc- Carnegie Institution. tion process graphsintelligibletoilliterate Gilman had no interest in pedagogical theo- workmen. Devices such as these and expressions ries, conceiving of a university as chieflya re- such as "the one best way" also helpedtosearch institute where eminent scholars shared dramatizescientific management and madetheir enthusiasms with younger men. Method- Gilbreth one of its most forceful popularizers. ology did not interest him either in educationor H. S. PERSON social work. He was concerned with immediate Important works: Bricklaying System (New Yorkproblems rather than with fundamental criti- 1909); Primer of Scientific Management (New York cism of institutions. 1912, 2nd ed. 1914); Motion Study, a Method for Increasing the Efficiency of the Workman (New York BERNARD IDDINGS BELL 1911); Fatigue Study (New York 1916, znd ed. 1919), Consult: Franklin, Fabian, Life of Daniel Coit Gilman Applied Motion Study (New York 1917), and Motion (New York 191o). Study for the Handicapped (New York 1920), written in collaboration with Mrs. L. M. Gilbreth. GINER DE LOS RÍOS, FRANCISCO (1839- Consult: Gilbreth, Lillian Moller, The Quest of the 1915), Spanish philosopher and educator. Giner One Best Way. A Sketch of the Life of Frank Bunker studied law at the universities of Barcelona and Gilbreth (Chicago 1925); Drury, Horace Bookwalter, Scientific Management (3rd ed. New York 1922)p. Granada. From 1866 until his death hewas 138-44; Witte, I. M., Taylor, Gilbreth, Ford. Gegen- professor of jurisprudence at the University of wartsfragen der amerikanischen und europäischen Ar- Madrid except for two brief periods during beitswissenschaft (Munich 1924)p. 31-41. which he severed his connection with the uni- versity as a protest against religious and political GILMAN, DANIEL COIT (1831 -1908), Am-tests for teachers. erican educational administrator. Gilman, with Giner was a disciple of Sanz del Río, who Eliot of Harvard and White of Cornell,was theintroduced the philosophy of Krause into Spain, chief maker of the modern American university,and he applied the latter's theories to the philos- which he conceived as properly devotedto ad-ophy of law, adapting them, however, tocontem- vanced research, unpartisan andnon -sectarian,porary intellectual tendencies. His chief works and essentially postgraduate. After servingas in this field are: Principios de derecho natural librarian at Yale, as secretary andmoney raiser(Madrid ? 1873) and the unfinished Resumen de for the Sheffield Scientific School andas presi-filosofía del derecho (Madrid 1898), both written dent of the newly organized University of Cali-in collaboration with his pupil Alfredo Calderón fornia, he became first president of the Johnsy Arana. In penology Giner developed and elab- Gilbreth-Ginsberg 663 orated Röder's doctrines. His conception ofto the peace movement, however, lay in the punishment is typical of the Spanish school infact that he was the first to endow and organize that he regarded it as a tutelary process intendededucational peace work on a large scale. He not only to protect society against criminal trans-made possible a widespread distribution of im- gressions but also to protect the offender againstportant books on peace and a mass of concise himself and to effect his correction and socialpamphlet literature. He contributed to the sup- readaptation. Accordingly he favored the aboli- port of the American School Peace League and tion of capital punishment. In sociology Giner'sthe Cosmopolitan Club movement, financed most interesting work is Estudios y fragmentospeace work among women's clubs, furthered sobre la teoría de la persona social (Madrid 1899), peace activities among his associates in cham- which was based upon the social organism the- bers of commerce and supported Anna B. ory but was free from the exaggerations of the Eckstein in her work of collecting throughout biological school of sociology. Europe more than two million signatures to Giner is primarily important, however, as anan arbitration petition which was presented to educator. He was a preeminent figure in thethe Second Hague Conference. That educa- recent Spanish renascence through his personaltional work for peace might be put on a per- influence upon his pupils as well as throughmanent basis Ginn founded and endowed the his general educational work and his writings.World Peace Foundation, which, occupying a He was the moving spirit of the group which inposition somewhere between propagandist and 1876 founded the Institución Libre de En-scientific organization, has made facts relating señanza, an unofficial institution which devel-to the development of international peace ma- oped an educational system complete from the chinery widely available. primary school to the university and thereby Ginn was also interested in the promotion exerted a liberalizing influence upon the generalof better relations between capital and labor educational policy of the Spanish government.and furthered the movement for better housing Giner's pedagogical system completely rejected conditions for the poor. the idea of reward and punishment and respected MERLE E. CURTI individual initiative. Its most original featureConsult: Mead, E. D., "Edwin Ginn and the World was its emphasis upon artistic training, begunPeace Foundation" in Advocate of Peace, vol. xcii in childhood, as an aid to moral development.(193o) 184 -90; Lake Mohonk Conference on Inter- Giner's activity among the middle and uppernational Arbitration, Report of the Seventh Annual classes may be compared to that of Pablo IglesiasMeeting (Mohonk Lake, N. Y. 1901) p. 59-22, and among the proletariat. Both men were outstand- Report of the Nineteenth Annual Meeting (Mohonk ing in the intellectual and political movement Lake, N. Y. 1913) p. 22 -29. which led to the regeneration of contemporary Spain. GINSBERG, ASHER (1856- 1927), Jewish so- C. BERNALDO DE QUIRÓS cial philosopher. Ginsberg was born in Russia Works: Obras completas, 19 vols. (Madrid 1916 -28), and was educated in an orthodox Jewish family. containing new editions of the works mentioned inAs a student he came under the influence of the text. European rationalism and of English evolution- Consult: De los Rios, Fernando, La filosofia del derecho ary philosophers, especially Herbert Spencer en Don Francisco Giner, y su relación con el pensamiento and J. S. Mill. His essays, written in an entirely contemporáneo (Madrid 1916); Altamira y Crevea, R., new philosophical language under the pen name Giner de los Rios, educador (Valencia 1915); Madari- Ahad Ha -am ( "one of the people "), are classics aga, Salvador de, The Genius of Spain (Oxford 1923) p. 64 -70. of modern Hebrew, which they helped create. Ahad Ha -am accepted the traditional Jewish GINN, EDWIN (1838 -1914), American pub-idea that the Jews are a unique group whose life lisher and peace advocate. Ginn became activelyis entirely built upon ethico -religious founda- interested in the peace movement in 1901 andtions. Although he recognized the historical ori- was impressed by its need for efficient methodsgin and evolution of these foundations, they of organization, more widespread educationalnevertheless remained for him, as for those who work and more generous financial support. Heregarded their origin as divine, absolute values. advocated the limitation of armaments andWhatever the source of Judaism (for him chiefly the development of a permanent internationalthe doctrine embodied in the teaching of the armed force. His most important contributionprophets), it is the soul of the Jewish people and 664 Encyclopaedia of the Social Sciences must be the guiding principle of Jewish indi- baum, Nathan, Achad Ha -Am: ein Denker und Kamp- vidual and group life. The weakening of Juda-fer der jüdischen Renaissance (Berlin 1903); Simon, Leon, Ahad Ha -Am, English Zionist Federation, ism, the disintegration of the Jewish people Zionist Thinkers and Leaders, no. iv (London 1927); through the loss of its soul, were for Ahad Ha- Kohn, Hans, and Weltsch, Robert, Zionistische Politik am the true "Jewish question." In contrast to (Maehrisch- Ostrau 1927). Herzl, the political Zionist, Ahad Ha -am, the founder of cultural Zionism, believed that theGIOBERTI, VINCENZO (1801 -52), Italian political and economic difficulties of the Jewsphilosopher and statesman. Shortly after his or- in the Diaspora were incurable but that thedination as priest in 1825 Gioberti began to Jewish people could be regenerated by creatingdisplay the nationalistic zeal which was to domi- in the old Jewish homeland a "spiritual center"nate his life, and having fallen under the suspi- on a sound economic basis whose Jewish thought cion of the Piedmontese court he was exiled by and way of life could exercise a revivifying in-Charles Albert in 1833. During the next fifteen fluence upon the Jewish soul in the Diaspora.years, which he passed in France and Belgium, As far back as 1891 he drew attention to thehe developed the principles of an idealistic phi- importance of the presence of the Arabs inlosophy known as ontologism. Continuing the Palestine, and even after the issuing of the Bal-battle begun by Galluppi and Rosmini against four Declaration realized that the existence of asensationalism Gioberti harmonized his philoso- large Arab population put anything like a Jewishphy with Catholicism and regarded God (Ente) state in Palestine out of the field of practicalnot as the ideal and abstract but as the real and politics. A Jewish state or majority in Palestineactive creator of all visible phenomena (esistente). were for him not only impracticable but unes-His philosophy, which exerted great influence sential. His starting point had not been theon later Italian idealistic systems, became for poverty or the political and moral oppression ofGioberti the basis of a nationalistic theory. His- the Jewish masses but the heritage of centuriestory was the process by which the cycle begun of Jewish life and striving for continuance andin creation was completed: l'esistente ritorno all' self- expression. Since Jewishness meant to AhadEnte. Hence the Italian Risorgimento must be, Ha -am the ideas of absolute justice and impar-first of all, a spiritual renaissance resting upon a tiality, something always "anormal," a livingreidentification with tradition. Since he believed protest of the spirit against the sword, a JewishCatholicism to be the only true terrestrial ex- community in Palestine could in no way bepression of the Ente and therefore the essence of similar to other national groups or states. Tocivilization; since, moreover, Italy as the seat of "normalize" Jewish life would mean a betrayalCatholicism was culturally linked with the true of the Jewish mission. Although Herzl's politicalidea, Gioberti thought himself justified in affirm- Zionism was predominantly accepted within theing the superiority of the Italians to all other Zionist movement, Ahad Ha -am deeply influ-people in works of genius. This was the theme enced Jewish thought of recent years and hisof the famous excursus to Gioberti's most im- apolitical, spiritual nationalism, which he as-portant work, Del primato morale e civile degli cribed for historical reasons only to the Jews,italiani (Brussels 1843, 2nd ed. 1845; new ed. became the guiding principle in the develop-by G. Balsamo -Crivelli, 3 vols., Turin 1919 -2o). ment of a new theory of nationalism by hisThe book won for him great renown in Italy Jewish followers. and became one of the motive forces ushering HANS KOHN in the nationalist movement of 1848, the more Works: Al parashat derachim, 4 vols. (Odessa 1895- so because with its debatable doctrine of Italian 1913; 3rd ed. Berlin 1921), vol. ii tr. into German by hegemony it combined political proposals more Hugo Knöpfmacher and Ernst Müller as Am Scheide- firmly founded on immediate historical fact. In wege (Berlín 1923 -24); Selected Essays (Philadelphiaopposition to the revolutionary methods of Maz- 1912), and Ten Essays on Zionism and Judaism (Lon- zinian democracy Gioberti set forth a plan of don 1922), both tr. by Leon Simon; Igeroth (Letters), 6 vols. (Jerusalem 1923-25). Italian unification to be effected through a series Consult: Bentwich, Norman de M., Ahad Ha' Am andof pacts between the various Italian princes and His Philosophy (Jerusalem 1927); Kohn, Hans, L'hu- to issue in a federation headed by the pope. The manisme juif (Paris 1931); Bileski, Moritz, Achad Italian people, he declared against Mazzini, was Haam (Berlin 1916); Simon, Leon, " `One of thestill too nebulous to be the basis of substantial People' " in his Studies in Jewish Nationalism (London 1920) p. 77 -96; Buber, Martin, Bergmann, Hugo, and hope; reality was represented only by the pope others, in Der Jude, vol. i (1916 -17) 353-4o7; Birn-and to a lesser degree by the princes. Gioberti's Ginsberg-Giolitti 665 error lay in his belief that the force of such anDei delitti e delle pene (1764), that the activities international institution as the church could beof individuals cannot lead to the common wel- identified with that of a single nation, and thefare unless they be free and unless their con- facts demonstrated the rashness of his hopes. Insciousness of responsibility coincide with the 1848 when Pope Pius Ix allied himself with the dictates of self -interest. His system of social independence movements in the various Italianethics, built on the utilitarianism of Bentham, states, Gioberti seemed for a while to be anthus exalted personal responsibility and main- inspired prophet: he returned to Italy acclaimed tained economic utility to be the decisive cri- by the nationalists and during a period of twoterion in moral and social questions. months directed the government of Piedmont. In his economic works he dealt especially with But the unfortunate outcome of the campaignsuch problems as the division of labor, costs of against Austria and the defection of the popeproduction and methods of increasing produc- as well as of the princes from the Italian federa-tivity and wealth. He advocated, as against Adam tion caused the rapid fading of Gioberti's pres- Smith, the desirability of state interference in tige. In 1849 he went once more into exile. Theindustrial life for the organization of public serv- disillusionment arising from his experiences pro- ices and as a stimulus to production and a pro- vided, however, a salutary stimulus for the revi- tection for the workers. He foresaw the labor sion of his thought. In the major political worksaving effects of machinery and held increased of his second exile, the Del rinnovamento civileconsumption to be a factor of civil and cultural d'Italia (2 vols., Paris and Turin 1851; new ed.progress. He perceived the errors of the mer- by Fausto Nicolini, 3 vols., Laterza 1911 -12),cantilists but vacillated between an endorsement he abandoned the doctrine of federalism in favorof free trade and protectionism. He also made of unity, advocated a democratic governmentextensive statistical studies of collective life - instead of moderate constitutionalism and as-demographic, economic, civic and social -which signed the task of guiding Italian unification nogive him a distinguished position in the history longer to the pope but to the Piedmontese dy-of the social sciences. nasty of Savoy. In this change of political view- RODOLFO MONDOLFO point were reflected also the results of a profound Works: Opere principali, 16 vols. (Lugano 1838 -40); philosophical crisis, during which Gioberti be- Opere minori, 17 vols. (Lugano 1832 -38). came disgusted with Catholic dogmatism and Consult: Momigliano, F., Un pubblicista, economista e adopted a lay philosophy akin in tone to that offilosofo del periodo napoleonico: Melchiorre Gioia (Tu- the German idealists. rin 1904); Ferri, C. E., Melchiorre Gioia economista (Milan 1925); Luzzatto, F., La politica agraria nelle GUIDO DE RUGGIERO opere di Melchiorre Gioia (Piacenza 1929). Consult: Anzilloti, Antonio G., Gioberti (Florence 1922), and La funzione storica del giobertismo (Flor- GIOLITTI, GIOVANNI (1842 -1928), Italian ence 1923); Gentile, Giovanni, "II realismo politico statesman. Giolitti was born at Mondovi, Pied- di Gioberti" in Politica, vol. ii (1919) 20 -36, 161 -78; Zbinden, Jean, Die politischen Ideen des Vincenzomont, of a middle class family sprung from Gioberti (Berne 1920); Solmi, Edmondo, Mazzini emountaineer stock. After he had learned the art Gioberti (Rome 1913); Cesarini- Sforza, W., "Socia- of government during twenty years of adminis- lismo Giobertiano" in Rivista italiana di sociologia, trative service, largely in the Board of Finance, vol. xix (1915) 568 -79; Mondolfo, Rodolfo, La filosofia politica in Italia nel secolo xIx (Padua 1924); Cara -he entered the Council of State in 1884 and the mella, Santino, La formazione della filosofia giobertiana same year was elected to the Chamber of Depu- (Genoa 1927). ties as a member of the Left. The financial in- efficiency of the Depretis ministry and the eco- GIOIA, MELCHIORRE (1767- 1829), Italiannomic distress resulting from the expiration of political theorist and economist. The early polit-the commercial treaties with France presented a ical writings of Gioia, who, as Mazzini noted,situation well fitted to accelerate the formulation was the first champion of Italian unity, were di-of his two principal social purposes: fiscal reform rected against reactionary despotism, ecclesias- directed toward more equitable distribution of tical domination and Jacobin intolerance. He wastaxes as well as toward greater economy, and repeatedly imprisoned, once, in 182o, chargedprogressivelegislation. In1889 -90 he was with being affiliated with the Carbonari. He con- secretary of the Treasury in Crispi's cabinet and tended in his best known work, Del merito e delle in 1892 became premier. His ministry was ricompense (2 vols., Milan 1818 -19; 3rd ed. Ca- troubled by the agitations of the Sicilian workers' polago 1833), which was inspired by Beccaria'sorganizations, or fasci, which he refused to dis- 666 Encyclopaedia of the Social Sciences solve, and by the Banca Romana scandals. Toautumn of 1924 that he passed over to the the latter he responded by abolishing the oldparliamentary opposition, at the head of which bank and creating the Banca d 'Italia subject tohe remained until his death. new legal regulations, but the report of the LUIGI SALVATORELLI parliamentary inquiry commission forced him to Consult: Giolitti, G., Memorie della mia vita, z vols. resign in 1893. With his political influence (Milan 1922), tr. by Edward Storer (London 1923); greatly impaired but his personal integrity un-Croce, B., Storia d'Italia dal 1871 al 1915 (3rd ed. Bari 1928), tr. by C. M. Ady (Oxford 1929) chs. vii - impeached he spent the next two years weather- xii; Giolitti, ed. by Luigi Salvatorelli (Milan 1920), ing the aftermath of the scandals, the plico affair containing a selection of Giolitti's speeches, with in- and the "moral controversy" with Crispi. Introduction; Quirielle, Pierre de, in Correspondant, vol. 1897 he resumed political activity and regainedcccxii (1928) 340 -57; Salvatorelli, L., "Giolitti und seine auswärtige Politik" in Europäische Gespräche, his prestige through sustained attacks upon thevol. vii (1929) 117 -37; Claar, M., "Giovanni Giolitti reactionary government of Pelloux. He was ap-und die liberale Parlamentsdiktatur in Italien" in pointed home secretary by Zanardelli in 1901 Zeitschrift für Politik, vol. xviii (1928 -29) 231 -39. and two years later became premier for the second time. His three successive ministries,GIRARD, JEAN -BAPTISTE (1765 -1850), 1903 -05, 1906 -09 and 1911 -14, were the periodSwiss educator. Girard, a Franciscan monk of the so- called dittatura giolittiana. His pro-generally known as Father Grégoire, played a gram, announced in his first ministry, for endinggreat part in the organization of compulsory the "transformist" regime through the realign-primary schools and in the creation of teachers' ment of two great parties, the Conservative andseminaries in Switzerland. Under the Helvetic Progressive, was never realized; and although heRepublic he collaborated with P. A. Stapfer, always observed strict constitutional procedureminister of arts and sciences, and in 1799 ar- he ruled in fact through a succession of mixed,ranged a "Projet d'éducation publique pour la unorganized majorities. In a period of greatrépublique l'Helvétique" (printed in Politisches economic expansion he progressively improved Jahrbuch der schweizerischen Eidgenossenschaft, the status of the lower classes not only by multi- vol. viii, 1894, p. 537 -72), which was, however, tudinous welfare and educational laws but bynever acted on. In 1804 he becamedirector of the non -interventionist and sympathetic attitude the French primary schools of Fribourg and which he steadfastly manifested toward workers'established a system of mutual education. Later organizations and strikes. By this policy hehe collaborated on the report of a government weakened the activity of the Socialists but theycommission to investigate the Yverdon school resisted his repeated invitations to join his(Rapport sur l'institut de M. Pestalozzi á Yver- government. The radicals were, however, in-don, Fribourg t8 to). Although a disciple of cluded in his 1911 ministry, during the in-Rousseau and Pestalozzi he looked to science cumbency of which he passed a law of universaland liberty toregenerate mankind. Girard suffrage, raising the electorate from 3,500,000 to placed great emphasis on the moral and religious 8,000,000, and brought to Italian expansionistside of education. He was considerably influ- ambitions their first realization in the occupationenced by Kant, objected to Pestalozzi's empha- of Tripoli and the Libyan war. When the Worldsis on mathematics, which, he feared, would en- War cameduringtheSalandraministry, courage materialistic thinking,and contended Giolitti stoutly defended Italian neutrality andthat intelligence must be cultivated as the only from the May days of 1915, which his attitudesound basis for Christian faith. His technique of provoked, until November, 1917, he remainedteaching was concrete and intuitive and based on in seclusion. At the general elections of 1919interest, emulation and a discipline free from he outlined a pacifistic and democratic programcorporal punishment and other constraints. The and once more made unsuccessful overtures tochildren instructed each other under the teach- the Socialists, who were then dominated byer's supervision; they were encouraged to debate Bolshevistic extremism. The following June heall questions with a view to developing their entered upon his fifth and last ministry (1920-reasoning powers; and they operated a form of 21), the principal events of which were the re-self -government. organization of the budget and the conclusion of Although Girard was neither profound nor the Rapallo treaty with Jugoslavia. Fascismwholly original, his pedagogical system attained found in him encouragement, even after thewide renown, and his defense of the teaching of "march to Rome," and it was not until thegrammar as an aid to intellectual development Giolitti-Girardin 667 had considerable influence, especially on Frenchpraetorian law which had developed Roman pedagogy. He worked for the separation ofjurisprudence through its remedial aspects; and church and state, the establishment of non- the third on the leges juliae judiciorum publicorum denominational schools and the development ofet privatorum, one of which abolished the legis religious toleration in general. He founded asy-actiones altogether. Girard was also instrumental lums and orphanages, contributed to the aboli- in elucidating some aspects of the edict before its tion of torture in Fribourg and helped improvefinal revision by Julian, when he discovered in conditions in children's reformatories. Afterthe Bibliothèque Nationale a second manuscript 1823, when as a result of the opposition of theof a list of abbreviations, the notae juris of the Jesuits and reactionaries he was dismissed andfirst century grammarian Valerius Probus. Gi- his work destroyed, Girard devoted himself to rard indeed had a great interest in texts, and in a writing on pedagogy. study on the Twelve Tables he defended their N. ROUBAKINE authenticity. But apart from all his monographs, Important works: Mémoire sur l'enseignement religieux most of which are collected in his Mélanges de del'école française de Fribourg (Fribourgi818); droit romain (z vols., Paris 1912 -23), Girard's De la nécessité de cultiver l'intelligence des enfants pour world wide reputation rests upon his Textes de en faire des chrétiens (Toulouse 18zz); Dialogue sur la droit romain (Paris 1890, 5th ed. 1923) and his formation d'institeurs pour les écoles alpestres (Lucerne 1826); Der moralische Wert des wohleingerichteten Manuel élémentaire de droit romain (Paris 1896, wechselseitigenUnterrichts (Lucerne18z6);Cours 8th ed. 1929), which has been translated into éducatif de langue maternelle à l'usage des écoles et des German and Italian and in part into English familles, 6 vols. (Paris 1840 -48); De l'enseignement (Toronto 1906). This great manual reveals régulier de la langue maternelle dans les écoles et les familles (Paris 1844, 9th ed. 1894), tr. and adapted by Girard's gifts of systematization. In harmony the Third Earl Fortescue as The Mother - Tonguewith the newer studies it substituted for the (London 1847). traditional solution others more in consonance Consult: Daguet, Alexandre, Le Père Girard et son with the social evolution of the Roman world. temps, 2 vols. (Paris 1896); Compayré, G., Le Père PAUL COLLINET Girard (Paris 1906). Consult: Collinet, Paul, in Nouvelle revue historique de droit français et étranger, 4th ser., vol. lii (1928) GIRARD, PAUL FRÉDÉRIC (1852 -1926), 315-25. French jurist. Girard taught at the University of Paris for over thirty years and put new life intoGIRARDIN, ÉMILE DE (1806 -81), French the study of Roman law in France by aligningjournalist. Before the time of Girardin the big himself with the German historical movement.Parisian dailies supported themselves by charg- He, for instance, translated Mommsen's cele- ing an annual subscription price of eighty francs brated work on the public law of the Romans (8 per annum. No single copies were sold and only vols., Paris 1887 -95). He made, however, manya limited amount of advertising matter was car- important contributions of his own to the historyried. Girardin founded the Presse in 1836, cut of Roman law. He interested himself somewhatthe subscription to forty francs a year and gave in the Romanists of the Renaissance, but he wasincreased space to advertising in order to finance most strongly attracted toward the ancient Ro- his paper. A greater variety of reading matter, man law and he had a particular penchant for particularly feuilletons, was printed. Like James problems of a procedural cast. Two of his earli-Gordon Bennett's Herald in the United States, est studies, one of them on the guaranty of evic-the Presse had a rapid success, and Girardin tion and the other on the noxal actions, alreadystrengthened this by allying himself with the show his success with the historical method inSociété Générale des Annonces, which had a the reconstruction of Roman law. The first vol-monopoly of the press of Paris. The other dailies ume of his projected L'organisation judiciairetaken over by Girardin, Liberté and afterwards des romains (Paris 19o1) -the only one publishedFrance, also enjoyed great popularity. - traced the history of the first six centuries of In politics Girardin was independent and Roman judicial organization. Three of Girard's mercurial. Long well liked by Louis Philippe, most important studies belong in this field: thehe finally became a violent opponent of Guizot. first on the date of the lex aebutia, by which theHe supported the Republic in February, 1848, older procedure of the legis actiones was madebut became a fierce enemy of Cavaignac. He optional; the second on the date of the perpetualwas first an adversary, later an adherent, of edict of Julian, which fixed in its final form theNapoleon III. His last great campaign against 668 Encyclopaedia of the Social Sciences Broglie's cabinet after the coup d'état of May 16,from that impoverished county to the better 1877, led the Republicans to elect him deputypaid areas of England. Canon Girdlestone com- from Paris. In 1870 he preached war, althoughbined a high organizing ability with the attri- ordinarily and especially in his later years hebutes of a conscientious cleric and devoted his declared himself for peace and complete dis-life to the betterment of the working classes at a armament. He habitually presented rather ad-period when it was unorthodox. venturous and admittedly unfeasible ideas and J. A. VENN utopias, which he deemed necessary to arouseConsult: Heath, F. G., British Rural Life and Labour public discussion. Although he enjoyed great(London 1910 chs. xxxv, xlvii. popular interest, his reputation as a cynic pre- occupied with money matters somewhat im- GIRL SCOUTS. See BOYS' AND GIRLS' CLUBS. paired the extent of his influence. Adept at sensing public opinion, he always followed it and GIRY, ARTHUR (1848 -99), French historian. always accepted a fait accompli. On only oneGiry was professor at the École des Chartes and point did he never change: of every administra- at the same time a member of the department of tion he demanded freedom of the press. the historical sciences at the École des Hautes GEORGES WEILL Etudes, where he trained numerous scholars and Consult: Lebey, André, "Idées politiques d'Émile de where around 1875 he began to concentrate his Girardin (1840)" in Revue de Paris, année xv111, vol. research on the history of the municipal institu- ii (1911) 564 -84; Datz, P., Histoire de la publicité tions of mediaeval France. This field, the inter, (Paris1894); Avenel, Henri, Histoire de la presseest of which had been revealed some twenty -five française depuis 1789 (Paris 190o) p. 362 -68; Renard, G. F., Les travailleurs du livre et du journal, 3 vols.years earlier by the publication of documents (Paris 1925 -26) vol. ii, p. 229 -39. supervised by Augustin Thierry, was still virtu- ally unexplored. Accordingly Giry and his pu- GIRDLESTONE, EDWARD (1805 -84), Eng-pils set themselves the task of superseding lish clergyman, agrarian and social reformer.Thierry's vague generalizations by a series of Girdlestone was educated at Oxford and seemedscholarly monographs devoted to a careful anal- destined to pursue a purely clerical career, but hisysis of the clauses of the charters of urban interest in labor problems was soon stimulatedfranchises, to a study of the spread of these by experiences in his Lancashire incumbency ofcharters and their application in various French Deane, which brought home to him prevailingregions and to an analysis of the character of the factory conditions. He wrote various periodicalpolitical and administrative government of the articles on labor conditions in the mines andurban or rural "communes" in the twelfth, factories and on similar subjects. Promoted to athirteenth and fourteenth centuries. The first of canonry at Bristol, he turned his energies towardthese monographs to appear were Giry's His- rural issues, winning his title of the "agricul-toire de la ville de Saint Omer et de ses institutions tural labourer's friend." To the 1868 meetingjusqu'au xive siècle (Paris 1877) and Flammer- of the British Association for the Advancementmont's Histoire des institutions municipales de of Science held at Norwich he described condi-Senlis (Paris 1881). These were followed by tions in rural parishes and urged the formationGiry's Les établissements de Rouen (2 vols., Paris of an agricultural laborers' union. Thereafter he 1883 -85), a study of the municipal organization was associated with Joseph Arch, Jesse Collingsof Rouen and the cities of Normandy, Poitou, and others in their campaign of agrarian reform.Saintonge and Gascony, all of which received His connection with the subsequently formedfrom the Plantagenet kings institutions similar to Agricultural Labourers' Union was weakened bythose of Rouen. A collection of Documents sur les its bias against the established church, but hisrelations de la royauté avec les villes de France de zeal for the wider aspects of the cause never118o à 1314 (Paris 1885), an -Etude sur les origines flagged. He advocated a constructive program,de la commune de Saint - Quentin (Saint -Quen- including the provision of better education andtin 1887) and a series of volumes by his pu- housing, revision of the poor law and access topils (Les coutumes de Lorris by M. Prou, Paris the land. Holding that the clergy had "done less 1884; Histoire de la ville de Noyon by A. Lefranc, for this end than any other class despite their Paris 1887; Histoire de la constitution de la ville de spiritual interest" he himself, when ultimatelyDinant au moyen âge by H. Pirenne, Ghent 5889; vicar of Halberton, Devonshire, was instru-Histoire de Beauvais by L. H. Labande, Paris mental in removing several hundred families 1892; Essai sur l'histoire d'Agen by A. Ducom, Girardin-Gladstone 669 Agen 1892) are further testimonials to the indus-in the old temple dedicated to St. Ambrose, he try of his seminar. The broader conclusionswas moved to compose one of his finest poems, drawn from these researches are confined un-the Sant'Ambrogio, in a mood of pity for the fortunately to two brief chapters written in col-soldiers who as the unwitting instruments of a laboration with A. Réville for Lavisse and Ram - tyrannical government were holding Italy in baud's Histoire générale (vol. ii, Paris 1893, chs.slavery. In 1848 Giusti was elected to the Tus- viii -ix; ch. viii tr. by F. G. Bates and P. E. Tits -can parliament and worked with the moderate worth, New York 1907). Giry prepared also aparty rather than with the ultrademocratic. In history of the reign of Charles the Bald and aall his poems as well as in his prose writings collection of his acts as well as a study of Caro- Giusti lashed the servility and selfishness of the lingiandiplomatics,theÉtudecritiquede upper and middle classes and the charlatanry of quelques documents angevins de l'époque carolin-the demagogues who fawned upon the people gienne (Paris 1900). The researches of his pupils,for their own selfish ends. notably F. Lot, P. Lauer, R. Poupardin and E. GAETANO MOSCA Favre, resulted in numerous monographs on the Works: Poesie; compiled by P. Fanfani (new ed. Milan period following Charles the Bald. 1880); Epistolario, compiled by F. Martini, 3 vols. LOUIS HALPHEN (Florence 5904); selections of Prose e poesie, com- Consult: Lot, Ferdinand, "Arthur Giry" in École piled by E. Marinoni (Milan 1918). Pratique des Hautes Études, Section des Sciences Consult: Martini, F., Giuseppe Giusti (Milan 1909). Historiques et Philologiques, Annuaire (1900) 20-47; Omont, Henri, "Notice sur la vie et les travaux de M. Arthur Giry" in Bibliothèque de l'École des Chartes, GLADSTONE, WILLIAM EWART (1809- vol. lxii (1901) 5 -14. 98), British statesman. At Eton and Oxford Gladstone gained high academic distinction as GIUSTI, GIUSEPPE (1809 -50), Italian sati-well as fame in debate. Except for a short inter- rist. Giusti was one of the principal literary fig-val in 1846 he was a member of the House of ures of the moral revival which was the primeCommons from 1833 until his retirement in and indispensable condition of the political re-1894. As vice president and president of the generation of the Italian nation. As early as 1836 Board of Trade from 1841 to 1845 he served as he had become the poet of the patriots of unionSir Robert Peel's chief lieutenant in a sweeping through his Lo stivale, which had at once be-reform of the tariff which paved the way for the come popular. In this poem Italy, representedrepeal of the corn laws in 1846. From Peel he by a boot, recounts its dolorous story and thenlearned the principle and practise of public econ- beseeches some man of courage and vision toomy which he always associated with private unite it into a single state and free it from thethrift. As chancellor of the Exchequer under stranger, making it become Aberdeen and Palmerston he prepared the bud-

...con prudenza e con amore gets of 1853 and 1860, in which like Peel he used Tutto d'un pezzo e tutto d'un colore. the income tax to remove or reduce many pro- In the Incoronazione (1838) the poet attacks thetective customs duties. The latter budget was sovereigns of the petty Italian states, who has-bound up with the Anglo- French commercial tened to do homage to the new emperor oftreaty negotiated by Cobden, and the work of Austria when he came to Milan for his corona-free trade was thereby practically completed. In tion; and the Brindisi di Girella (1840) is a bitter1867 he succeeded Earl Russell as leader of the satire against politicians who bow down beforeLiberal party and as prime minister from 1868 the idol of the day, accepting supinely any gov-to 1874 directed what was perhaps the greatest ernment in power. The Gingillino (1845) is areform administration of the century. He dises- violent satire against those of the youth who lenttablished the Irish church, abolished the system themselves to the sorry business of courting andof purchasing commissions in the army, re- even acting as spies for the petty tyrants of themoved religious tests from the universities, in- time to smooth their own way to promotion introduced the ballot at elections and set a great the bureaucracy. In the Guerra (1846) the poetexample in peace methods by submitting the satirizes the pacifists who cried for peace whenAlabama claims to arbitration. The general elec- peace was impossible, pointing out that withouttions of 188o gave Gladstone a handsome ma- war Italy could not be freed. In the same year,jority; but his second administration, from 188o hearing a sacred hymn set to Italian music sungto 1885, when he resigned after extending the in chorus by Bohemian and Croatian soldiersfranchise to agricultural laborers, was marred 670 Encyclopaedia of the Social Sciences by troubles in the Transvaal, in Egypt and ininteresting. It is likewise significant that the Ireland. His generous scheme of home rule forDialogue de scaccario is of the same date, the Ireland was frustrated during his third adminis-coincidence showing that separate treatises on tration by the defection of Liberal Unionists and law and administration were already possible. by the Parnell scandal. During his fourth andGlanvill implies a collection of writs already final administration the second Home Rule Billarranged along the lines of the Registrum brevi- after passing through the House of Commonsum. The question of Roman influences is less was thrown out by the House of Lords; and in difficult than with Bracton, for Glanvill does not March, 1894, Gladstone retired. attempt to make practical use of his Roman Gladstone's greatest achievements as a states-learning. Glanvill's influence in England was man were perhaps in public finance, every detailgreat, for his work served to standardize the of which he mastered with unrivaled skill and rules which the king's court was evolving. It was, indefatigable industry. In all the arts of publicmoreover, the first to be written exclusively economy he was a disciple of Peel and an ally ofabout the new royal common law (as distinct Cobden. He waged incessant war on publicfrom ancient regional customs). Realizing that waste and did more than any other statesman ofthe common law was growing around the pro- the nineteenth century to arrest the growth ofcedural rules of the king's court and that local armaments and to provide substitutes for warvariants were doomed to disappear Glanvill between nations. His outlook on social life and adopted the form of a commentary upon royal on the economic problems of capital and laborwrits and thereby set the pattern for legal writ- was that of a sincere Christian and a convinceding for several centuries to come. Glanvill's individualist, who endeavored to impress uponbook was widely read and was treated with all classes the duties of self -help and cooperation respect by Bracton, whose larger book naturally as well as the dangers of relying too much uponsuperseded it. An enlarged and modified version legislation and parliamentary interference withof Glanvill was current in Scotland under the industry. titleRegiam majestatem and enjoyed high FRANCIS W. HIRST authority. Consult: Morley, John, Life of William Ewart Glad- THEODORE F. T. PLUCKNETT stone, 3 vols. (London 1903); Craemer, Rudolf, Glad- Works: The best edition so far is that by J. E. Wilmot stone als christlicher Staatsmann (Stuttgart 1930), withand J. Rayner (London 178o); it was also printed in bibliography p. 500 -06; Knaplund, Paul, Gladstone France by David Hoüard (Traités sur les coutumes and Britain's Imperial Policy (London 1927); Eversley, anglo -normandes ... , 4 vols., Paris 1776, vol. i, p. George John, Gladstone and Ireland (London 1912); 373-581), and in Germany by GeorgePhillips Burdett, O. H., W. E. Gladstone (London 1927); Bux- (Englische Reichs- and Rechtsgeschichte ... , 2 vols., ton, Sydney, "Mr. Gladstone as Chancellor of the Berlin 1827 -28, vol. ii, p. 335-473). A new edition by Exchequer" in Fortnightly Review, n.s., vol. lxixG. E. Woodbine is being prepared by the Yale (1901) 590 -611, 785 -807; Malarce, A. de, "Trois University Press. John Beames' English translation grands `acts' de Gladstone" in Journal des économistes, (London 1812) was revised by J. H. Beale (Washing- 5th ser., vol. xxxv (1898) 62 -69. ton 1900). Regiam majestatem and Glanvill are printed side by side in Acts of the Parliaments of Scotland, vol. GLANVILL, RANULF DE (also written as i (Edinburgh 1814). Glanvil, Ranulph de, and as Glanville) (d. 119o), Consult: Holdsworth, W. S., History of English Law, had a varied career as sheriff, judge, warrior, 9 vols. (3rd ed. London 1922 -26) vol. ii, p. 176, 188- diplomat and statesman under Henry Ii. The92, where further references are also given. law book now known by his name (Tractatus de legibusetconsuetudinibusregni Anglie) wasGLASER, JULIUS (1831 -85), Austrian jurist. finished after 118..7 and before 119o. It is un- Glaser became professor of criminal law at the likely that he wrote it, but he may have influ-University of Vienna at the age of twenty -nine enced his lawyer nephew and secretary Hubertbut soon gave up his teaching for legislative Walter (afterwards archbishop of Canterbury), labors in the Austrian Ministry of Justice, the to whom Maitland conjecturally ascribed it.direction of which he took over in 1871. Forced Several procedural treatises were then appearingto resign in 1879 as the result of a cabinet crisis, on the continent, and in England William Long -he became procurator general to the Court of champ may have already written his little workCassation in Vienna, a post which he held until on civil and canonical procedure advocating ahis sudden death. formulary system of writs; if this is so, then Glaser's chief importance is in the field of Glanvill's emphasis upon the writ is all the morecriminal procedure. The Austrian code of crimi- Gladstone-Glass and Pottery Industries 671 nal procedure of 1873, which replaced the reac-Land League and was one of the organizers of tionary law of 1853 and is still in force, was histhe Henry George campaign in 1883. In 1884 he creation. It represented the realization of mod-became a member of the Social Democratic ern principles of criminal procedure in Austria Federation and after its split joined the Socialist and bears unmistakable marks of the influenceLeague founded by his friend William Morris. of English -Scottish criminal procedure, for theWith the formation of the Independent Labour reception of which Glaser had argued in a seriesparty (I.L.P.) in 1893 Glasier, who despite his of publications. After a hard struggle he suc- Darwinism was essentially idealist, ethical and ceeded in securing the retention of trial by jury.inclined toward mysticism and conceived so- Like many of his contemporaries Glaser saw incialism as a humanist religion, found his most the participation of laymen in the deciding ofcongenial sphere of activity. The I. L. P. con- the question of guilt an indispensable guaranty ceived its socialism as a living faith, caring noth- against abuses arising from the prevailing judi-ing for materialist determinism nor for revolu- cial freedom in the evaluation of proof. tionary economics. In homely speech, in hymns Glaser's most important literary productions and songs, some of which Glasier composed, it were his unfinished Handbuch des Strafprozesses appealed to the moral and primitive Christian and the Beiträge zur Lehre vom Beweis. He con-sentiments of the working people, asking them ceived the central point of every process to lie at the same time to act logically and apply trade in the question of proof, which for that reasonunion principles to politics, i.e. to form a party must form the core of any science of procedure. of their own to secure social justice for all. Carry- In his essays on evidence, which even today areing this message Glasier was second only to fundamental, he was particularly concerned with Keir Hardie in preparing the way for the forma- showing that a law of evidence was still neces-tion of the Labour party in 1900. He held the sary despite the acceptance of the principle ofhighest offices of the I .L.P. and edited its weekly, the free evaluation of proof. In conjunction with the Labour Leader, from 1905 to 1909 and its his friend and colleague Josef Unger, Glasermonthly, the Socialist Review, from 1913 to 1917. succeeded in reestablishing the contact of Aus- MAX BEER trian law with German national jurisprudence Works: Meaning of Socialism (Manchester 1919); and in inaugurating a new and brilliant period William Morris and the Early Days of the Socialist in Austrian legal science. Movement (London 1921); On the Road to Liberty: Poems and Ballads, ed. by J. W. Wallace (Manchester ERICH SCHWINGE 1921). Important works: Abhandlungen aus dem österreichischen Consult: Beer, Max, History of British Socialism, 2 Strafrecht (Vienna 1858); Schwurgerichtliche Erör- vols. (London 1919 -21) vol. ii. terungen (Vienna 1875); Handbuch des Strafprozesses, Systematisches Handbuch der deutschen Rechtswis- GLASS AND POTTERY INDUSTRIES. senschaft, ed. by Karl Binding, sect. ix, pt. iv, vols. i -iii, 3 vols. (Leipsic 1883 -1907); Beiträge zur Lehre Despite isolated survivals of handicraft pro- vom Beweis im Strafprozess (Leipsic 1883); Gesam- duction glass and pottery manufacture at pres- melte kleinere Schriften über Strafrecht, Civil- undent isdefinitely a mechanical industry. Be- Strafprozess, 2 vols. (Vienna 1868, znd ed. 1883). fore the end of the eighteenth century output Consult: Lammasch, Heinrich, in Zeitschrift für das was artistic in quality and limited in quantity; Privat- und öffentliche Recht der Gegenwart, vol. xiv it expressed cultural more than utilitarian re- (1887) 675 -703; Benedikt, Edmund, in Allgemeine quirements. Potters were among the most highly deutsche Biographie, vol. xlix (Leipsic 190¢) p. 372 -80; Unger, Josef, Julius Glaser, ein Nachruf (Viennaskilled and best paid artisans, who jealously 1885). guarded and restricted membership in their guilds; in Venice a glassworker became a noble- GLASIER, JOHN BRUCE (1859- 1920), Brit-man by virtue of his trade. (For early history see ish socialist. Glasier was born in Glasgow andPOTTERY.) The situationis now completely was a designer of art metal work by vocation.different: at present quantity production rules, Beginning with a stern Calvinism he moved withand potters and glassworkers are on the whole the rising wave of social revolt which at the be- on the same level both in status and earnings as ginning of the eighties carried many British in-the workers in other mechanized industries. On tellectuals from Darwin and Huxley throughthe other hand, the use of glass and pottery Ruskin, Mill and Henry George to socialism. Inproducts (particularly glass) has been extended 1879 he began to lecture on social problems. Hefar beyond the small class which almost monop- took an active part in the Irish and Highlandolized their output in the past. 672 Encyclopaedia of the Social Sciences The modern era in the production of glassin fuel, but its heat is more intense and uniform, and pottery began at the end of the eighteenthextremely desirable for the proper melting of century, when the handicrafts gave way to theglass, especially in large quantities. The con- factory system. Mechanical methods were intro-tinuous melting tank, invented in 1872, took the duced to do work formerly done by hand, andplace of the open or closed pots. Use of the a larger division of labor developed. The changecontinuous tank has become universal, except in pottery production was signalized by the ap-in the production of lamp chimneys and the pearance of English white ware, which created better kind of pressed and blown glassware and a revolution in the industry. By the new method,colored glass. The principal advantage of the which was more mechanical and economical than continuous tank lies in the opportunity for un- applying a coating of white or of tin enamel, the interrupted working of the glass; the batch is English produced a ware which was whitesupplied at regular intervals to the melting end throughout; it was superior in durability and itsof the tank, while the molten glass is continu- finish bore comparison with expensive porce-ously withdrawn from the working opening. The lain. In addition, printed patterns were devel-regenerative furnace combined with the contin- oped which were transferred instead of painteduous tank made the glass industry ripe for the on the ware. These changes and an abundanceintroduction of machinery, and it was not long of coal and coarse clays gave England the leadafterward that the successful operation of the in developing a modern pottery industry. first semi -automatic machine for the production In pottery as in other products England in-of wide mouthed jars was reported. tensively developed its exports; the bulk of white Although it introduced machinery in the mak- ware was produced for sale abroad. These largeing of pressed glass the American glass and exports led to the displacement of more artisticpottery industry lagged behind Europe in both and expensive wares in foreign markets and thetechnological advance and output. In the colo- gradual ruin of the old pottery handicrafts. Butnial period there were a few glass and many other countries, particularly France, Germanypottery works producing household and kitchen and the United States, adopted the Englishware; the white ware industry of New Jersey methods and by 1840 England's pottery suprem-exported comparatively large quantities to the acy was over. Handicraft methods persisted inWest Indies. Glassworks were established in the making of more artistic wares; but potteryPennsylvania and New Jersey. After the revo- as a whole went over to quantity productionlution both industries developed considerably; under pressure of increasing demand and larger some capital and many skilled glass and pottery markets. workers were imported from Europe. One glass Changes developed more slowly in the pro-company in Massachusetts in 1815 had a capital duction of glass, but when they came they wentof $400,000 and employed 450 workmen pro- far beyond the technological changes in the pot-ducing cut, engraved and gilded glass. There tery industry. Early in the nineteenth centurywere many small plants scattered over the coun- American manufacturers introduced moldingtry serving local markets, as a result of the wide- machines for making pressed glass, which revo-spread distribution of raw materials and the lutionized the process and considerably cheap-inadequacy of transportation. The glass and pot- ened the prices of the product. But the reallytery industries did not develop rapidly until important changes were initiated by two Euro-after the Civil War, when they were stimulated pean inventions -Siemens' regenerative furnace by the rapidity of general industrial expansion. in 1861 and the continuous melting tank in 1872. By 1870 power driven machinery was being In the regenerative furnace, which is now in useused in the majority of American potteries, most in all large glass plants, the heat produced isof which specialized in the production of white supplied by the combustion of air and gas. For-ware. The great increase in the output of pot- merly direct fire furnaces used wood or coal astery, however, came from the production of fuel. Wood, particularly after all its moisture hadsanitary ware, bound up with progress of sani- been extracted, was a very effective fuel for thetation and improvements in the construction of production of small quantities of good glass but dwellings, factories and offices. By 1890 the out- very expensive. Coal was considerably cheaper,put of sanitary porcelain was a substantial part but the glass produced was darker and of anof pottery production and thereafter increased inferior quality. Not only is the regenerative fur-rapidly. Simultaneously a few art potteries were nace more economical, saving nearly 5o percent established; they made an important contribu- Glass and Pottery Industries 673 tion to artistic pottery by developing an originalapplication of the Siemens furnace and the con- type of underglaze decorated faïence. tinuous tank the glass industry rushed through In the glass industry the Siemens furnace wasall the stages of development from an almost ioo not adopted in the United States until 1871 andpercent hand to a completely mechanized state, the continuous melting tank not until 1888,in the amazingly brief period of less than a quar- mainly because of the abundance of fuel and theter of a century. In 1899 the census reported large number of small plants. In 1873 the firstonly a few experimental attempts to blow bottles plant was established for the production of pol-by the machine process. Twenty -five years later ished plate glass, an important American con-the glass industry had not only completely left tribution to the glass industry; and the outputbehind the hand process of making glassware, increased rapidly to supply the great demand bybut had also replaced with a more modern and stores for show window glass. There was alsoautomatic type of machine several types of ma- considerable expansion in the output of windowchines which had taken the place of the skilled glass, large quantities of which had formerlyglassworkers. The semi -automatic machine first been imported from Europe. At this time alsoreplaced the blower with a machine operator but electric light bulbs were first manufactured. Thestill retained the gatherer and the presser. The value of glass products increased from $18,500,-Owens automatic machine and later also the 000 in 1870 to over $40,000,000 in 1890. "feed and flow" devices displaced all the skilled In spite of the adoption of modern technicalglassworkers, formerly used in the hand unit methods and the increase in output the Ameri-known as the "shop" or the "chair." can glass and pottery industries in 1900 were The development of machinery has not pro- still behind Europe, with Germany and Englandceeded uniformly in all branches of the glass in the lead. But American progress thereafterindustry. Bottles and jars were the first to be was rapid. By 1914 the value of pottery productsaffected by the machine process, and in this was $36,900,000; the output of glass productsbranch of the industry the development of auto- increased from $41,000,000 in 1899 to $123,-matic machinery went further than in any other 100,000 in 1914. The production of commercialglass product. Prior to the introduction of the glass and pottery was concentrated in five na-machine process a hand shop consisting of three tions: Germany led in scientific ware; Englandskilled workers -two blowers and one finisher - in artistic glassware and France in artistic pot-and four helpers could produce under normal tery; the United States and Germany in sanitaryconditions 3o gross of four -ounce prescription porcelain and electric light bulbs; and the Unitedovals during the regular working shift of eight States, Germany and Belgium in plate glass.hours. This amounts to 3.75 gross per shop Germany in particular made important contri-hour, or .536 gross per man per hour. In 1925 butions to the development of optical glass andthe Owens automatic ten arm double triplex of porcelain products for the use of the chemicalmachine (sixty bottles per revolution) with an and electrical industries. automatic conveyor attended by two machine The growth in the output of glass and potteryoperators and one machine foreman for each in the nineteenth century was bound up with themachine and one chief foreman for six machines development of clay manufactures and with theaveraged 69.75 gross of the same type of bottle general expansion of markets and industry. De- per machine per hour. This amounts to 22.03 mand was stimulated by rising standards ofgross per man per hour, or more than 4100 times living, supplemented in Europe by intensive de-as much as with the hand process. The increase velopment of export markets. A whole series ofin productivity per man per hour shown in other new industries created new needs for glass andarticles ranges from 642 percent to 4009.8 per- pottery, particularly the electrical industry withcent in bottles and jars, from 391 to 1128.1 per- its demand for electric light bulbs and porcelaincent in pressed ware and from 42.3 to 3042.6 fixtures. The growth of cities stimulated thepercent in blown ware. In window glass the demand for window glass and sanitary porcelain.increase in productivity is 128.4 percent in glass In the case of glass, however, the most impor-of double strength and 161.4 percent for single tant single factor was the introduction of newstrength; in plate glass the increase in produc- technical methods, particularly in the Unitedtivity is 45 percent for rough plate and 60.5 States, which increased productivity to an extentpercent for polished glass. equaled in few other industries. Such a revolutionary change in productivity Once given an impetus through the successful and in labor cost of producing glassware caused 674 Encyclopaedia of the Social Sciences by the introduction of machinery in the industrya total of 3 ro establishments only 49 plants pro- tremendously affected its economic and socialduced an output of less than $100,000; and 83 structure. In 1899 the entire glass industry com- plants, or 26.8 percent of the total, had a yearly prised 355 establishments employing 52,818output of more than $r,000,000. Even more wage earners, or an average of 149 per establish- striking than the number of establishments in ment; in 1929 there were only 267 establish-these two groups is their total value of output. ments employing 71,416 wage earners, or anIn 1904 the 164 plants in the lower group re- average of 267 per establishment. But the figuresported a combined output of $8,341,000, or 10.5 for the industry as a whole do not tell the storypercent of the total value of the output for the of what happened in the separate branches, asentire industry. In 1925 the 49 establishments the effects of the introduction of machinery have in the lower group reported an output of $2; not been the same in the four principal divisions. 652,000, or less than 1 percent of the total value In bottles and jars the general adoption of auto-of the output. In 1904 the five establishments in matic machinery resulted not only in a diminu-the million dollar group produced 11.3 percent tion of the number of plants and wage earnersof the total output, while in 1925 the 83 estab- in the industry but also in a decrease of thelishments in the million dollar group produced average number of wage earners per establish-72.5 percent of the total value of the output of ment. Fewer workers are seen in a large up tothe entire industry. date machine bottle plant than in a small hand Prior to the introduction of machinery the plant. In the pressed and blown ware the auto-glass industry was predominantly a small unit matic machine has so far invaded only a smallindustry. The amount of capital needed for a section of the industry, and the growth in this plant was comparatively negligible and the prin- branch has therefore resulted in an increase in cipal items for expenditure were fuel and skilled the number of plants and wage earners as welllabor. A cheaper rate on coal or natural gas was as in the average number of workers per estab- sufficient inducement for the removal of a glass lishment. In the window glass branch the pre-plant from one locality to another and from state dominance of the cylinder machine process cutto state. The history of the discovery of natural the number of establishments by more than half,gas in Pennsylvania, Indiana, West Virginia and somewhat diminished the total number of wageOklahoma also tells the story of the migration of earners and increased the average number ofthe glass industry to and from these states. With workers per plant nearly one and one thirdthe advent of machinery the situation changed times. In plate glass, which until very recentlycompletely. Fuel is still a very large item in the witnessed no revolutionary changes, the growth cost of production of glass and is still considered of the industry more than tripled the number ofthe principal factor determining the site of a wage earners used and nearly tripled the averagenew glass establishment. But once the plant is number of workers per establishment. built, the capital outlay on the building, the fur- The total number of workers employed andnaces and the machines prevents the moving of the average number per establishment cannot,the establishment irrespective of the cost of fuel. however, be used as an indication of the changeWith the increase in the size of the plant and in in the size of the establishment. A better meansthe use of machinery the advantages of large of measuring the change may be found in thescale production were brought into play, with quantity output per establishment, which inthe result that in the short span of twenty -five 1925 was 4.1 times as much as in 1899 in theyears the glass industry has been converted from case of bottles and jars; 3.7 times in the caseofa small and loosely connected industry into a pressed and blown glass; 6.2 times in windowlarge and well integrated one. glass; and 5.9 times in plate glass. The glass industry is on the whole dominated Another important result of the introductionby a few large corporations in spite of the many of machinery is the disappearance of the smallersmall shops. The Pittsburgh Plate Glass Com- type of plant and the concentration of the indus-pany, manufacturing all kinds of window glass try in the larger establishments. In 1904 out ofas well as paints, varnishes and safety glass, had a total of 399 establishments 164, or 41.1 percent assets in 1930 of $99,605,000. The Owen -Illinois of the total, were of the type with a yearly outputGlass Company, organized in 1903 as the Owens of less than $100,000; and only five establish-Bottle Machine Company, had assets of $46; ments, or 1.3 percent of the total, had a yearly311,000; it is the largest manufacturer of bottles output of more than $1,000,000. In 1925 out ofin the world as well as of bottling machines, the Glass and Pottery Industries 675 patents of which it controls; it has practically aindustry between 1899 and x929 is of no signifi- monopoly position and has paid unusually highcance, because the nature of the work done and dividends. the kinds of labor used in the two years were Machinery has not played so important a partentirely different. Thirty years ago the majority in pottery as in the glass industry, but its influ-of workers employed in the glass industry con- ence is growing. Power driven machinery is insisted of highly skilled blowers, pressers, finish- general use, and specialization is increasing. Aers and the like. By now only a small percentage considerable amount of up to date equipmentof skilled labor has been retained, and the new and of labor saving devices are now used in pre-class of glassworkers requires little if any pre- paring the slip and in firing the ware, and large liminary training in handling the machines. In quantities of sanitary porcelain are made by the 1899 all skilled workers were paid on a piece- casting process. This process secures the forma-work basis, while now the overwhelming major- tion of the clay by pouring it into molds andity of the workers are paid on a time basis -by removing it when the articles have dried. Never- the hour, week or month. It is possible, how- theless, pottery is still an industry in whichever, to compare yearly earnings. In 1899the manual dexterity is important; even in the cast-52,818 wage earners in the industry received a ing of sanitary ware, which comes closest to antotal wage of $27,084,000, an average of $512 automatic process of production, there is stillper wage earner per year. In 1929 the yearly need for some skilled workers to handle theaverage was $1250, or nearly two and one half product. In the shop proper the potter's wheel,times as much as in 1899. But in spite of this the jigger, the jolly and the potter's lathe con-increase in money wages the trend of real earn- stitute the sum total of machinery used in theings, with 1914 as a base, has been downward. actual making of pottery. The slip makers, jig -In 1904 real earnings were 21 percent above germen, pressers, kiln men, dippers, decoratorsthose of 1914, while in 1919 they were 5.4 per- and others, all highly skilled artisans, still occupycent lower than in 1914. Since then the trend has the most vital positions in the pottery industry.been upward, but real earnings are still not so This accounts for the fact that wages of thehigh as in 1904 or 1899. pottery workers constitute the largest item of The transition from the hand to the machine expenditure in the manufacturing of earthen-process in the glass industry exerted a tremen- ware and china. In 1899 the censusreporteddous influence on the trade union movement in loon establishments producing pottery, terra the industry. From 1904 to the present time the cotta and fire clay products; the 43,714 wagerecords of the labor organizations in the industry earners employed received in wages$17,692,-tell the story of an endless struggle of organized 000, which constitutes 54.7 percentof the totallabor to ward off the effects of the machine, value of $32,348,000 added by manufacturing.which threatened the very existence of their In 1929 the preliminary census report gives 307organizations. Until recently the three major establishments producing pottery and sanitaryunions in the industry were the National Win- ware only; the 34,958 wage earnersemployeddow Glass Workers, the Glass Bottle Blowers' received in wages $43,365,000, which consti-Association for workers on bottles and jars and tutes 53.2 percent of the total value of $81,620;the American Flint Glass Workers' Union for 000 added by manufacturing,compared with anpressed and blown ware. The attitudes of these average of 36 percent for manufacturing as aorganizations toward the machine have not been whole. Thus more than 5o percent of the totalthe same, and the results of their struggles value added by manufacture in the pottery in-against its invasion have proved to be very dif- dustry is paid out in wages. ferent. The National Window Glass Workers, In spite of differences in the extent of mech-in spite of the inroads of machinery on the hand anization the average yearly earnings of glassplants, particularly the cylinder drawing ma- and pottery workers in 1929 were almost thechine, refused to recognize the significance of same -$1259 and $1240respectively: in bothmachinery and decreed that any member work- cases below the average of $1300for manufac-ing in a machine plant automatically suspended turing industries as a whole. While skill is stillhimself from membership in the union. The required of pottery workers, it appears that man-rule was finally eliminated at the last convention ual dexterity among the majority is of the un- of the union held in Cleveland in May, 1927. At skilled kind. the same time the union also decided to enter A comparison of rates of wages in the glassupon an effective campaign to organize the ma- 676 Encyclopaedia of the Social Sciences chine plants in order to retain their membership. wage earners employed in making bottles and But the change of heart came too late; and whenpressed and blown ware 7035, or 17.2 percent, the campaign to organize the machine plantswere minors under the age of sixteen. With the failed, the executive board of the union met inintroduction of machinery the child labor situa- June, 1928, and formally disbanded the organi-tion changed. The mold boys, the cleaning off zation. With the disappearance of this unionboys and the snapping up boys were at once there disappeared one of the most highly skilleddispensed with even in the case of the cruder, and highly paid group of artisans. Not hampered semi -automatic machines. The job of "carry-in by any progress in the industry and conscious ofboys" was retained for some time, but the intro- their skill and power, the window glassworkersduction of the Owens automatic machine with had successfully developed the policy of con-its automatic conveyor completely eliminated all fining their trade to a small group of workersthe work formerly done by minors. Although and their families. No one but the nearest kinconsiderable credit for the reduction in the num- of a blower or gatherer could ever become anber of children employed in the glass industry apprentice to either, and the number of appren-is due to the pressure of social legislation which tices in the trade had been strictly limited. Withmarked the first quarter of this century, it was this policy also went the rigid rule of strictthe automatic machine which contributed more limitation of output on the part of the workers.than all other factors combined to the elimina- It was this situation as much as the natural trendtion of child labor from the glass industry. of progress which probably hastened the ad- The early history of unionism in the pottery vance of machinery in the making of windowindustry was stormy. The employers refused to glass, resulting in the complete elimination ofrecognize the potters' union organized in the hand production. Knights of Labor, and in 1882 it was put on the The bottle blowers' and the flint glasswork -black list and all men known to be members of ers' organizations did not declare open warfarethe organization were locked out from the shops on the machine. From the very beginningtheirof East Liverpool. From 1882 to 1897 the pot- method of struggle had been an attempt to adapttery industry was in a constant state of agitation themselves to it and to keep their organizationsbecause of ceaseless warfare between the manu- intact by retaining jurisdiction over the machinefacturers and their employees. In 1890 the Na- operators. In 1914 the bottle blowers went sotional Brotherhood of Operative Potters was far as to change their constitution from a craftorganized in East Liverpool with a membership to an industrial form of organization and pro-of zoo. This organization was independent of ceeded to organize within their fold the unskilledthe Knights of Labor and in 1899 received its trades, such as glass packers, batch workers and charter from the American Federation of Labor. others. Unquestionably this attitude toward theIt was not, however, until 1900 that the pottery machine on the part of the two unions savedworkers' union was officially recognized by the their organizations from sharing the fate of theirUnited States Potters' Association and an agree- brothers in the window glass trade. Althoughment concluded between the two organizations, not unscathed and with a considerable diminu-inaugurating a system of collective bargaining tion in prestige and in the ranks of their mem-which made the pottery industry famous as a bership, the two organizations have managed tosample of industrial self -government established survive a succession of invasions by machinesby mutual agreement between capital and labor. such as no other trade has experienced in recentThe principal points of this agreement were: the years. establishment of regular procedure for the regu- If the machine has worked havoc among thelation of rates of wages, hours of work and other glassworkers and their organizations it has notlabor conditions by means of biennial agree- been without its salutary effects in other direc-ments prepared by a permanent laborcommittee tions. This is particularly true in the case ofwith equal representation from both organiza- child labor. Prior to the introduction of machin-tions; the adoption of a uniform wage rate list ery the glass industry was oneof the greatestfor the entire industry; and the adoption of spe- exploiters of child labor. This was especially thecific rules pertaining to strikes and lockouts, situation in the bottle and pressed and blownregulation of apprenticeship, sanitary and health ware branches, for very fewchildren had beenconditions and the like. This agreement estab- employed in the making of window glass andlished peace in the industry, and for more than none in plate glass. In 1899 of thetotal of 40,916twenty years the pottery industry did not have Glass and Pottery Industries 677 a single strike or other labordisturbance. Thecharging very high rates on account of the haz- rapid introduction of the casting process inards to the pottery workers. In 1913 the brother- making sanitary ware was chiefly responsible forhood also organized a tuberculosis fund, in the the strike which occurred in 1922. The strikemanagement and operation of which the United was lost by the workers and wasofficially called States Potters' Association later joined by adding off in 1923; the employers agreed to employ suchan endowment of its own. There has,however, union men as they could find room for at a gen-been some improvement; according to brother- eral reduction of to percent in the wages pre-hood reports the average age of deceased potters vailing before the strike. in 1915 was 41.J3 years compared with 55 years Although collective bargaining has been re-in 1928, while the proportion of deaths from tained, the power and prestige of the workers'tuberculosis declined from one third to one organization have been greatly reduced. In 1928eighth. the brotherhood reported only 6900 members, Industrial hazards in the glass industry are which is less than 20 percent of the total numberconsiderable. The workers inhale poisonous and of wage earners in the industry in 1927. Theirritating dusts while mixing the batch, aggra- pottery workers' union is strictly a craft organi-vated by the danger of silicosis from silica. There zation and is limited to skilled workers only; itis much danger from the intense heat, smoke completely ignores the semiskilled and unskilledand gases from the furnaces, while the glare pro- workers employed in the industry. duces eyestrain. The tuberculosis rate is high. From the point of view of the health of theLead poisoning occurs from the use of paints in workers the production of pottery ware may beshops making decorated ware. In 1925 the acci- classified as a hazardous industry. The causesdent severity rate involving permanent disability which are responsible for the prevalence of oc- was 1.00 compared with the general averageof cupational diseases among the pottery workers1.2o and higher than the average for accidents are traceable to dust and to leadpoisoning. Theinvolving temporary disability. In recent years former pervades all the processes wherein pot-there has been an influx of women and children ters' clay and flint dust are in use. The dangersinto the industry, particularly in cut glass shops, of silicosis and lead poisoning in the potterywhere they work over steel wheels and are ex- industry were early recognized by the Homeposed to the dangers of speed up, stooping posi- Office of Great Britain, which from time to timetions and nervous tension as well as to the dan- issued regulations aiming to minimize theseger from fumes and burns due tothe consider- dangers. As a result of this campaign the Homeable use of hydrofluoric acid. Office reported only 47 cases of lead poisoning As has been previously stated, the commercial among the pottery workers in 1924 asagainstproduction of glass and pottery in 1914 was 200 in 1900. In the United States anexhaustiveconcentrated in five nations. The World War study of lead poisoning in the pottery industrychanged the situation completely. German ex- was made in 191r by Dr. AliceHamilton, whoseports of chemical, scientific and optical wares complete survey was published as Bulletin no.were cut off and the Allies compelled to manu- 104 of the United States Bureau ofLabor. Afacture their own supply. Imports by the United more recent study was made bythe UnitedStates almost ceased, while exports increased States Public Health Service and published intenfold. Factories were built in Latin America, 1921. Both reports call attention to theexistenceAustralia, China and Japan; the last named of unsatisfactory conditions in a large number ofcountry in particular organized its glassand pottery shops; little or no precautions aretakenpottery industries on an export basis and strug- to protect the workers against the dangersofgled aggressively for foreign markets. After the silicosis and poisoning from lead glazes. Thewar Czechoslovakia became animportant factor American pottery manufacturers are inclined toin foreign trade; intense specialization and the use larger percentages of leadin the preparationmost modern technique prevail alongsideof of their glazes, yet very little or no instructionsmall shops and home work in certain branches, is given to the workers concerning the hazardsand most of the product is exported. Czecho- of their work or the habits they should form asslovakia is the only country in which glass and precautions against lead poisoning. In 1911 thepottery exports are an important factor inthe Brotherhood of Operative Potters introduced anational economy. Germany in 1929 imported system of limited death benefits for their mem-$8,500,000 of glass products and exported $6o; bership, because the insurance companies were250,000; it imported $3,900,000 of potteryprod- 678 Encyclopaedia of the Social Sciences ucts and exported $35,700,000. In the same year(1922); Passardi, Vitaliano, Le industrie del vetro (Tu- Great Britain imported $32,000,000 of glass rin 1921); Zaugg, Ernst, Die schweizerische Glasindus- trie (Zurich 1922); United States, Tariff Commission, products and exported $ 1 1,000,000; it imported The Glass Industry as Affected by the War (1918); $11,600,000 of pottery products and exported United States, Bureau of Labor Statistics, "Produc- $30,600,000. Over one half of British exports tivity of Labor in the Glass Industry" by Boris Stern, go to the dominions, while the bulk of GermanBulletin, no. 44.1(1927); Pennsylvania, Labor and Industry Department, "Opportunities and Condi- exports go to other European countries. All thetions of Work for Minors under Eighteen in the chief producing countries adopted modern ma- Glassware Industry" by E. S. Johnson, Special Bulle- chinery and plant capacity was overdeveloped, tin, no. 18 (Harrisburg 1927); United States, Bureau leading to the raising of tariffs and attempts to of Labor, Report on the Condition of Woman and Child control export prices, such as the Belgian ma- Wage -earners in the United States, vol.iii(1911); McMahon, Minnie M., "Health Hazards of the Glass chine glass cartel. Another cartel of European Industry" in New York State, Industrial Commis- plate glass manufacturers has successfully sta- sioner, Annual Report (1926) p. 244 -85; Daugherty, bilized prices and limited output. In the UnitedCarroll R., "The Settlement of Industrial Disputes States both the glass and pottery industries havein the Glass Bottle Industry" in Journal of Political Economy, vol. xxxvi (1928) 699 -719; Wolman, Leo, had the benefit of heavy tariff protection. "Collective Bargaining in the Glass Bottle Industry" Glass and pottery production in the United in American Economic Review, vol. vi (1916) 549-67; States since 1914 has more than doubled. TheHorn, Georg, Die Geschichte der Glasindustrie und value of glass products rose from $123,100,000 to ihrer Arbeiter (Stuttgart 1903); Seilhac, Léon, Une $283,921,000 in 1929, and of pottery from $36; expérience socialiste: la verrerie ouvrière d'Albi (Paris 1913); United States, Bureau of Foreign and Domes- 900,000 to $108,131,000. The most importanttic Commerce, "The Pottery Industry," Miscellaneous items in pottery were: white ware, $31,568,000; Series, no. 21 (Washington 1915); "American Art vitreous china or porcelain fixtures, $27,886,000; Pottery" in United States, Bureau of the Census, porcelain electrical supplies, $21,349,000; hotel Manufactures, 1905, vol. iii (1908) 922 -35; Granger, A., La céramique industrielle (Paris1905); United china, $1I,o81,000; art pottery, $2,211,000. Plate States, Bureau of Foreign and Domestic Commerce, glass, valued at $51,840,000, was the most im-"The Pottery Industry of Japan" by F. R. Rutter, portant glass product; medicinal and toilet con- Trade Information Bulletin, no. 28 (1922); Vershofen, tainers, $32,670,000; bulbs for electric lamps,Wilhelm, "Die deutsche keramische Industrie" in Wirtschafts-Jahrbuch für Industrie und Handel des $30,758,000; other electric and gas goods, $9,- Deutschen Reiches (Leipsic1928) 584 -94; United 438,000. The chief factors in the growth of the States, Bureau of Labor, "Lead Poisoning in Pot- glass and pottery industries were rising stand- teries, Tile Works, and Porcelain Enameled Sanitary ards of living, the increase in building construc- Ware Factories," Bulletin, no. 104 (1912); United States, Public Health Service, "Lead Poisoning in the tion and the expansion of the automobile indus-Pottery Trades" by B. J. Newman, Public Health try. Exports and imports, while higher than in Bulletin, no. 116 (1921); Great Britain, Industrial 1914, remained fairly constant between 1926 Health Research Board, "Two Investigations in Pot-. and 1929. Exports of glass products in 1929 ters' Shops" by H. M. Vernon, Report, no. 18 (1922); United States, Bureau of Labor Statistics, "Wages, amounted to $10,931,000 and imports to $13,-Hours, and Productivity in the Pottery Industry, 993,000, and of pottery to$5,159,000 and $18,- 1925," Bulletin, no. 412 (1926), and "Mortality from 803,000 respectively. The imports consistedRespiratory Diseases in Dusty Trades," Bulletin, no. largely of decorated china, porcelain and glass - 23 (1918) 247-71; Kennedy, Donald, "Industrial wares -the more artistic products which were Relations in the Pottery Industry" in Journal of Politi- cal Economy, vol. xxxv (5927) 522 -42; Hammond, once the staple of the glass and pottery crafts. J. L. and B., The Rise of Modern Industry (3rd ed. BORIS STERN London 1927) ch. x; Warburton, W. H., The History of Trade Union Organisation in the North Stafford- See: POTTERY; INDUSTRIAL ARTS; HANDICRAFT; LO- shire Potteries (London 1931). CALIZATION OF INDUSTRY;INDUSTRIAL HAZARDS; CHILD, section On CHILD LABOR; TRADE UNIONS; SANITATION. GLASSON, ERNEST DESIRE (1839 -1907), French jurist. Glasson studied at Strasbourg Consult: Clark, Victor Selden, History of Manufac- tures in the United States, 1607 -1914, 3 vols. (newunder Aubry and Rau, the celebrated commen- ed. New York 1929); Keir, Malcolm, Manufacturing tators upon the French civil code. At the Uni- (New York 1928); Bastow, Henry, American Glassversity of Nancy he held the chair of Roman law Practice (Pittsburgh 192o); Riepen, Hans, Die deutsche and at the University of Paris that of civil pro- Tafelglasindustrie (Brunswick 1929); United States, cedure. His lectures were clear, full of life and Bureau of Foreign and Domestic Commerce, "The Glass and Allied Industries of Czechoslovakia" by interest; enriched by his knowledge of English C. S. Winans, Trade Information Bulletin, no. 47 procedure and of the services it had rendered Glass and Pottery Industries -Glossators 679 Napoleonic to the development ofsubstantial law in thatcentury before at the close of the country, he was able to make eventhe subject ofconflict. In the idea of production for use and of procedure attractive. At theÉcole Libre deswork for service he saw a changing basisof Sciences Politiques he also lectured on com-civilization. His disparaged prophecies of the parative legislation, and Taine came to hearhim.rise of the British Labour party were realized Glasson's two chief works are his Histoire duand at his death Premier MacDonald recognized droit et des institutions politiques, civiles etjudi-him as its outstanding interpreter in America. ciaires de l'Angleterre comparées au droit et auxUpon his return to the United States he dealt institutions de la France depuis leur origine jusqu'àwith economic, racial and religious cleavages nos jours (6 vols., Paris 1882-83) and Histoire du underlying the surface of post -war prosperity. droit et des institutions de la France (8 vols., ParisHe had previously had a hand in the inception of 1887 -1903). Other essays confirmed his repu-the American cooperative movement, the League tation, notably Étude historique sur la clameurfor Industrial Democracy and the Foreign Pol- de haro (Paris 1888). A truly encyclopaedicicy Association; now he did pioneer work in mind, Glasson contributed to the spread inworkers' education and in helping to formulate France of a taste for comparative studies and ofa miners' program fornationalizing the coal an interest in Anglo -Saxoninstitutions. He wasindustry. His personal contacts and his writings a great admirer of Britishtraditionalism and thehad creative influence because of the incandes- historic evolution of English law yet preferredcent simplicity with which he handledtruths the clear and systematic synthesis of legal cur-that men might take to heart and because of a rents which had formed French law.Althoughpoet's genius for crystallizing what they vaguely transcended by later publications his work stillstrive for. remains noteworthy. PAUL U. KELLOGG HENRI LÉVY -ULLMANN Consult: Gleason, Helen Hayes, The Book of Arthur Other important works: Étude sur Gallus (Paris 1867, Gleason (New York 1929). new ed. 1885);Étude sur les donations d cause de mort (Paris 187o); Le mariage civil et le divorce (Paris 1879, GLOSSATORS. The glossators were a famous 2nd ed. s880); Le code civil et la question ouvrière school of Italian jurists, whose creative work at (Paris 1886); La réforme de la procédure civile enBologna was done between the early part of the France (Paris 1887). twelfth and the middle of the thirteenth century. Consult: Morizot -Thibault, Charles, "Notice sur la During the early Middle Ages legal studies in vie et les oeuvres de M. Ernest Glasson" in Académie des Sciences Morales et Politiques, Séances et travaux, the west had never been completely abandoned n.s., vol. clxxii (x909) pt. ii, p. 1 -49. and gradually old schools were revivified and new schools established. Paviabecame the chief GLEASON, ARTHUR HUNTINGTONschool of Lombard law; while for the study of (1878- 1923), American publicist. After gradu- Roman law Ravenna and Bologna were the main ating from Yale, Gleason shared, notably as onecenters. Odofred, the Bolognese jurist, writes of the editors of Collier's Weekly, in the partthat the success of the school of Roman law at the American periodical was playing in the civicRavenna was due to its use of Justinian's law ferment of the times. He served in the Worldbooks and that at a later time Bologna's emi- War and for six years was close to the struggle,nence was equally caused by itspossession of writing first of the men in the trenches and thenthese manuscripts, which had been transferred of the peoples under the stress of war and re-thither from Ravenna. Other factors, such as its construction. The first of his three books oncentral geographical position in a region favor- England, Inside the British Isles (New Yorkable to the spirit of renaissance, its judicial and 1917), portrayed how a loosely united empirecommercial importance and its enjoyment of organized for conflict. The later volumes, Britishpolitical influences friendly to legal studies, also Labor and the War (with Paul U. Kellogg, Newfurthered the rise of Bologna as the most illustri- York 1919) and What the Workers Want (Newous of all the mediaeval Italianlaw schools; but York 1920), traced the new economic tendenciesthe chief cause was the genius, the scientific in the older English political idealism. The en-method and the achievement of its teachers, the tire trilogy interpreted the emergence ofBritishglossators. Assimilating and adapting the main labor in the midst of the World War in the lighttraditions of east and west in scholarship and of a workers' movement as significantfor de-education and at the same time combining these mocracy as was the rise of themiddle classes aelements with the aims and methods of the con- 68o Encyclopaedia of the Social Sciences temporary Renaissance movement, the glossa - As applied to the Digest and also to the other tors not only laid the foundations of a Europeanparts of the Justinianian codification the gloss legalscience but influenced the spread ofwas at first only a short interpretation or ex- Roman law in all the regions of Germanic andplanation of difficult single words in terms of an feudal custom. equivalent; this explanation was placed above The method of the gloss, or textual interpre-the word between the lines and was called an tation, followed by the Bolognese school ofinterlinear gloss. In the hands of the jurists the glossators, had already been employed in thegloss assumed, however, a second form, the study of Lombard and Roman legal texts. Themarginal gloss; for when the gloss was an ex- main achievement of the Bolognese glossatorsplanation of a passage, an entire lex or a legal was the application of this method for the first principle embodied in the text it was placed on time in history to the texts of the Justinianianthe margin. To each gloss, whether interlinear codification; the work of interpreting these textsor marginal, the jurist affixed his initials or some by the glossatorial method gave the school bothother mark of identity; and as the work of the its name and its unique position in the historyschool progressed the gloss became increasingly of legal science. elaborate and lost much of its original significa- When the school was in its beginnings theretion. The gloss not only embodied critical notes was special need of literal interpretation as aon the variant readings (variantia) of different means of arriving at a correct text of each onemanuscripts (literae), but in order to elucidate a of the several parts of Justinian's legislation, the particular point it brought together parallel Digest, Institutes, Codex and Novellae. Therepassages (loci paralleli); and when these pas- existed, for example, several texts or readings ofsages were in conflict (antinomia) it sought either the Digest known as literae; the manuscripts ofto reconcile them or to choose the preferable the Digest earlier than the famous Pisan manu-one. Becoming more and more the exposition of script or differing from it were called the Literathe results of the master's researches the gloss vetus (Litera communis, Litera antiqua). Thefinally developed into a genuine commentary Pisan manuscript itself was known as the Literawith all its proper appurtenances and variations. pisana, while a composite text, formed by a col-It not only took the forms of a summary lation of all the other texts for school use at(summa) and the stating of illustrative cases Bologna, was known to the glossators as the(casus) but it also became the deduction of a Litera vulgata. genuine maxim (brocardus) and the discussion of The glossators regarded the several portionsconcrete legal problems (quaestiones). of Justinian's codification as an entirety and The beginnings of the glossatorial school at treated these texts as forming with certain other Bologna date from the end of the eleventh or the legal sources, to be mentioned presently, thefirst years of the twelfth century. Although Corpus juris civilis. In studying manuscripts ofPepo, a Pisan jurist who had migrated to the Digest they employed a threefold division ofBologna, was the first of the glossators, the true its contents: the Digestum vetus to book xxiv,founder of the school was Irnerius(q.v.). title z; the Infortiatum from the Digestum vetusIrnerius combined in his teaching both theory to the end of book xxxviii; and the Digestum and practise and moreover covered in his glosses novum containing book xxxix to book 1 inclusive. the whole field of the Justinianian texts. He was They distributed the matters of the Corpus jurisfollowed by Bulgarus, Martinus, Jacobus and civilis into five volumes. In the first three vol-Hugo, the famous Four Doctors (q. v.), whose umes they placed the three parts of the Digestlabors constituted perhaps the most brilliant formed in the manner already explained and instage in the history of the school. Johannes Bas - the fourth volume the first nine of the twelve sianus and Rogerius were pupils of Bulgarus and books of the Codex. The fifth volume containedwere the teachers of Azo (q. v.) and Hugolinus. all the remaining portions of the Corpus jurisAzo rose into a position of the highest authority. civilis, some of which were Justinianian, namely, His Summae of the Institutes and the Codex the Institutes, the Novellae in Latin (Authenti-superseded all similar productions of the school. cum) and the remaining three books of theIn legal studies it was treated as being quite as Codex (Tres libri); and some of later date,essential as the text of the Corpus juris civilis namely, the text of the Lombard feudal lawitself, while in the realm of practise it acquired (Liber feudorum) and several laws of the emper-an equal fame. Azo's eminence was recognized ors Frederick I, Frederick a and Conrad. throughout Europe. Bracton has derived from Glossators 68i Azo's works some of those jurisprudential ideas hands of Accursius the work of the school meant which helped him in the writing of the greatestthat this scientific treatment of the Justinianian mediaeval treatise on the laws and customs oftexts had yielded place to the exigencies of the realm of England. Various other distin-thirteenth century practise. The time had come guished jurists belonged to the school of thefor the emergence of a new juristic method that glossators and contributed to the growing masswould give new life to the study of law and at the of its literary productions; among them weresame time, basing itself upon the requirements Placentinus, Vacarius (q. v.), Burgundio, Caro -of practise, take fully into account not only the lus of Tocco and Roffredus of Benevento. TheRoman law itself but also the manifold legal lastof the prominent glossators, Accursiusgrowths of the Middle Ages, such as feudal and (q. v.), is also the most famous of them all. Thetown laws and the ever growing body of canon- gloss of Accursius, which as the Accursiana orical law. At the very time when the Accursiana Ordinaria was distinguished from all the otherwas still in its ascendancy a new school of jurists glosses produced by the school, demands specialbegan slowly to displace the glossators. The rise notice. of the school of the commentators was in large At the time when the school had its begin-measure a reaction against the authority of the nings the intent of the glossators had been toAccursian gloss. Although they followeda base study and practise upon the texts of Jus-method essentially different from that of their tinian's codification as the primary and purepredecessors the commentators, or Bartolists, sources of the Roman law; and the gloss was re-based their work in part on the accumulated garded therefore as being merely an interpreta-learning to be found not only in the Accursiana tion and elucidation of them. During thebut also in the writings of the other great glossa - progress of the work of the school, however, this tors. During the latter part of the fifteenth original policy was largely displaced by theand in the sixteenth century when the Renais- growth of a vast glossatorial literature in whichsance jurists, such as Zasius and Cujas, came into the sources of the pure Justinianian law wereprominence they recognized the contribution increasingly adapted to the current practise ofwhich the glossators had made to an under- the courts. In the wealth of its details and evenstanding of the texts in the Corpus juris civilis; more in the variety of the juristic opinions which and although the legal humanists of the Renais- it embodied the accumulated glossatorial learn- sance epoch, studying the Roman texts in the ing of a century and a half became, however,light of philology and history, made notable confusing not only to practitioners and judgesadvances in the science of the pure Roman law, but also to students and teachers; they found ittheir work and also the work of later civilians difficult and often impossible to make their waywas based in many respects upon the pioneer through the complicated maze which genera-textual studies of the glossators. tions of scholars had established. What was Although the term glossators is applied pri- needed therefore was a comprehensive andmarily to the civilians, the work of the canonist orderly collection of glosses in which the whole glossators not less than that of the civilian school mass should be clarified by a master's hand; thisof Irnerius formed an important feature of the was the great achievement of Accursius. Therevival of juristic studies at Bologna and other Accursiana supplanted in the schools and in theItalian schools. The Italian school of glossators courts alike all the other glosses; and within thetherefore included, in its widest meaning, the province of jurisprudence it represented in factmagistri who glossed the several canonical texts. the whole meaning of the Bolognese school. TheAfter the appearance of Gratian's Decretum gloss of Accursius was held by the courts to be (c. 1139 -41) and Gregory ix's decretals in 1234 the law itself, a proof that the glossatorial schoolcanonists glossed these and the other texts that having accomplished its work was already inwere finally embodied in the Corpus juris Cano- process of decline; and a clear indication thatnici. Moreover, the canonist writings like the the pure Roman law had been displaced by acivilian gloss gradually expanded into several mediaeval civil law which although based on thedistinct types of legal literature, represented, for Roman embodied also other elements derivedexample, by the glossa ordinaria on each of the from the legal development of the centuries thatseveral texts, such as the Decretum, and by had passed since the time of Justinian. In thesystematic Summae. Thus the gloss of Johannes time of Irnerius the glossatorial school repre-Teutonicus, completed by Bartholomaeus Brixi- sented the science of the pure Roman law; in theensis, became the Glossa ordinaria decreti; while 682 Encyclopaedia of the Social Sciences the Glossa ordinaria on the decretals of Gregoryof Roman law by the glossators of the twelfth Ix was written by Bernardus Parmensis. and thirteenth centuries not only inspired the The writings of the civilian glossators, which reception in Europe as a whole but gave to covered the whole field of law, embodied manymany legal systems long before the close of the jurisprudential and political theories that have mediaeval era a marked and permanent Romanic had in all subsequent ages an important influ- character. The glossators were a vital legal force ence on thought. These theories, based partly onnot alone in their own time but also, through the Roman texts and partly on mediaeval sourcesthe widespread influence of their writings, in the of law, contained elements also of the originalages that followed. thought of the glossators themselves. Each one H. D. HAZELTINE of the principal theories, as, for example, those See: ROMAN LAW; CANON LAW; CORPUS JURIS in regard to the nature of law and justice, the CIVILIS;COMMENTATORS; FOUR DOCTORS; LEGAL relation of jus to aequitas and justitia, the mean- EDUCATION. ing of jus naturale, the source of political Consult: Savigny, F. C. von, Geschichte des römischen authority, and the relations between the ecclesi-Rechts im Mittelalter, 7 vols. (2nd ed. Heidelberg astical and secular powers, was the result of the 1834 -51) vols. iii -v; Fitting, Hermann, Die Anfänge study and reflection of successive generations of der Rechtsschule zu Bologna (Berlin 1888); Chiappelli, Luigi, Lo studio bolognese (Pistoia 1888); Hazeltine, civilian glossators. The civilians derived some ofH. D., "Roman and Canon Law in the Middle their ideas from the canonists, while the canon- Ages" in Cambridge Medieval History, vol. v (Cam- ists owed a heavy debt to the store of juridicalbridge, Eng. 5926) p. 729 -43; Association of Ameri- and political thought contained in the ever ex-can Law Schools, A General Survey of ... Conti- panding body of civilian glosses. Many theories,nental Legal History,Continental Legal History series, vol.i (Boston 1912) p. 128 -42; Pertile, A., based on Roman legal texts and then expandedStoria del diritto italiano, 6 vols. (2nd ed. Turin or modified by the glossators, were carried to a 1892 -1902) vol. ii,pt. ii, p. 35 -63; Ficker, Julius, further stage of elaboration by the canonists; Forschungen zur Reichs- und Rechtsgeschichte Italiens, while in later times through the commentators 4 vols. (Innsbruck 1868 -74) vol.iii,p.135-49; Krüger, Paul, Geschichte der Quellen und Litteratur and the jurists of the Renaissance these samedes römischen Rechts (2nd ed. Munich 1912) sects. 50- theories were frequently adaptedtomeet 53; Carlyle, R. W. and A. J., History of Mediaeval Po- changed conditions of legal and political life. Of litical Theory in the West, vol. i -v (Edinburgh 1903- this process in the development of doctrine the28) vol. ii. Consult also bibliographies following ar- Romano -canonical theory of the juristic person,ticles on individual glossators. the corporation, is a striking illustration. The revival of juristic studies in the schools ofGNEIST, RUDOLPH VON (1816 --95), Ger- northern Italy and southern France, but chieflyman jurist. Gneist belongs to the universal ju- at Bologna, was one of the momentous aspects ofrists of the nineteenth century. In his youth he that mediaeval revival of Latin culture, thewas very much influenced by Savigny and by lesser Renaissance, which culminated in Dante.the romantic school, from which he inherited By their intensive and scholarly study of thethe idea of the law as a living force and part of Justinianian texts the glossators effected a sal-the moral order of the universe. Gneist's career vage of one of the most essential elements ofas jurist, judge, administrator and political re- ancient Latin civilization; and their influence asformer was confined to Prussia. But through teachers of the Roman system of law spreadextensive travels in Italy, France, England and throughout Europe, leading to the establish-the United States he gained a profound insight ment of glossatorial schools in many countries,into the structure of foreign legal institutions. as, for example, at Oxford and Cambridge. ThisThis was particularly true of England, to whose cultural prestige of the Bolognese glossators in-constitutional history and government he de- fluenced the judges and legislators of Europeanvoted most of his chief works. Indeed, he prac- communities; and, in fact, it was the civiliantically rediscovered English political institutions glossators from Irnerius to Accursius, assistedfor the European continent; he investigated the by contemporary canonists who were glossingproblems of English administrative law before ecclesiastical texts based partly on Roman legalthere was any general awareness that such a conceptions, who set in motion that extensivebody of law existed in England. reception of Roman and canon law which so Together with the historical school, Gneist largely colors the legal history of Europe duringconceived law to be undergoing perpetual the later Middle Ages. The revival of the studychange. Since his main interest lay in reform Glossators-Gobineau 683 he became a legal publicist in every field, andSchiffer, Eugen, Rudolph von Gneist (Berlin 1929); his participation in politics and administration Smith, Munroe, A General View of European Legal made it possible for him to put his ideas as a History (New York 5927) p. 111, 215-55. moderate Prussian liberal into immediate action. Particularly in the field of Prussian administra-GOBINEAU, (JOSEPH) ARTHUR DE (1816 - tive reform his ideas were epoch making for the8z), French publicist. Born of old patrician stock, development of self -government and the build-Gobineau began his career as a royalist journal- ing of the constitutional state (Rechtsstaat). Byist. In 1849 he entered the diplomatic service, the constitutional state Gneist meant one inwhich took him to Berne, Athens, Rio de Ja- which the administration was duly subjected toneiro, Stockholm and Rome. His voluminous law and in particular judicial independenceworks, Les religions et les philosophies dans l'Asie maintained; thus he urged administrative courtscentrale (Paris 1865, 2nd ed. 1866) and Histoire which, while they should be integral parts ofdes perses (z vols., Paris 1869), in which his dis- the administration, should nevertheless be en-covery of Babism was of particular significance, tirely independent, at least in the higher in-were a product of his travels in the Orient. He stances. By self -government Gneist meant theattempted a history of civilization in the form old English form of government under which of exotic novels and in dramas such as his popu- the business of administration was dischargedlar work La renaissance (Paris 1877; tr. by P. V. by local honorary officeholders. But this "self -Cohn, New York 1913). His chief opus, how- government" was not local government because ever, is the Essai sur l'inégalité des races humaines it was integrated in a central administration(4 vols., Paris 1853-55; 2nd ed., 2 vols., Paris under the supremacy of Parliament. The failure1884; bk. i tr. by Adrian Collins, London 1915), to achieve this integration was Gneist's explana-which he acknowledged to have been written tion of the failure of parliamentary governmentfrom the point of view of a conservative Catholic upon the continent. Gneist held the life of theas a polemic against the democratic sentiment state to depend upon the personal service of itsthen surging in Europe. Because of the Ger- citizens. Only thus could a bridge be thrown manophilia of its author the book at first received from the state to society, which Gneist, likelittle attention in France; it was through the Lorenz von Stein and under the influence of thecircle of Richard Wagner in Bayreuth that its Hegelian philosophy of history, saw in unrelax-theory of the decadence of Teutonism became ing tension. popular. His race theory was then readily taken up by the nationalists, who found in it a justifi- ERNST VON HIPPEL cation of the French nobility against the Third Important works: Die Bildung der Geschworenenge- Republic. Gobineau regarded racial intermix- richte in Deutschland (Berlin 1849); Das heutige eng- lische Verfassungs- und Verwaltungsrecht, z vols. (Ber- ture as harmful and he interpreted the passing lin 1857 -63), 3rd ed. of vol. i separately published as of the old families and the rise of the middle Das englische Verwaltungsrecht der Gegenwart in Ver-class and proletarian strata as auguring deca- gleichung mit den deutschen Verwaltungssystemen, 2 dence. He considered the culture of the white vols. (Berlin 1883-84), 3rd ed. of vol.ii as Self - races and especially that of the Teutons as supe- government; Kommunalverfassung und Verwaltungs- rior to that of the other races and ascribed their gerichte in England (Berlin 1871); Der Rechtsstaat und die Verwaltungsgerichte in Deutschland (Berlin 1872,culture to outward manifestations of superior 2nd ed. 1879); Englische Verfassungsgeschichte (Berlin innate tendencies. He attempted to disprove the 1882), tr. by P. A. Ashworth, 2 vols. (2nd ed. Londonidea that the lower races could ever reach a 1889); Das englische Parlament in tausendjährigen higher level of civilization by maintaining that Wandlungen vom g. bis zum Ende des zg. Jahrhundertscivilizations are incommunicable and that every (Berlin 1886), tr. by A. H. Keane (4th ed. London 1895). race creates a civilization of its own without any outside contact and influence. He found justifi- Consult: Walcker, Karl, Rudolf von Gneist, Deutsche Denker, vol. i (Berlin 1888); Gierke, Otto von, Rudolf cation for Aryan superiority in ancient Greece von Gneist: Gedächtnisrede (Berlin 1896); Bornhak, and claimed that European history began only Conrad, in Archiv des öffentlichen Rechts, vol. xiwith the Teutonic invasion. He encouraged the (1895 -96) i -xix; Hatscheck, Julius, in Allgemeinecult of ancestor worship as a device by which deutsche Biographie, vol. xlix ( Leipsic 1904) P. 403-13; nations can succeed in preserving their racial Stintzing, R. von, and Landsberg, E., Geschichte der deutschen Rechtswissenschaft, 3 vols. (Munich s 88o-purity and thus rule the world. Gobineau's the- 191o) vol. iii, pt. ii, p. 963 -75; Redlich, Josef, Englischeories have been revived and elaborated by Hous- Lokalverwaltung (Leipsic 1901) P. 743 -96, 806 -23; ton Stewart Chamberlain in Germany and by 684 Encyclopaedia of the Social Sciences other proponents of Nordic superiority in the development he used the comparative method. United States. Although he defended this method he recognized GOTTFRIED SALOMON its defects and insisted that final conclusions can Consult: Schemann, Ludwig, Gobineau, 2 vols. (Stras- be safely made only after considering the findings bourg 1913 -16); Seillière, E., La philosophie de l'im- of all auxiliary sciences -prehistory, ethnogra- périalisme, 4 vols. (Paris 1903 -08) vol. i; Dufréchou, phy, history, folklore, philology, archaeology, A., Gobineau (Paris 1909); Dreyfus, Robert, La vie et psychology and sociology. Like all scholars in les prophéties du comte de Gobineau (Paris1905); this early phase of the science he defined religion Kretzer,E.,Comte de Gobineau (Leipsic1902); Friedrich, Fritz, Etudes sur Gobineau (Leipsic 1906); in terms of relation to the supernatural. His Hib- Spiess, Camille, Impérialismes (Paris 1917); Hertz,bert lectures of 1891 are a good illustration of F. O., Rasse und Kultur (3rd ed. Leipsic 1925), tr. by his method. A. S. Levetus and W. Entz (New York 1928) p. 159- He made his scholarly researches the basis of 62; Sorokin, Pitirim A., Contemporary Sociological Theories (New York 1928) p. 222 -29; Hankins, Frank a public religious policy. He urged tolerance, H., The Racial Basis of Civilization (New York 1926) sympathy and understanding among representa- ch. iii; Hone, J. M., "Count Arthur of Gobineau:tives of all religions and cultures and to this end Race Mystic" in Contemporary Review, vol. civ (1913) advocated the extension of the teaching of the 94 -103. history of religions throughout the public edu- cational system. He served a number of terms GOBLET D'ALVIELLA, EUGÈNE FELI- in the Belgian parliament and from 2892 to 1894 CIEN ALBERT, COMTE (1846- 1925), Belgian was the liberal leader in the Senate. historian and sociologist of religion. Goblet was In 1871 he had won the prize of the Société born in Brussels, the son of a general and poli-des Amis de la Paix of Paris for his essay on tician, and took doctorates in law and politicaldisarmament. During the World War he con- science at the University of Brussels. He fre-ducted an active propaganda to enlist pacifists quently contributed to a score of journals, par-into the patriotic cause on the ground that a ticularly the Revue des deux mondes and thedecisive Entente victory was the only way to Revue de l'histoire des religions, and from 1874 achieve a lasting peace, and he served in the to 1890 collaborated with the editors of the Re-wartime cabinet. vue de Belgique. He was a member of numerous A. EUSTACE HAYDON scientific bodies; in 1894 he became professor Important works: L'évolution religieuse contemporaine and from 1896 to 1898 was rector of the Univer-chez les Anglais, les Américains et les Hindous (Paris sity of Brussels. 1884), tr. by J. Moden (London 1885); Introduction When Goblet offered his first course at the dl'histoire général des religions (Brussels 1887); Histoire University of Brussels only four chairs in Euro- religieuse du feu (Verviers 1887); L'idée de Dieu d'après pean universities were devoted to the scientific l'anthropologie et l'histoire (Brussels 1892), tr. by P. H. study of religions. The new discipline was en- Wicksteed as Lectures on the Origin and Growth of the Conception of God as Illustrated by Anthropology and countering determined opposition not only from History, Hibbert Lectures, 1891 (London 1892, 2nd church leaders and proclerical politicians but ed. 1897); La migration des symboles (Paris 1891), also from historians and philologists, who dis- English translation (London 1894); Croyances, rites, puted its claim to be a science. Goblet insisted institutions, 3 vols. (Paris 1911); Désarmer ou déchoir, that all facts of religious experience are data for essai sur les relations internationales (Brussels 1872); science and that the origin and development of Le vrai et le faux pacifisme (Paris 1917), English trans- lation (London 1917). religions may be studied without accounting for supposed supernatural influences. He divided the science of religion into hierography, the his-GODEFROY, DENIS and JACQUES, jurists. tory of religions; hierology, the psychology ofDenis Godefroy (1549 -1622) was a Huguenot origins and development; and hierosophy, thejurist who in 158o fled from France to Geneva, philosophy of religion. He was especially inter- where he became a professor of law. After a short ested in hierology. At first he supported Tylor'sunhappy venture into practical affairs as bailiff of animistic theory of the origin of religion but several villages he spent the rest of his life as pro- later, confronted by the complex data of earlyfessor of law at Strasbourg and Heidelberg. He religions and influenced by C. P. Tiele andwas also an editor and commentator of ancient Albert Réville, he enlarged the meaning of ani-texts. His edition of the Corpus iuris Civilis (2 mism to include necrolatry, spiritism and natur-vols., Lyons 1583; best ed. Elzevir, 2 vols., Am- ism. In seeking to formulate a law of religioussterdam 1663) was the first to present Justinian's Gobineau-Godkin 685 law books as a complete typographical entitylanstères. When, after the unsuccessful Revolu- in the modern form and under theirpropertion of 1848, Victor Considérant appealed for name. It displaced the old vulgate text, and ifmeans to found a Fourierist colony in Texas, his commentary did not attain the authority ofGodin gave roo,000 francs. In 1859 Godin the Accursian Gloss it was nevertheless highlyfounded a familistère for I200 persons in Guise serviceable for the next two centuries. Denis (Aisne), which was finished in 1877. In 1882 and was neither a great textual critic nor a great1883 he constructed two similar buildings for interpreter, but he was extraordinarily indus-boo persons, each equipped with a cooperative trious in garnering the fruits of the humaniststore, children's nursery, school, hospital, dis- school, then rapidly declining, and he displayedpensary and theater. Health insurance and pen- in addition a keensense of the practicalsion schemes were provided. Later Godin intro- book. duced profit sharing and in 188o concludeda His son Jacques (1587 -1652), a faithful Cal-contract admitting the workers to full partner- vinist, remained in Geneva. He was appointedship in what is today a fully cooperativepro- professor of law in 1619 and became a leadingductive society with the largest output ofovens citizen, serving four times as syndic. Jacques'and enamel vessels in France. fame rests on a work similar to his father's, his Godin was unsuccessful candidate for the posthumously published Codex theodosianus (6Constituent Assembly in 1848, became deputy vols., Lyons 1665; improved ed. by J. D. Ritter,in 1871, worked for legislation for the protection 5 vols., Leipsic 1736 -43). This work, however,of women and children and wrote in support of is a masterpiece of historical and legal scholar-trade unions. Just before his death he began to ship, which places its author second only topublisha monthly magazine Devoir, con- Cujas. His text has been superseded, but histinued by his widow. commentary is still indispensable for the study of the Roman Empire from the third to the V. TOTOMIANZ sixth century. Although perhaps not a very Important works: Le gouvernement, ce qu'il a été,ce qu'il doit être (Paris 1883); Mutualité sociale etasso- great jurist he was one of those astounding men ciation du capital et du travail (znd ed. Paris 1891), of universal learning whom his period produced.tr. by L. Bristol as The Association of Capital with Through thirty years of effort he marshaled all Labor (New York 1881); La richesse au service du available knowledge of antiquity for the eluci-peuple (Paris 1874); Solutions sociales (Paris x871), tr. by Marie Howland (New York 1886). dation of the Theodosian code. His other works, which deal with ancient literature, law, history Consult: Axhausen, G., Utopie und Realismus im Be- triebsrätegedanken(Berlin192o); Honnegger, H., and all branches of theology, are negligible in Godin und das Familistère von Guise, Züricher volks- comparison. He left his mark upon the recon-wirtschaftliche Studien, n.s., vol. vi (Zurich 1919); struction of the Twelve Tables. Among hisPrudhommeaux, D. F., Le familistère illustré (Paris other important juristic works are Opera iuridica 1900), tr. by A. Williams as Twenty -Eight Years of Co- partnership at Guise (2nd ed. London 1908); Asch, minora (ed. by C. H. Trotz, Leyden 1733; new Käte, Die Lehre Charles Fouriers (Jena 1914) pt. ed. Paris 1806) and Manuale iuris (Geneva v. 1654). GODKIN, EDWIN LAWRENCE (1831- F. DE ZULUETA 1902), American editor. Godkin was born in Consult: Stintzing, R. von, and Landsberg, E., Ge- Ireland and educated at Belfast in the Mill- schichtederdeutschenRechtswissenschaft, 3vols. (Munich 1880 -191o) vol. i, p. 208 -09, 384-89, vol. Bentham -Grote tradition. In 1856 hecame to iii, pt. i, p. 231 -3z; Godefroy Ménilglaise, D. C. de, the United States seeking a societysympa- Les savants Godefroy (Paris 1873). thetic to liberalism and the ambitions of a youth without powerful connections. He refuseda GODIN, JEAN BAPTISTE ANDRÉ (1817-partnership in the New York Times, in 1865 88), French social reformer. From his eleventhfounded the Nation, an independentnews to his seventeenth year Godin worked in hisweekly whose incisive editorials and scholarly father's blacksmith shop. Later he became a suc-criticism soon made it a national influence, and cessful manufacturer of improved heating appa-in 1883 became editor of the New York Evening ratus, invented and patented a new method ofPost. Neither paper won substantial circulation, enameling cast iron and became wealthy. Aboutbut both always powerfully affected informed 1842 he became acquainted with the ideas ofupper class sentiment. Godkin's writing re- Fourier and was inspired with the idea of pro- flectedhis superior education, acquaintance ductive cooperation on the model of the pha-with the more mature institutions of British 686 Encyclopaedia of the Social Sciences life and a penetrating mind. He attacked thetion of method that are his own. He conceived abuses of reconstruction, corruption under boththe book chiefly as an answer to Montesquieu Grant and Tammany, did pioneer work forand incidentally to Burke, and one may call it tariff, civil service, municipal and election re-the prolegomenon to all future progress. It is an form and was a leader in the independent move-argument for the perfectibility of the human ment which helped elect Cleveland. He advo-species, a refutation of contradictory theories cated free trade, colonial autonomy, world peaceand an examination of the social and political and the exclusion of government from businessconditions conducive to this perfection. Starting and industrial spheres. In all this he echoed thefrom an impressionist and individualist psychol- political and economic philosophy of the Man- ogy he proves to his own satisfaction that educa- chester liberals. The rise of agrarian and pro-tion (i.e. social environment) and not climate or letarian movements he viewed with contemptinnate ideas is the sovereign factor in the forma- as signs of democratic decay. In opposing cheaption of character, and reason the guide of con- money, railroad rate legislation and attacks onduct. Vice is error and will yield to persuasion. the use of injunctions against organized laborThe chief condition of progress is the elimina- his usually precise, dignified editorials becametion of the "positive institutions" (priestcraft, violently vituperative. The jingoism of the aristocracy and coercive legislation) which dwarf Spanish American War found him again on and poison the mind. Violence is to be avoided the liberalside, denouncing the imperialistas an offense against reason. His ideal society is wave which he feared would submerge democ-complete anarchism, but he regretfully tolerates racy and wipe out civilization. A thoroughgoingin the transitional period a loosely knit laissez supporter of the rights of capital and withfaire democracy, which would federate self - strong class feeling, he looked to an intellectualgoverning parishes. Intensely equalitarian, he élite to mold and perfect the social order.Thepermits property only that it may be given away. development of imperialism and radicalism im-A communist, however, he was not, for he dis- paired his faith in democratic ideals and inliked cooperation hardly less than government. 1899 he retired, returning to the English aris-In this book he carries the obligation of "uni- tocratic society he had repudiated as a youth.versal benevolence" so far as to disrupt the ALLAN NEVINS family altogether, although he afterward modi- Works: Reflections and Comments 1865 -1895 (New fied the doctrine. In his final picture of perfec- York 1895); Problems of Modern Democracy (Newtion man has vanquished death and even sleep. York 1896, 3rd ed. 1903); Unforeseen Tendencies of History in these speculations is naïvely distorted Democracy (Boston 1898). and economics forgotten. The book enjoyed a Consult: Life and Letters of Edwin Lawrence Godkin, brief popularity and a rather longer influence, ed. by Rollo Ogden, 2 vols. (New York 5907); which may be traced throughout Shelley 's poems Nevins, Allan, The Evening Post: a Century of Jour- nalism (New York 1922); Farrington, Vernon L.,and even in the early work of Coleridge and Main Currents in American Thought, 3 vols. (NewWordsworth. It is the ablest reflection in the York 1927 -3o) vol. iii; Bleyer, W. G., Main Currents English language of the intellectual ferment of in the History of American Journalism (Boston 1927). the French Revolution, while the honesty of its reasoning, aided by total lack of humor, exposes GODWIN, MARY WOLLSTONECRAFT. the fallacy of its individualist starting point. See WOLLSTONECRAFT, MARY. Godwin wrote indefatigably; but of his many essays, novels, histories and schoolbooks only GODWIN, WILLIAM (5756 -5836), EnglishCaleb Williams (3 vols., London 1794), a ro- political philosopher. Godwin, the husband ofmantic novel with a social purpose, deserves to Mary Wollstonecraft and the father of Marybe remembered. Shelley, filled in his own generation a place of H. N. BRAILSFORD the first importance as the interpreter to England Consult: Brown, Ford K., The Life of William Godwin of the French encyclopédistes. Trained as a min- (London 1926); Brailsford, H. N., Shelley, Godwin ister in the rigid Calvinist tradition, he retained and Their Circle (London 1913); The Life of Thomas its love of logic and system. His chief work, the Holcroft, ed. by E. Colby, 2 vols. (London 5925). Enquiry concerning Political Justice (2 vols., Lon- don 1793; znd ed. 1796), develops the thought GOETHE, JOHANN WOLFGANG (1749- of the prerevolutionary school, especially of Hel - 1832). Famous as the author of a historical drama vetius, with an unflinching logic and an elabora- (Götz von Berlichingen, 1773) and of a novel (Die Godkin- Gök Alp 687 Leiden des jungen Werthers, 1774), Goethe washeld in a state of equilibriumby the polar ten- hailed at an early age as the leader ofan awak-sion between creative freedom ened youth, for whom the ideas of and the operation Rousseauof eternal law. From thisconception Goethe had pointed the way to a cultural revolution.In derives a twofold ideal of life: theaesthetically 1775 he was summoned by the young duke ofperfect man who achieves Weimar to his court and was an energetic and har- soon burdened withmonious reconciliation of the official duties. After tenyears of this irksome life antinomies of life; and the Faustlikeman who eternally strives for Goethe escaped to Italy, where the radiationofthis adjustment but eternally new influences and scenes brought him to matu- questions it, since struggle itself and the perpetualstriving for an rity. Upon his return to Weimar in 1788 heas- ever higher form of satisfaction become for sumed the management of the court theater him andthe most compelling ideal.Thus Goethe is the of the educational system of the duchy.Underfirst poetic herald of the stimulus of his intellectual comradeship a philosophy of all em- withbracing reverence inmany ways opposed to Schiller between 1794 and 1805 his trendtoward Christianity; his Faust has beencalled the Bible classicism, first clearly manifested during hisso- of modern man. journ in Italy, was completed and hispoetry, no longer the impetuous outpourings of theSturm HERMANN A. KORFF and Drang, came to reveal the classicharmony Works: Among thenumerous collections of Goethe's which is the mark of the mature Goethe. Tothecomplete works, a standard editionis that published period of his ripened powers belong the stylis-at Weimar (50 vols., 1887 -1912). Othersof recent date are the jubilee edition by E. tically perfect dramas, Iphigenie auf Tauris (1787) von der Hellen (4o vols., Stuttgart 1902 -12) and thePropyläen edition and Torquato Tasso (179o); the novel,Wilhelm (48 vols., Munich 1909 -31). Englishtranslations of Meisters Lehrjahre (4 vols., 1795 -96); the idyllmost of the works are found in the BohnStandard of middle class life, Hermann andDorothea Library (14 vols., London 1848 -90);a standard trans- lation of Faust is that by Bayard (1798); and the first part of his great lifework, Taylor (z vols., Faust (1808). Goethe remained in Weimar until Boston 1871 -73). his death. At first worshiped by the Consult: Bielschowsky, A., Goethe, seinLeben und seine romantic Werke, z vols. (new ed. by W. Linden, youth of Germany and later attacked forhis Munich 1928), tr. by W. A. Cooper, 3 vols. (New York1905 -08); admittedly reactionary and quietistic tendencies, Korff, H. A., Geist der Goethezeit, vols.i -ii (Leipsic he assumed ever more majestic proportionsas 5923-30); Kühnemann, E., Goethe,z vols. (Leipsic the cultural leader of Germany. In the lastpe- 1930); Simmel, Georg, Goethe (Leipsic1913); Bran- riod of his life he engaged in painstaking des, Georg, Wolfgang Goethe (anded. Copenhagen re- 1915), tr. by A. W. Porterfield, searches in many branches of natural science, z vols. (New York 1924); Gundelfinger, F., Goethe (11th ed.Berlin 1922); while continuing his activityas a poet. The Francke, Kuno, A History of GermanLiterature as works of this period include the novel Die Wahl- Determined by Social Forces (4th ed. NewYork 191s); verwandtschaften (1809); Dichtung and Wahrheit Hettner, H., Literaturgeschichte des achtzehntenJahr- hunderts, 3 vols. (5th ed. Brunswick 1894-1909)vol. (4 vols., 1811 -33), an autobiography treating iii;Steinmetz, F. F., Die pädagogischen Grundge- the period prior to his summonsto Weimar; danken in Goethes Werken (Freienwalde 1910). West -östlicher Divan (1819), a lyricalpoem; Wil- helm Meisters Wanderjahre (pt. i, 1821),a con- GÖK ALP, ZIYA (1875- 1924), tinuation of the story of Wilhelm Meister's Turkish nation- alist and sociologist. Froman early age Gök Alp apprenticeship; and the second part of Faust,was interested in Turkish revolutionary activi- published only after his death. ties. After 1908 he achieved prominenceas one Goethe is the most profound and universal of of the outstanding figures in theYoung Turk Germany's poets. His imagination draws its sus- party and as a journalist in the nationalistcause. tenance from an immediate intuition of life; it isHe was associated with and restrained less by the intellect than by wrote prolifically for an innatethe leading reviews, including TürkYurtu, Yeni standard of beauty. Ideologically Goethe'spoet-Mecmua and K4-file Mecmua. In ry is significant in that it represents the first 1912 he ac- cepted the chair of sociology whichwas estab- fully conscious embodiment of the moderncon- lished for him at the University ofIstanbul. He ception of the individual's relation to the world. was a delegate to the National Assembly in1923 His Weltanschauung may be describedas naturaland a member of its Committeeon Public In- idealism. It rests upon an idealistic faith inna-struction. ture conceived pantheistically as a living all - Gök Alp was the theorist of thenationalist oneness perpetually striving toward reason andmovement and as a writer and teacher dida great 688 Encyclopaedia of the Social Sciences deal to prepare the intellectual ground for theleges and in 1885 became a professor at Fergus - recent social reforms in Turkey. His weeklyson College in Poona, where he taught mathemat- Genç Kalemler (Young pens) published shortlyics, history and economics. In 1902 he resigned after the Young Turk revolution and his collec-in order to devote himself entirely to politics - tion of poems called Kizil Elma (Red apple)he had already been active in the Indian National (Istanbul 1914) offered the Turkish people forCongress and had been elected to the Bombay the first time a sociological approach to theirLegislative Council in 5900 and again in 1901. problems and their destiny as a nation and at-In 1902 he was nominated to the Viceregal Coun- tracted attention to the early history of the cil, where he opposed Lord Curzon's educational Turks in central Asia. Then came "Eski Turk -policy and became known as a severe critic of lerde, Içtimaî Teskilât" (in Milli tetebbü`lerIndian government finance, of which he had Mecmua -si, no. iii, 1912, p. 385-456), an articlemade a special study. In 1905 he was chosen dealing with the social life of the early Turkish president of the National Congress, a selection tribes. At his death Gök Alp left the completedwhich marked a victory of the moderates over manuscript of Türk Tarih -i Medeniyeti, a history the extremists. He was the leading figure in the of Turkish civilization. His program for national new Indian councils established in 1909 by Lord unity and reform was epitomized in the sloganMinto and during the viceroyalty of the latter "Turkify, Islamize and Modernize," which was was continually consulted by John Morley, the the title of his leading group of articles on Turk- secretary of state for India. ish nationalism (in Türk Yurtu, nos. r 1, 13, 15, Gokhale was the founder and leading spirit 17, and 23). Subsequently he published Türk -of the Servants of India Society, established in cülüyen Islave (The principles of Turkish nation- 1905. The society, which stood for complete re- alism, Angora 1924). ligious toleration, was composed of both Hindus Gök Alp popularized western sociology inand Mohammedans of the highest ability. The Turkey. He was inclined toward the teachings ofmembers were expected to surrender all personal Émile Durkheim, whose work on the sociologicalambition, ignore caste distinctions and dedicate method (Les règles de la méthode sociologique,themselves to the service of their country in Paris 1895) became, through Gök Alp's politicalsocial as well as political work. The purpose of prestige, a sort of Bible for Young Turk think-the society was to train national missionaries to ers. He himself analyzed existing Ottoman andwork for the unification and self -government of Mohammedan institutions in the light of theIndia within the British Empire. Social reform sociological method and presented as the idealand education were to be the first steps toward the old Turkish institutions modified to conformthe realization of this plan, for, according to with the modern technical achievements of theGokhale, they were the necessary concomitants West. of political freedom. The specific program of the His most extreme ideas were expressed onlysociety included the promotion of free compul- to his immediate followers. Some of his radicalsory education and of cooperative enterprises, ideas, such as those against veiling, polygamythe elevation of women's position and social and theocracy, were embodied in pamphlets and service and relief work. The society was an influ- published anonymously, while others appearedential factor in the early development of Indian in magazine articles and in his various books. Innationalism. all of these works he tried to give the Turkish In 1912 Gokhale paid a memorable visit to nation an appreciation of its past as well as aSouth Africa in order to obtain redress for the realization of its present and future problems. Indian agricultural laborers who had been sent AHMET EMIN there under indenture. His strong and reasoned Consult: Deny, J., "Zia Goek Alp" in Revue du monde opposition to the Indian indenture system first musulman, vol. lxi (5925) I -41; Rossi, Ettore, "Unoattracted public attention to its social and moral scrittore turco contemporaneo: Ziya Gök Alp" in evils. He worked on the Royal Commission on Oriente moderno, vol. iv (1924) 574 -95; Hartmann, Public Services in India from 1912 to 1915, and Martin, "Aus der neueren osmanischen Dichtung u" in University of Berlin, Seminar für orientalischeduring those years he also devoted much of his Sprachen, Mitteilungen, vol. xx, pt. ii (1917) 86 -149. time to championing further the cause of the Indians in South Africa, where the color bar had GOKHALE, GOPAL KRISHNA (1866- 1915),brought with it social injustice of a deplorable Hindu nationalist and social reformer. Gokhalecharacter. Gokhale's speeches and writings have was educated at the Elphinstone and Deccan col-been published under the title The Speeches of Gök Alp-Gold 689 the Honorable Mr. G. K. Gokhale (Madras 1908, output became insignificant as compared with 3rd ed. 1920). the American yield of precious metals. In fact, C. F. ANDREWS Charles v suspended the working of Spanish Consult: Bannerjea, D. N., India's Nation Builders mines in 1535 in order to dispatch miners to the (London x919) p. 146 -63; Fisher, F. B., India's Silent New World. In the sixteenth century gold was Revolution (New York 1919) p. 87-91. also won in Africa on the Gold Coast, in Rho- desia, Madagascar and Abyssinia. GOLD is a brilliant, malleable, ductile metal; its A reasonably reliable record of the world's density is greater than that of all common metalsgold output dates only from the end of the fif- except platinum, but it is too soft to be usedteenth century. As may be seen from Table t without alloy. Native gold occurs chiefly in twoonly 15 percent of the quantity won since then forms: lodes associated with quartz or otherwas obtained before 1850. While in 1847 the non -metallic minerals; and placers, or alluvia,world's output was about $29,000,000, it reached derived from lodes by the erosive action of water. $150,000,000 in 1853 following the Californian Alluvial gold when not buried under hard layers and Australian gold discoveries. As gold was of lava is clearly recognizable and easily obtain-then derived mostly from alluvia, the output able at or near the surface; placers worked withdwindled to $95,000,000 by 1883; of this $8o; crude tools thus afforded the earliest sources of000,000 was obtained from the United States, gold supply. Gold in lodes is not chemicallyAustralia and Russia alone. The subsequent rise associated with other minerals; the ore must be of output was caused mainly by the discoveries merely dug from the lode and crushed or milledin the Rand district of the Transvaal, although to a size permitting recovery through amalga- the discovery of the Klondike -Yukon alluvia in mation with mercury or by the cyanide process. 1896 and of the Ontario lodes in 1907 were of Gold may also be found in chemical combina-material help. Considerable assistance was also tions with sulphur, tellurium and the like; suchrendered by technological improvements, such refractory ores were the last to be worked, butas the invention of the cyanide process, which an appreciable proportion of the present outputis more efficient than mercury amalgamation is derived from them. In recent times gold has and permits of the recovery of chemically bound been largely derived from the so- called banket,gold, the development of drift mining in alluvial or sedimentary formation, occurring in the Rand. soils located under heavy crusts of lava and the Gold has been mined from very early times.adoption of dredges in working large low grade Ancient civilizations derived their gold fromalluvial deposits. Apart from the setback from Armenian deposits, mentioned by Strabo; from 1899 to 1902 caused by the Boer War gold pro - Chaldean lodes and placers; from the severalduction advanced after 1885 almost without a mining centers of Asia Minor, well known in thebreak to $470,000,000 in 1915; it declined after fifth century B.c.; from the equally celebratedthat to a new low point of $319,000,000 in 1922, mines of Macedonia and Thasos, visited andlargely because of the white miners' strike in the described by Herodotus; and from EgyptianRand, from which it rose to over $400,000,000 lodes found in the mountain ranges between thein 1928, 1929 and 1930. It is significant that Nile and the Red Sea. At the beginning of theover a half of the gold won since 1493 was ob- Christian era Egyptian mines, although failing, tained in the first thirty years of the present were reputed to produce about 750,000 ouncescentury. annually. It is also reported that in Spain during TABLE I the three centuries of Roman occupation 320; WORLD GOLD OUTPUT 000 ounces were won annually. In late antiquity, (In $I,000,000) however, the mines worked by primitive meth- AVERAGE ods were exhausted, the accumulated stocks of TOTAL ANNUAL gold were dispersed and gold ceased to function YEARS OUTPUT OUTPUT 1493 -1600 502 4.65 as a circulating medium. The scattering of gold 160I -1700 6o6 6.o6 stocks continued through the Middle Ages, so 1701 -1800 1,263 I2.62 that by the thirteenth century the visible gold 18o I -1850 787 15.74 supply of Europe probably did not exceed 3; 1851 -1885 4,242 121.2I 750,000 ounces. In the thirteenth century the 1886 -1900 2,666 177.71 1901 -193o '1,862 active working of mines was resumed, but after 395.40 Source: Compiled fromthe Annual Reports of the Director of Columbus' visit to America the European gold the United States Mint. 690 Encyclopaedia of the Social Sciences The most important gold field in the worldto 1914. In 1915 American mines had a record has been and remains the Rand district in theoutput of $101,000,000, a peak from which pro- Transvaal, an area some fifty miles long by aduction declined to about $42,000,000 in 193o. few miles wide surrounding the city of Johannes- Of the twenty -five principal producers in 1927 burg. During its relatively short life it has con-six suspended operations by the beginning of tributed almost a quarter of the world's gold1930. In Australasia the output reached an early won since 1493, and in the post -war years itmaximum two years after the discovery of gold has been the source of over a half of the worldin the eastern part of the continent. Another output. The older portion of the Rand reachedpeak was attained fifty years later in 1903, after a peak output of $156,000,000 in 1912, sincegold had been found in western Australia, the which time it has declined by about one third;source of the greater part of present production; but the newer portion is still expanding, thusbut the decline which set in then still continues. accounting for a continued increase of the totalRussia was the chief gold producer in the first Rand production. Because work has to be con-half of the nineteenth century. In 1741 gold was ducted at an increasing depth, the present costdiscovered in the Ural Mountains and in 1829 of opening a new mine is in the neighborhoodrich placers were found in Siberia; of these the of $9,000,000 and the time required is from sixLena gold field is the largest reservoir of alluvial to seven years. For this reason new mines aregold in the world. Output which had been in- infrequent, but old companies continue to addcreasing until 1910 has declined since but has to their areas worked and increase their millingpicked up in recent years with the restoration of capacity. Although since 1913 twenty -sevenpolitical tranquillity. In Canada gold was dis- mines in the old Rand ceased operations andcovered in 1823, but its output was insignificant only seven new mines in the new Rand beganuntil more important deposits were found in production, the total output may be expected to1855. Later history comprises the Klondike increase for perhaps another five years, but after boom and the discovery of the Ontario lode, that a decline seems to be inevitable. which at present accounts for over 85 percent of the Canadian output. Production has been on TABLE II the increase since 1909 and may be expected to OUTPUT OF THE PRINCIPAL GOLD FIELDS expand in the future. Although the past increase in the production PERCENTAGE CONTRI- YEAR'S of gold has been phenomenal, there is reason to BUTION TO WORLD RECORD OUTPUT OUTPUT believe that, unless there is some outstanding COUNTRY new discovery, 1915 will prove to have seen the BEGIN-TOTAL IN OUTPUT zenith. Within the next ten years a shortage of NING TO END1919- YEAR (IN WITH OF 1930 $1,000, - gold, which has in the past caused recurrent 1930 000) apprehensions, may be expected to materialize. Transvaal 1884 23.651.0 1930 222 Apart from the Transvaal the world gold output United States 1846 20.9 12.71915 I0 Australasia 1851 16.1 4.41903 90 declined from $282,000,000 in 1915 to $184, - Russia 1814 8.6 3.6 1910 35 000,000 in 1930. The Transvaal production is Canada 1858 3.5 8.1 193o 44 represented to the extent of 98 percent by the Mexico 1521 3.4 4.0 1910 25 Rand, whose decline may be anticipated to begin India 1889 1.6 1912 I2 in 1935 or 1936. The Rand is really a unique Rhodesia 1900 I.6 1915 19 West Africa 1903 o.8 1914 8 phenomenon; no other single gold field has as Source: Compiled by author from official data. yet added more than some $25,000,000 to the annual output and the probability of finding The United States ranked in the twentiethanother Rand is small, even though there was century as the second gold producing countryonce some sign of it on the Gold Coast, where in the world until Canada surpassed it in 1930.banket also exists. While the Canadian output Its output became really important with theis certain to increase and the production of Rus- California gold rush of 1848. In 1883 after thesia and Mexico may possibly be larger than in decline of the California output its productionthe past decade, their contribution to the world was approximately $30,000,000. In the follow-output is not so great as to affect its trend ap- ing thirty years production increased, reachingpreciably. There is still room for technological about $88,000,000 in 1905 and fluctuating in theimprovements for reducing the cost of gold pro- neighborhood of $93,000,000 in the decade 1905 duction; but not much more gold can be won Gold 691 from the type of ore worked at present, sinceciently accurate to afford a general idea of the the proportion of gold recovery is now from 90trends in gold consumption. The proportion of to 95 percent. The hope of averting the threat-total output remaining for monetary uses is now ened decline in the annual yield of gold thusgreater than it was a hundred years ago, and the depends upon some outstanding new discovery. relationship between the different non -monetary While it is not reasonable to dismiss such auses has undergone considerable change. The possibility, it should be borne in mind that theindustrial consumption of gold has not grown world is now much more prospected for goldso rapidly as the output, while the share of the than it has ever been, the unprospected regionscurrent output absorbed by India has virtually comprising mainly the desert areas of Australia, doubled, the absolute amount increasing from some regions in Central Asia and around the$12,000,000 to nearly $95,000,000 per annum. Sudan and the tropical localities at the head- Since during the nineteenth century the world waters of the Amazon and Orinoco rivers. increasingly adopted the gold standard, the Not all of the newly won gold is available foramount of annual additions to the stock of mon- monetary purposes. A part of it is used in theetary gold has become of considerable impor- arts; in the manufacture of jewelry, rings, watchtance as a factor influencing through the quan- cases and chains, spectacle frames, pens, gold tity of money in circulation the rate of economic teeth and fillings, gold lace; in gilding, chemical development. It has been shown, for example, and photographic work and the like. Anotherthat the trend of commodity prices, which had part is exported to India, China and Egypt,been rising in the years 1850 to 1873, declining where it is turned into jewelry or hoarded, thus in 1873 to 1895 and rising once more from 1896 representing a net deduction from the stock ofto the opening of the World War, is distinctly monetary gold. The total non -monetary demandcorrelated with the increases in the stock of for gold is by no means inconsiderable; accord-monetary gold, which during these three periods ing to estimates it has absorbed to date 48 per-amounted to 4.o, 1.6 and 3.7 percent per annum cent of the total output. In Table iii an attemptrespectively. is made to collate data for the non -monetary On the experience of the period from 1850 to consumption of gold in the last ninety -five years 1910 Gustav Cassel has shown that to keep in order to arrive at an estimate of the additionwholesale commodity prices stable the annual of gold to the monetary stock. No great accuracyaddition to the world's total stock of gold should can be claimed for the figures in this table exceptbe 3 percent. Operating with the stock of mon- for world output. The data on industrial con-etary gold rather than the total gold stock Kitchin sumption of gold are probably the least reliable:arrived at approximately the same percentage. a great deal of old gold, including coined gold,It happens that the world's rate of economic is used in the arts and not all of the new golddevelopment for that period, as judged by the once used in the arts is irretrievably lost forproduction of basic commodities, was also about monetary purposes. The table is, however, suffi-3 percent, which is equivalent to allowing I per-

TABLE III WORLD PRODUCTION AND EMPLOYMENT OF GOLD, 1835-1929 (In $I,000,000l

NON -MONETARY DEMAND ADDITIONS MONETARY PERIODS WORLD GOLD STOCK OUTPUT TO MONETARY CHINA GOLD STOCK END OF INDUS- INDIA t TOTAL PERIOD TRIAL * AND EGYPT

1835-89 5,046 1,805 652 88** 2,545 2,501 3,461 1890 -99 1,965 569 135 59 763 1,202 4,663 1900 -09 3,584 846 397 189 1,432 2,152 6,815 1910-19 4,380 I,I00 622 103 1,825 2,555 9,370 1920-29 3,750 927 1,046 5 1,978 1,772 11,142 * In Europe and America, excluding reused gold. t Net imports for years ending March 31 following, plus the country's own productionfor calendar years. Since 1909 net imports are also taken for calendar years. $ Imports plus China's own production. **Data incomplete. Source: Adopted with some corrections from table prepared by author for the GoldDelegation of the Financial Committee of the League of Nations. For the enumeration of sources used see League of Nations,First Interim Report of the Gold Delegation of the Financial Committee (Geneva 1930) p. 62. 692 Encyclopaedia of the Social Sciences TABLE IV DISTRIBUTION OF MONETARY GOLD, 1913 AND 1930 (In $I,000,000)

END OF 1913 END OF 1930

IN CENTRAL IN CIRCULA- IN CENTRAL IN CIRCULA- BANKS AND TION AND TOTAL BANKS AND TION AND TOTAL TREASURIES OTHER BANKS TREASURIES OTHER BANKS France 679 1,021 1,700 2,099 2,099 Germany 296 699 995 544 544 United Kingdom 170 600 770 722 8 73o United States I,290 634 1,924 4,225 368 4,593 South American countries 344 76 420 55o 14 564 Japan 67 19 86 412 412

World 4,81 3,858 8,629 *0,905 641 11,546 Source: Adopted from League of Nations, First Interim Report of the Gold Delegation of the Financial Committee (Geneva 1930) 114 -17, and Selected Documents on the Distribution of Gold Submitted to the Gold Delegation (Geneva 1931) p. 66. *p This table ignores most of the gold in private hoards, especially in Asia and Africa. The world total shown in this table differs from that of the League because it excludes India and Egypt.

cent for the increase of population and z percent amount in central banks and treasuries rose from for improvement in the standard of living. It is, 1913 to 1924 by about 6 percent per annum and broadly speaking, correct to say that in periodsthen by about 3.3 percent annually. The fact when gold money advanced at a rate greater than that so large a proportion of gold has been 3 percent commodity prices rose and businesssecured by central banks and treasuries indicates greatly improved, while when the rate was lessthat one of the greatest means of economizing than 3 percent prices fell and business was lessgold has already been realized. Not much fur- prosperous. ther assistance can be expected from this source, But this experience cannot be made to applyunless new economies are made possible by a to conditions today. During the sixty years sincegrowing substitution of deposit for banknote 185o the world was increasingly passing fromcirculation and by a reduction in the legal or the silver to the gold -silver and then to the gold customary rates of reserve for the note and de- standard. Moreover, the employment of goldposit liabilities of central banks. was increasingly economized by the greater use Table iv indicates also the change in the dis- of banknotes, checks and other credit instru-tribution of monetary gold between countries. ments. Toward the end of the period the rateSouth American countries and Japan have be- of increase in gold money required to keep pricescome much larger holders of gold than they were stable was probably nearer 2 percent than 3 per-before the war. The most radical change, how- cent. Since 1914 an extraordinary economy hasever, is represented by the increase of the mon- also been effected by the transfer of gold moneyetary gold stock of the United States from less from the pockets of the public and from otherthan a quarter of the world stock to more than banks to the vaults of central banks and treas- a third. Unlike Germany and Great Britain, uries; that is, gold, which while in circulation both of which lost gold as compared with 1913, remained relatively ineffective, was made theFrance increased its gold holdings and more basis for note issues, bank deposits and otherthan tripled the amount of specie functioning forms of currency of a superior velocity. Theas the monetary reserve. Since 1928 the inter- extent of this change can be seen from Table iv.national flow of gold tended to accentuate the During those seventeen years central banks and position of the United States and France as treasuries have withdrawn a very considerableholders of the largest stocks of monetary gold, proportion of gold formerly in circulation or inthese countries being the main recipients of other banks besides absorbing about 55 percentGerman reparation moneys. This "maldistribu- of the new gold produced, the balance of whichtion" is partly responsible for the slump of was taken by the industrial arts and the hoardingprices in 5929 and the following years and unless countries of the East. Thus while the world'scorrected by the adoption of appropriate politi- stock of monetary gold increased at an averagecal, banking and investment policies is apt to of something like 1.75 percent per annum, theprove as important a factor in influencing the Gold-Goldenweiser 693 wholesale price level and associated economicA., "The World's Gold Supply" in Review of Eco- phenomena as the absolute additions to the stock nomic Statistics, vol. ii (1920) 147-54, 181 -99; Kitchin, of monetary gold. Joseph, "The Position of Gold" in Review of Eco- nomic Statistics, vol. iii (1921) 257 -63; Kitchin, Joseph, A shortage of gold for monetary uses has beenin Great Britain, Royal Commission on Indian Cur- anticipated ever since the end of the war. It is rency and Finance, Report, 6 vols. (London 5926) vol. for this reason that the Genoa conference hasiii, p. 519-43; League of Nations, First Interim Report recommended the return to gold on the basis of the Gold Delegation of the Financial Committee of the gold- exchange standard rather than to the (Geneva 5930), Second Interim Report of the Gold Delegation of the Financial Committee (Geneva s931), pre -war gold standard. Its advice to central banks and Selected Documents on the Distribution of Gold to prevent gold from returning to domestic cir- Submitted to the Gold Delegation (Geneva 1931); Leh - culation has also been largely followed, as may feldt, R. A., Gold, Prices and the Witwatersrand (Lon- be seen from Table iv. But even such economies don 1919); Edie, L. D., Gold Production and Prices before and after the World War, Indiana University have not assuaged the fear of a "scramble for Studies, no. 78 (Bloomington, Ind. 1928), and Capi- gold" by central banks and of a future shortage. tal,the Money Market and Gold (Chicago 1929); The delegation appointed by the Financial Com- Koch, F., Der Londoner Goldverkehr, Münchener mittee of the League of Nations to deal with thevolkswirtschaftliche Studien, no. 73 (Stuttgart 5905). question estimated in 193o that on the basis of a z percent annual increase in the amount ofGOLD -EXCHANGE STANDARD. See circulating media and a 33 percent cover for MONEY; FOREIGN EXCHANGE. notes and sight liabilities of central banks a shortage of gold may be expected to set in byGOLD STANDARD. See MONEY. 1938, if the forecasts of future gold production and of non -monetary demand for gold are at allGOLDENWEISER, ALEXANDER SOLO - accurate. The question of the future of gold asMONOVICH (1854-1915), Russian lawyer and the basis for money is thus raised. It is, how-criminologist. When a student in St. Petersburg ever, doubtful whether it will be practicable,Goldenweiser attended the lectures of Vladimir even if the desire should exist, to take gold offSolovyev, idealistic philosopher, under whose its solitary pedestal and one may safely assumeinfluence he became a follower of Hegel. Later, that a generation will pass before an effectivein middle life, he turned to Herbert Spencer and substitute is devised. Effort should be concen-devoted an essay to an exposition of his philos- trated in the direction of better distribution ofophy. As an attorney he regarded himself and gold reserves between central banks and thehis colleagues as the advance guard of social effecting of further economies in its use. In thisprogress and defenders of the rights of man. He connection should be mentioned the proposal to won his early fame in criminal cases, but finding abolish legal reserve requirements for centralthe human tragedies attending this practise un- banks and to restrict the use of central bankendurable he soon abandoned it, devoting him- reserves to the settling of deficits in the balancesself henceforth to civil law. In this field his of international payments. reputation was second only to that of Passaver; his speeches in court while not always brilliant JOSEPH KITCHIN were distinguished by a comprehensive erudi- See: METALS; MONEY; COINAGE; BIMETALLISM AND tion and an infrangible logic. MONOMETALLISM; CENTRAL BANKING; FOREIGN Ex- CHANGE; BALANCE OF TRADE; ORNAMENT. Goldenweiser's real interests, however, lay Consult: Launay, Louis de, L'or dans le monde (Paris outside the court room. He took an active part in 1907), tr. by O. C. Williams as The World's Goldthe work of the Kiev reformatory for boys and (London 5908); Soetbeer, Ad., Materialien zur Er-attended religiously the sessions of the Interna- läuterung und Beurteilung der wirtschaftlichen Edel- tional Prison congresses. In Kiev, where Gold- metalverhältnisse und der Währungsfrage (and ed. Ber- enweiser practised law for thirty -eight years, his lin 1886), tr. in Great Britain, Gold and Silver Com- mission, Appendix to the Final Report (1888) p. 539- fame acquired mythical proportions. Attuned as 244; Del Mar, A., A History of the Precious Metalshe was to all human suffering, the events of the from the Earliest Times to the Present (2nd ed. New World War broke his optimistic spirit and has- York 5905); United States, Bureau of Mines, "Sum-tened his death. marized Data of Gold Production" by R. H. Ridgway, Economic Paper, no. 6 (1929); International Geological ALEXANDER GOLDENWEISER Congress, Fifteenth, The Gold Resources of the World Important works: Sotsialnoye zakonodatelstvo German - (Pretoria 593o); Coyle, E. S., "The World's Indus-skoy Imperil (Social legislation of the German Em- trial Consumption of Gold," and Berridge, William pire) (Kiev 589o); Sotsialnie techeniya i reformi xix 694 Encyclopaedia of the Social Sciences stoletiya (Social currents and reforms of the nine- British Nigeria (London 5902) ch. vi; Baillaud, E., teenth century) (Kiev 1891); Voprosi vmeneniya iLa politique indigène de l'Angleterre en Afrique occi- ugolovnoy otvetstvennosti v pozitivnom osveshcheniidentale (Paris 1912) chs. xxii -xxv; Vandeleur, S., (Imputation and criminal responsibility from a posi- Campaigning on the Upper Nile and Niger (London tivist viewpoint) (St. Petersburg 1902); Herbert Spen-1898), with an introduction by Goldie; Orr, C. W. J., cer. Idei svobodi i prava v ego filosofskoy sisteme (Her- The Making of Northern Nigeria (London 1915) ch. ii. bert Spencer. The ideas of freedom and right in his system of philosophy) (St. Petersburg 1904); Prestu- plenie kak nakazanie i nakazanie kak prestuplenieGOLDSCHMIDT, LEVIN (1829 -97), Ger- (Kiev 5908), tr. by E. A. Goldenweiser as Crime as man jurist. Goldschmidt was the greatest au- Punishment and Punishment as Crime (Washington thority on commercial law during the nineteenth 1909). century in Germany and perhaps in the world. When he commenced his labors German com- GOLDIE, SIR GEORGE DASHWOOD mercial law, which had long been under the pre- TAUBMAN (1846 -1925), British colonial ad- dominant influence of the Italians, had gradually ministrator. Goldie went to west Africa as abegun to attain independence. Frederick the result of his family's interest in a company trad- Great's Allgemeines Landrecht of 1794 had codi- ing at the mouth of the Niger River. In order tofied Prussian commercial law, but German in- eliminate competition from the palm oil trade hedustry and commerce had expanded greatly consolidated British trading interests into thesince that time. A new era opened with the United African Company and had agents nego-adoption of the German bills of exchange law of tiate treaties with native chiefs, exchanging pro- 5847, followed by the general German commer- tection for trading monopolies. In 1886 a royalcial code of 1861, which became the law of the charter was granted to the Royal Niger Com-North German Confederation and later of the pany, after Goldie had threatened to seek foreignGerman Empire. While these legislative labors protection. Goldie availed himself sparingly ofwere proceeding, Heinrich Thöl had begun to the political rights conferred by the charter, ad-elaborate the principles of a German science of ministering through native chiefs (some ofcommercial law; but it seemed to Goldschmidt whom were subsidized) in accordance with na- that the latter was founding it dogmatically upon tive law and custom, except as to slavery andan essentially Roman basis. Goldschmidt began trade, and levying no direct taxes. These policies by demanding the severance of commercial law anticipated the methods of colonial administra-from the dominance of purely Roman legal con- tion since developed by Sir Frederick Lugard.ceptions. He then proceeded to outline and exe- Goldie's company held a virtual monopoly ofcute a program based upon historical research, commerce and paid consistent dividends, a re- comparative method and economic factors. sult not achieved by other African chartered Goldschmidt began to realize his program companies. He required that all his agents givepractically when in 1858 he founded the still bond to impart no information of any kind with flourishing Zeitschrift für das gesamte Handels- regard to company activities. The company ex-recht.In 1869 a federal Supreme Court of tended control into the interior, warding offCommerce was founded in Leipsic, and the fol- French and German encroachments, until thelowing year Goldschmidt entered it and began a final partition of the Niger area in 1898 securedgreat career as a commercial judge in his inter- to the British more than half the 500,000 squarepretation of the general German commercial milesoriginally covered by the company's code of 1861. When in 1875 he also became pro- vague treaties. Goldie retired from the manage- fessor at the University of Berlin, he was enabled ment of his company in 1899 when Great Brit-to exert a great influence upon the coming gen- ain assumed direct political control of Nigeria.eration of teachers of commercial law. In compensation he secured reimbursement of a The scientific monument of Goldschmidt's large share of the company's capital expendi- work is his great Handbuch des Handelsrechts (2 tures and extensive long term mining rights. vols., Erlangen 5864 -68; 2nd ed. 1875-83; vol. i, His accomplishment represents a pure case of3rd ed. Stuttgart 1891). In the second edition imperial expansion developed directly out of the the treatment became more thorough and the interests of a particular commercial undertaking.third edition of the first volume is entirely LELAND H. JENKSconfined to a history of the mediaeval commer- cial law of southern Europe. The work had thus Consult: Geary, W. N. M., Nigeria under British Rule (London 5927) ch. vii; Burns, A. C., History of Nigeria been converted into a series of comprehensive (London 5929) ch. xiii; Mockler- Ferryman, A. F.,monographs; but in it Goldschmidt had outlined Goldenweiser-Goltz 695 the method that should obtain in the study ofsayings attributed to the Prophet. The Vorle- commercial law and laid down the fundamentalsungen is a scholarly manual containing a sum- principles of the subjects he treated. mary of various aspects of Islamic civilization Goldschmidt also wrote numerous studies of aand the Richtungen an exposition of the different Romanistic character on the civil law, which forschools of Koranic exegesis. Goldziher accumu- the most part are collected in his Vermischtelated and condensed an exceptional amount of Schriften (2 vols., ed. by H. V. Simon, Berlinnew information, drawn chiefly from manuscript 1901). His notable studies upon the Roman lawsources, and made it easily available through his of possession should be particularly mentioned.capacity for exposition: he was more a historian Despite his objections to Romanistic concepts he than a philologist. He laid the basis for an ap- still held firmly to them upon many questions ofpraisal of the Hadith (canonical collections), the positive law, but by the general tenor of hisshowing that much of it had been fabricated by whole work started a current of opinion againsttheological politicians after Mohammed's death, regarding them asexclusive.Consequentlyand indicated its influence upon the collective re- Brunner's Germanistic investigations of securi-ligious consciousness. His counsels have guided ties and Otto Gierke's investigations of commer- subsequent research not only in the history of cial companies could start from his work andArabic grammar but also in that of the formation give commercial law a still broader basis. of sects; in the foreign influences on Islam, such as the gnostic, Christian and neo- Platonic;and ERNST HEYMANN in the organization of workmen and trades. Consult: Levin Goldschmidt, ein Lebensbild in Briefen LOUIS MASSIGNON (Berlin1898);Pappenheim, Max, inAllgemeine deutsche Biographie, vol. xlix (Leipsic 1904) p. 438 -48, Consult: Heller, Bernard, "Bibliographie des oeuvres and in Zeitschrift für das gesamte Handelsrecht, vol.d'Ignace Goldziher," École Nationale des Langues xlvii (1898) I -49; Riesser, Jacob, Levin Gddschmidt Orientales Vivantes, Publications, 6th ser., vol. i (Paris (Berlin 1897); Stintzing, R. von, and Landsberg, E., 1927); Systematische Bibliographie der Palästina Lite - Geschichte der deutschen Rechtswissenschaft, 3 vols.ratur, ed. by Peter Thomsen, vols. i -iv (Leipsic 1908- (Munich 188o -19,0) vol. iii, pt. ii, p. 938 -49; Lyon - 27); Becker, C. H., in Der Islam, vol. xii (1922) Caen, Charles, in Société de Législation Comparée, 214 -22. Bulletin, vol. xxvii (1897 -98) I19 -2I; Heymann, Ernst, "Hundert Jahre Berliner Juristenfakultät" in GOLTZ, THEODOR VON DER (1836-1905), Liebmann, Otto, Die juristische Fakultät der Universi- German agricultural economist. Goltz at first tät Berlin (Berlin 191o) p. 48-49, 154, 16o -64. A bibliography of Goldschmidt's writings compiled bystudied law but turned his attention to the study Max Pappenheim is included in Simon's edition ofof agriculture. He taught at several agricultural Goldschmidt's Vermischte Schriften. colleges in Germany and from 1896 until his death was director of the agricultural college at GOLDZIHER, IGNAZ (1850- 1921), Hunga- Poppelsdorf (Bonn) -the school in which he had rian orientalist and Islamic scholar. Born of aobtained his professional training. At a time Jewish family, Goldziher studied at Budapest,when the study of agriculture was dominated Berlin, Leipsic and Leyden, visited the Orientby the natural sciences under the influence of and spent most of his life in Budapest as pro- Liebig and preoccupied with technological prob- fessor of Semitic languages in the university.lems Goltz emphasized the business aspect of After two highly acclaimed studies in Biblical agriculture. He held that the ultimate goal is not criticism he concentrated his attention uponthe gross yield but the net profit. In order to Arabic and Islam. His chief works are Die Zd- increase the remunerativeness of agriculture he hiriten (Leipsic 1884), Muhammedanische Stu -advocated the combination of the small and dien (Halle 1889 -90), Vorlesungen über den Islam middle sized peasant holdings for the purpose of (Heidelberg 1910) and Die Richtungen der isla-cooperative cultivation of the soil and common mischen Koranauslegung (Leyden 192o). The firstuse of tools, machinery and draft animals.Such is a condensed monograph recounting the evo-combination would secure to the smaller enter- lution of an extinct Sunnite juridical school. Theprises the benefits of large scale production and Muhammedanische Studien inaugurated the usemanagement and assure the survival of the peas- of methodical historical criticism in Islamic stud-ant class -an important element in the popula- ies to explain the many survivals of Bedouintion of a country. In contrast to modern tend- tribal life in the structure of the Mussulmanencies Goltz would not have the cooperative community and the growth of the "tradition,"system extended to large capitalistic enterprises. that fundamental juridical source containing theHe contributed greatly to the reform of rural 696 Encyclopaedia of the Social Sciences education on the basis of the actual needs of theGOMME, SIR GEORGE LAURENCE (1853- rural population. He also recognized the neces- 1916), English anthropologist and historian. sity of cooperation and understanding betweenGomme was the most active cofounder of the laborer and landlord and consistently urged upon English Folklore Society, parent of all similar the latter the need of raising the cultural levelmovements throughout the world, although it of the laborer, improving rural education andwas W. J. Thorns who had coined the word ameliorating rural housing. His treatises re-folklore itself in 1846. Moreover, Gomme did peatedly stressed the mutual interdependencemost to give the new science its orientation by of all classes in their pursuit of social welfare. insisting on the study of customs in their his- F. BECKMANN torical setting: "custom, rite and belief... Important works: Vorlesungen über Agrarwesen und become veritable monuments of history-a his- Agrarpolitik (Jena 1899, znd ed. 1904); Geschichte tory too ancient to have been recorded in script, der deutschen Landwirtschaft, z vols. (Stuttgart 5902- too much an essential part of the folk -life to 03); Die ländliche Arbeiterfrage und ihre Lösung (Dan- have been lost to tradition" (Folklore as an zig 1872, znd ed. 1874); Die landwirthschaftliche Buch- Historical Science, London 1908, p. 17o). The führung (Berlin 1866; 13th -14th ed. by Conrad von theoretical justification of this ethnological line Seelhorst, 1922); Landwirtschaftliche Taxationslehre (Berlin 1880, 3rd ed. 1903); Handbuch der landwirt- of research is also stated in his Ethnology in schaftlichen Betriebslehre (Berlin 1886; 4th ed. by Folklore (London 1892). Those were the days Conrad von Seelhorst, 1912). of E. B. Tylor's influence, when psychological Consult: Biographisches Jahrbuch und deutscher Nekro- interpretations prevailed and interest was there- log, vol. x (Berlin 1907) p. 227-34. fore mainly directed toward beliefs. Gomme did his best to call attention rather to social insti- GOMEL, CHARLES (1843- 1921),Frenchtutions, especially as viewed in the light of the economist. Gomel was member of the statemovements and clashings of peoples out of council from 1872 to 1886, resigning at the time which they arose. These working principles are when the decrees were issued ordering the ex-well illustrated in his masterly study of the pulsion of the house of Orléans from France.British village community ( The Village Com- He soon joined the administration of the Corn - munity, London 189o), which he treats as a pagnie des Chemins de Fer de l'Est, of whichresult of culture contact between Aryan and he became president, retaining the post until pre -Aryan folk elements. Gomme was also an his death. He was well versed in all problemsefficient public servant on the London County pertaining to the administration of railroads Council from 1900 to 1916 as well as an author- and contributed many authoritative studies onity on the history and antiquities of London this subject to the Economiste français in the(see The Governance of London, London 1907; period from 1886 to 5906. He successfully dis-and London, London 1914). He is to be regarded proved the unjust criticism leveled against theas a pioneer who, while avoiding the extrava- conventions of 1883, which represent one of thegances of a one -sided diffusionism, nevertheless most important agreements regulating the rela-made it clear that for a comprehensive study tions of the state to the railroads. Gomel wasof culture originating and borrowing must count also interested in foreign railroads, in the work-as the warp and woof of human progress. ing of mines, particularly coal mines, in public R. R. MARETT works and in other fields of economic activity.Consult: Haddon, A. C., in Man, vol. xvi (1916) Of no less significance are his writings on the 85 -87; Marett, R. R., Psychology and Folklore (Lon- financial causes of the French Revolution; theydon 1920) p. 72-98. deal in a most elucidating manner with the administrations of Turgot and Necker and theGOMPERS, SAMUEL (1850- 1924), Ameri- last of the controllers general and with the finan- can labor leader. Gompers was born of Jewish cial history of the Constituent Assembly, theparents in the East End of London and after Legislative Assembly and the Convention. four years' schooling was apprenticed to cigar making, his father's trade, which he followed MARCEL MARION for twenty -six years. In 1863 the family emi- Works: Les causes financières de la Révolution française, grated to New York's East Side with no marked 2 vols. (Paris 1892 -93); Histoire financière de l'assem- blée constituante, z vols.(Paris 1896 -97); Histoire improvement in well- being. Driven by a con - financière de la législative et de la convention, z vols. sumin energy and unbounded ambition Góm (Paris 1902 -05). pers threw himself into every activity't hat might Goltz-Gonner 697 lead an East Side immigrant boy out of theThe election of Woodrow Wilson gave labor alienism of his environment into the full streamfor the first time in American history a place of American life. In social clubs, fraternal or-among the mighty, and during the World War ders, saloon gatherings, cigar shops and tradeGompers was made a member of the Advisory unions he sought and found a hard, practicalCommission to the Council of National De- wisdom and facility in handling men as indi-fense. Convinced of his messianic mission, he viduals and en masse. created the Alliance for Labor and Democracy Gompers joined his local trade union (no. 15)to promote loyalty. He toured Europe in 1918, in 1864, and ten years later he and his Left wingmeeting kings, presidents, generals, but encoun- friends broke it up to create local 144, of whichtering a recalcitrant proletariat. he was president until 1881 and a member for In the period of post -war reaction he was the rest of his life. In 1877 he was instrumentaldenied a place on the Peace Commission but in making Adolph Strasser president of thewas made chairman of the Commission on In- nearlydefunct Cigar Makers' Internationalternational Labor Legislation, which drew up Union and proceeded to reorganize itas awhat, with some modification, became the labor benefit society on the English model. When incovenant of the Treaty of Versailles. After 1881 a new Left wing ousted Gompers fromfailure to control the Amsterdam International the presidency of his local, he turned to thehe came back to the United States to face national field and gained control of the newlyschism and defeat. Strikes of the steelworkers, formed Federation of Trades and Labor Unions. of the Boston police, of the miners and of the Gompers' passionate distrust of socialists andshopmen; the failure of the president's indus- intellectuals, particularly those of continentaltrial conferences; the activities of the Corn- European stamp, grew out of his experiencemunists; the Plumb plan; the defeat of the with the cosmopolitan radicalism of New YorkCovenant of the League of Nations, of the in the seventies and made him increasinglyDemocratic party and almost of Gompers him- American and trade unionist. self for the presidency of the Federation left In 1886 he was able to mobilize the tradethe old man, then nearly blind, sick indeed. unions against the Knights of Labor and be- But in the end Gompers found complete, if came first president of the American Federationillusory, satisfaction. He had been the friend of of Labor, a post he retained with the exceptionMexico when its friends were few. Turning of one term (1895) until his death. For ninefrom European failure and confusion at home years this militant labor general fought a suc-he sought Pan -American unity. He restated in cessful rear guard action against all comers withlabor terms the Monroe Doctrine. In 1924 a loosely federated group of touchy nationalMexican and American labor met at the inter- unions. He avoided the stigma of the Hay-national boundary. At the inauguration of Calles market bomb, the effect of socialist propagandain Mexico City Samuel Gompers divided with and intrigue, the failure of the American Rail-the new president the adulation of the Mexican way Union, free silver sentiment and a pro-proletariat, expressed with the Latin exuber- longed depression. His defeat in 1895 gave himance and éclat which touched the emotional a trip to Europe, which completed his educationand theatrical side of his character as practical in Americanism. He returned with revivinglabor politics had never done. He died shortly prosperity, was reelected president of the Fed-after the conference in San Antonio, Texas. eration and moved his headquarters to Wash- NORMAN J. WARE ington. Consult: Gompers, Samuel, Seventy Years of Life In Washington Gompers found himself in aand Labor, 2 vols. (New York 1925); Reed, Louis, The Labor Philosophy of Samuel Gompers, Columbia completely congenial environment, and although University, Studies in History, Economics and Public he preached more loudly than ever his doctrine Law, no. 327 (New York 193o), which contains an of voluntary trade unionism unhampered byextensive bibliography of writings by and about government he became increasingly involved in Gompers. lobbying for labor's measures and patronage. In 1906 the American Federation of LaborGONNER, SIR EDWARD CARTER KER- openly adopted a non -partisan political pro-SEY (1862 -1922), English economist. From gram, and from 1908 to 1920 it supported the1891 until his death Gonner, an Oxford gradu- Democratic party, securing the passage of theate, held the Brunner chair of economic science Clayton, the seamen's and the Adamson acts.at the University of Liverpool. Writing in the 698 Encyclopaedia of the Social Sciences period before specialization, he made fruitfulsurprisingly modern doctrines of work and contributions to many difficult aspects of thewealth. Natural laws, he asserted, teach man to science. His edition of Ricardo's Principles (Lon- work; hence work is the "true and certain don 1891), his textbook, Commercial Geographywealth" of nations. Considering money but an (London 1894), and his survey of the modern"instrument of exchange" he argued that an economic development of Germany in Germanyincrease in its volume, representing no increase in the Nineteenth Century (ed. by C. H. Herford, in wealth, might hamper commercial intercourse. Manchester 1912; 3rd ed. 1915) display uniformFalse ideas of the wealth of the Indies had led competence. Among his other minor writings to an abandonment of agriculture and industry; were The Socialist State (London 1895), a de-and idleness and the consequent dearth of goods signedly sympathetic yet warily discriminatinghad brought on epidemics, which had depleted account, and Interest and Saving (London 1906),the population more than war or emigration. which shows the penetrating quality of Gonner'sThis view of Spain's economic decay led Gon- mind occasionally leading him into somewhatzález to the conclusion, astonishing for his time, subtle and elusive argument but neverthelessthat Spain would have been more wealthy if no well matched against the complex subject intreasure had come from America. His most hand. His two most considerable works, Theprominent proposal for reform was the abolition Social Philosophy of Rodbertus (London 1899)of leisure, and he prescribed for the nobility and Common Land and Inclosure (London 1912),business pursuits in conformity with their rank. were preceded by an enormous amount of re-He decried excessive poverty and wealth and search. Treating the movement as "continuouswas opposed to the egalitarian ideas of More's and as due in the main to the operation of large Utopia; in his ideal society the middle class was economic and, so to say, normal causes," but-to be the most numerous. Sections of Augustin tressed by statistics, pleading no cause, Common de Rójas Villandrando's El buen repúblico (Sala- Land and Inclosure will undoubtedly remain themanca 16x1), dealing with economic doctrines, final verdict when other more partial pronounce-are taken verbatim from González's Memoriales ments on the vexed subject have been set asidewithout acknowledgment. as suspect. The fine balance and insight which The second and third memorials were entitled directed Gonner's exact and patient inquiry in"Sobre los moriscos" and dealt with the prob- this enduring contribution to economic historylem of the Moors. Since the converted Moors also made him a talented man of affairs. Duringwere notoriously industrious, González pleaded the World War, when he was economic adviserfor their better education in Christian virtues, and director of statistics in the Ministry of Foodso that no occasion might arise for expelling as well as an arbitrator of industrial disputes, hethem upon religious grounds. won the confidence and esteem of his chief, Lord ROBERT S. SMITH Rhondda. In the words of an experienced col- league, Sir William Beveridge, "he was one ofGOOD OFFICES. See MEDIATION. the men of academic training who most con- spicuously made good in practical administra- GOOD ROADS MOVEMENT. See ROADS. tion during the War." When he died he was collaborating in the preparation of a history ofGOODWILL originally meant that part of the food control. value of an established business which was at- L. L. PRICEtributable to the continued patronage of its cus- Consult: Beveridge, W. H., in Economic journal, vol. tomers. This meaning has since been extended. xxxii (1922) 264 -67. Economists continue to adhere essentially to the original concept of goodwill as a relation between GONZÁLEZ DE CELLORIGO, MARTÍN,the business and the market. But while they still Spanish economist of the late sixteenth century.consider the goodwill of the consumer as by far González was the author of several memorialsthe most important type they recognize also the addressed to Philip In, Memoriales (Valladolidexistence of goodwill in the labor market, the 16o0), in which he presented interesting andcredit market and elsewhere. Jurists and ac- novel economic theories. In the first, "De lacountants, on the other hand, have broadened política necesaria y útil restauración a la repúb- the meaning of the term to include all the advan- lica de España," González frequently cited Bo- tages which a particular business possesses over din's Republic, which undoubtedly inspired his its competitors. The jurist's approach to good- Gonner Goodwill 699 will remains fundamentally different from thatearlier economy, has become less important in of the economist. The economist tends to con-the development of goodwill than high pressure ceive it as emanating from its source. The jurist,salesmanship and advertising. These methods of because of the necessities of legal transfer, tendsattracting custom attempt to and do create good- to think of it as attaching to the business and as awill in a relatively short period of time. With the species of property despite the fact that ordi-concentration of industry mere size or quasi - narily goodwill cannot be conveyed apart frommonopolistic position in the industry has be- the business. come an element in goodwill through the com- In England the term goodwill seems to havemon belief that size guarantees quality, cheap- been used first in 1571, when a testator willedness, reliability, service and the otherdesiderata the goodwill of his quarry as part of his posses-which determine the purchaser's choice in the sions. In the case of Broad v. Jollyfe [Cro. Jac.competitive system. 596 (162o)] the purchaser of the wares of anold The basic element in goodwill is the tendency, shop was awarded judgment against the vendorin a competitive situation in which many choices for violation of an agreement not to keep a shop are possible, for a particular business tobe in that vicinity. For the first time the courts thus chosen a large number of times. It is not suffi- recognized the validity of contracts which limitedcient that this choice shall be due to lower prices the freedom of the vendor to compete, and whichor better quality relative to price; there must had previously been considered as in restraint ofexist some tendency in the business to attract trade. In Crutwell v. Lye [17 Ves. 335 (181o)]consumers, laborers and capitalists out of pro- Lord Eldon, who was important in the develop-portion to the price it charges, the wages it pays ment of the law of goodwill in England, de-or the interest and security it offers.Goodwill is scribed it as "the probability that old customersa quasi -monopolistic factor in acompetitive will resort to the old place." It thus becamesociety, a factor which "lifts the business some- something essentially connected with convenient what above the daily menace of competition and location. American and British courts still recog- enables it to thrive without cutting prices" nize the importance of goodwill in raising the(Commons, J. R., Industrial Goodwill, ch. iii). value of the sites on which successful businesses It is reflected in higher prices or larger sales, are located. In England goodwill isutilized byeither of which means larger profits than those officials as an aid in measuring rent for tax pur-normally received by competitors. While courts poses. Furthermore, by the Landlord and Ten-have occasionally held that goodwill may exist ant Act of 1927 the tenant who has been locatedeven if no net profits are earned, the generalrule in one place for at least five years is given a rightis that the existence of goodwill can be predi- to compensation for the loss of the goodwill at- cated only upon earnings in excess of the normal tached to the place or, if compensation would be competitive return. Economists distinguish the inadequate, a right to a new lease. In the Unitedexcess profits resulting from internal economies States goodwill is not held to be property withinfrom those resulting from the exploitation of the the meaning of the constitutional limitations onquasi- monopolistic position achieved by the the taking of property. company by virtue of its goodwill. Because, The early emphasis upon location was due tohowever, of the practical impossibility of segre- the fact that the concept of goodwill was firstgating profits arising from efficiency from those applied to small scale businesses treating withresulting from goodwill in the narrow sense of the consumer directly and personally. The ele-the term jurists and accountants, faced with the ments first added to the concept -firm name,practical problem of evaluating goodwill, have trademarks, personal qualities -were also ap- tended to attribute all excess earnings to good- plicable to the type of business concerned. Withwill. changes in the economic structure and the The value of goodwill is therefore generally broadening of the goodwill concept other factorsarrived at by capitalization either of total net have entered and have become perhaps moreearnings or of earnings above the normal. The important than those earlier associated with thenormal return, including both interest and profit, term. Thus location has ceased to play its formerupon the total cost of the tangible assetsof an predominant role and personal qualities are al-industry is about to percent (Simpson, K., Eco- most meaningless in an impersonal economicnomics for the Accountant, New York 1921, ch. organization. The length of time in business, soxi). All return above this amount may be con- important in the establishment of custom in thesidered extra profits attributable to goodwill. 70o Encyclopaedia of the Social Sciences The number of years' purchase of the profits towritten off in the period of time used as the basis be used in capitalization is essentially a matter offor calculating its value. fact to be determined for each particular busi- Because goodwill was originally assumed to ness. Courts, however, rarely allow valuationsdepend upon freedom of choice, the courts have involving more than five years' purchase. Theconsistently refused to allow monopolistic pub- British law of partnership capitalizes goodwilllic utilities to include it in valuation for purposes at two years' purchase of total profits. of rate regulation. Nevertheless where the "go- Goodwill represents an asset only because ofing- concern value" is admitted as an element in the probability of earning excess profits in theutility valuation, goodwill comparable to that in future. General accounting practise is thereforecompetitive businesses is allowed for. The de- against its inclusion as an asset unless it has beenpendence of the sale value of goodwill upon its purchased. If an established company shows antransferability has led Anglo- American courts abnormally large return, there can be no objec-generally to limit closely or disallow goodwill as tion to the capitalization of goodwill as an assetan independently calculable or realizable asset in on the balance sheet so long as the return isprofessions or businesses dependent upon the thereby not reduced below the normal and sopersonality of the individual. That these may long as stockholders, actual and potential, realizepossess a goodwill based not alone on skill and what is back of the stock. Since earnings ratherability would seem evident. But despite the fact than assets are the chief criterion of market that only to a very limited extent, varying with value, investors may be justified in buying thisthe profession and circumstances involved, can so- called water. the owner transfer the confidence of his clients, A considerable number of industrial corpora-patients or patrons to his successor, English and tions and partnerships with valuable trade namesAmerican courts since the time of Lord Eldon have sold their assets to new corporations in re-. have put no obstacles in the way of sales of prac- turn for preferred and common stock of the newtise. Such sales are construed as giving an exclu- companies. The F. W. Woolworth Company,sive right of presentation and as compelling the the S. S. Kresge Company and the B. F. Good-retirement of the vendor from the neighbor- rich Rubber Company are examples. The pre-hood. The goodwill of a newspaper might also ferred stock of these companies was generallyseem to be difficult to transfer, but large pay- equal to the original cost of the tangible assets.ments have occasionally been made for it, as in This stock was usually sold to the public, whilethe case of the purchase of the New York World the common stock, covered for the most part byby the New York Telegram in 1931. The good- goodwill justified by earning power, was pre-will of capitalists and of those from whom the sumably retained by those responsible for thebusiness buys is hardly transferable. That of development of the business. These flotationslabor, however, may be fairly successfully trans- enabled the original owners to draw out theirferred, especially where change of ownership original investment through the sale of the pre- does not involve change of the personnel treating ferred stock and to capitalize their goodwill indirectly with labor. The employees may not the form of common stock. The total capitaliza-even know that the ownership has changed. tion of a merger often exceeds the combined Goodwill as regards particular products may capitalization of the old companies, the differ-attach to particular locations, as in such expres- ence representing the goodwill or the capitaliza-sions as Sheffield cutlery and Paisley shawls, or tion of the prospective excess earnings. even to certain countries, as in the case of Ger- Considerable disagreement exists as to whetherman optical goods and English woolens. But goodwill once purchased and entered on thethese types of location value are common to all book should be written off with the passage ofbusinesses in the country or district concerned. time. An English court has held that such depre- Location value becomes important for a particu- ciation is not necessary [Wilmer v. McNamaralar business only when and in so far as it in- & Co., Ltd., z Ch. 245 (1895)]. Furthermore,creases the profits of that particular business. obvious difficulties in the way of writing off Recognition of goodwill as a transferable asset goodwill arise where stock is issued against theinvolved protection of the rights of the pur- goodwill. A considerable body of opinion, how-chaser. Court decisions early recognized the le- ever, inclines to the view that since it is of angality of the vendor's agreement not to compete, impermanent, evanescent character, requiringalthough the courts have tended to invalidate constant care for its maintenance, it should beagreements involving unreasonable conditions, Goodwill 701 holding these to be in restraint of trade. The gen-The French legal treatment of goodwill is far eral rule in England and the United States (ex-more advanced than the German. Under the law cept in Massachusetts) is that in the absence of aof 1909 relating to fonds de commerce it is pos- specific agreement to the contrary the vendorsible to mortgage a business itself, and in the ab- may open a business and compete with the pur-sence of express stipulation the pledge is limited chaser. American law generally restricts suchto "l'enseigne et le nom commercial, le droit au competition only by requiring that it be fair andbail, la clientèle et achalandage " -in other words, free from fraud, but in England and in the stateto the intangible assets, of which the goodwill is of New York while the vendor may advertiseregarded as the most important. The debtor may publicly he may not solicit his former customersbe threatened with foreclosure if he manages the directly. In case of violation the purchaser maybusiness badly or injures his credit or goodwill, obtain an injunction restraining further inter-and he may not change the place of business ference by the seller. without good cause. Such a mortgage is im- The legal treatment of goodwill in continentalpossible under German law and for that matter countries bears a strong resemblance to that inunder Anglo- American law. English and American law. The continental law The law of goodwill is conventionally con- too is mostly case law, engrafted upon the codes.sidered only in connection with the transfer of In the Latin countries two terms are employedspecific businesses or professional practises. As a to express goodwill; in France, for example,result, the general protection afforded to good- clientèle and achalandage -the first representing will by many provisions of law is often forgotten. the personal goodwill of the customers and theGoodwill along with other forms of intangible second the impersonal goodwill resulting fromassets is preserved by the whole law of unfair the connections of a business. Agreements forcompetition (q.v.), which in recent decades has the transfer of goodwill are everywhere held not undergone a tremendous expansion. Other legal to be in restraint of trade. While under Germandevices which aid in protecting goodwill include law the mere sale of a business does not, in theactions of libel or slander, criminal statutes absence of special circumstances, restrict theagainst endangering the credit of a business and seller from further competition, in France thelaws against the enticement of employees and obligation de garantie which is implied in the sale against picketing and boycotting. of a business has been held to forbid the seller KEMPER SIMPSON from any diminution or withdrawal of the good- See: PROFIT; CORPORATION FINANCE; VALUATION; CAP- will. The French courts have been much more ITALIZATION; TRADE MARKS; UNFAIR COMPETITION. liberal than the German in sanctioning the trans- Consult: Commons, John R., The Legal Foundations of fer of goodwill in the sale of professional prac- Capitalism (New York 1924) p. 159-62,191-213,261-- tises. The German courts before the war uni- 73, and Industrial Goodwill (New York 1919), espe- formly condemned the transfer of lawyers' and cially ch. iii; Foreman, C. J., Efficiency and Scarcity very often of doctors' practises. Such transfers Profits (Chicago 1930) chs. ix -xi; Yang, J. M., Good- were not only not recognized by the courts butwill and Other Intangibles (New York 1927); Simpson, Kemper, The Capitalization of Goodwill (Baltimore were condemned by professional ethics. From a 1921); Dicksee, L. R., and Tillyard, F., Goodwill and much earlier period, however, the French courtsIts Treatment in Accounts (3rd ed. London 1906); had withdrawn their opposition to the sale ofLeake, P. D., Commercial Goodwill (2nd ed. London professional practise. The transfer of the good- 1930); Allan, Charles E., The Law Relating to Good- will of all sorts of professional practises andwill (London 1889); Wright, F. A., "Nature and Basis of Legal Good Will" in Illinois Law Review, vol. xxiv commercial agencies has long been very com- (1929-30) 20 -43, and "Tort Responsibility for De- mon in France. Even a notary's practise may bestruction of Good Will" in Cornell Law Quarterly, transferred in France despite the fact that he is vol. xiv (1929) 298-315; Cendrier, Gaston, Le fonds de an official and his service is not subject to real commerce (Paris 1919); Emelina, Louis, Essai d'une théoriegénérale sur la clientèle (Nice 1907); Vivante, C., competition, because of the limitation of the"La proprietà commerciale dell' avviamento o della number of notaries. The consent of the govern-clientela" in University of Rome, Facultà Giuridica, ment must be obtained but it is granted practi- Scritti ... in onore di Antonio Salandra (Milan 1928) p. cally as a matter of course. In czarist Russia, 229-47; Viñassa, W., Die Kundschaft, Abhandlungen where the number of apothecaries was also le-zum schweizerischen Recht, n.s., vol. ix (Berne 1925); Domke, Martin, Die Veräusserung von Handelsge- gally limited, the sale of their goodwill was simi-schäften, Arbeiten zum Handels-, Gewerbe- und larly allowed. Such transfers are really survivalsLandwirtschaftsrecht,no. 35 (Marburg 1922); of the once common buying and selling of offices. Kleckow, Wolfram, Die entgeltliche Veräusserung un- 702 Encyclopaedia of the Social Sciences geschützter materieller wirtschaftlicher Güter (Grünberg mann. The whole succeeding generation of ju- 191o); Schreyer, K. F. W., Wird das Recht am be-rists has been more or less consciously influ- stehenden Unternehmen nach Sect. 823 Abs. i BGB geschützt? (Greifswald 1921); Oppikofer, Hans, Das enced by him. Unternehmensrecht (Tübingen 1927). FRANTZ DAHL Consult: Hagerup, F., Dahl, Frantz, and Thyrén, GOOS, CARL (1835- 1917), Danish jurist andJ. C. W., in Nordisk tidsskrift for strafferet, vol. iii political figure. Goos was professor at the Uni- (1915)1 -55; Dahl, Frantz, in hisuridiske profiler (Copenhagen 192o) p. 11 -59, and bibliography in versity of Copenhagen and occupied at various Ugeskrift for retsvaesen (1915) 24 -32; Teisen, Axel, in times the posts of director of prisons, minister American Law Review, vol. i (1916) 262 -68. of education and minister of justice. The influ- ence exerted on Goos by his teacher and prede-GORDON, AARON DAVID (1856 -1922), cessor, F. C. Bornemann, a devotee of Hegel, Jewish social philosopher. At the age of forty - was later counterbalanced by his study of Eng-eight Gordon left Russia, where he had been lish thinkers, especially John Stuart Mill. Oneemployed as a bookkeeper and minor estate of his principal works, the Forelaesninger over official, to become an agricultural worker in Pal- den almindelige retslaere (2 vols., Copenhagenestine and later a member of the communal x885-92), presenting an exposition of a generalsettlement, Dagania. theory of law, is equally remote from Hegelian Through his many writings, which were post- dialectic and any logical deduction from abstracthumously collected into five volumes (Kitve, ideas; it rests rather upon a solid foundation ofTel Aviv 1925 -29), Gordon made two outstand- knowledge of human institutions, and the legaling contributions to the philosophy of Jewish analysis contained in it became of fundamentallife in Palestine: his concept of the creative basis importance to Goos' treatment of positive law.of agricultural work and his theory of Jewish Thus in the law of contracts he started from thenationalism. In these beliefs, which were based principle of good faith as its primary element,on libertarian individualism and religious ideal- in contradistinction to the Roman law doctrineism, Gordon showed the influence of Tolstoy. of consent. Again, where the nature of an illegalHe believed in self -perfection, which for him act was to be determined, he emphasized themeant self- expression by work in harmony with necessity of objective limits ruling out all meta-the laws of nature. He rejected every difference physical or subjective decisions. Remarkablebetween individual and national ethics. In one powers of exegesis, precise definition and the of his treatises he stressed the power of sugges- capacity for systematization stamp Goos' othertion exercised by force, might and wealth and principal work, Den danske strafferet (5 vols.,held that it lay not in the virtue or greatness Copenhagen 1875 -96), an analysis of Danishof the ruling classes but in the longing for power criminal law. Fundamentally Goos' criminologi-in the souls of the governed. Gordon insisted cal views were closely akin to those of the clas-upon the duty of the individual to free himself sical school. Originally he regarded punishment from mass suggestion and to develop his inde- as directed toward disciplining the will of thependent criticalreflection. The nationalism delinquent to law obedience, but later he com- which evolved out of this basis was of a peculiar bined with this view the principle of retribution.type. For Gordon the Jews were not and could This change was caused in part by his reactionnever become a nation like other nations: the to indeterminate sentences, which he heldrebirth of Judaism meant not a political or an would jeopardize the rights of the individual in economic but a spiritual and moral regeneration his dealings with the community. Goos' expo- based on the ideals of the prophets. As the Jews sition of particular crimes in the special part ofhad once proclaimed that man was created in this treatise is hardly rivaled by any other bookthe image of God, they must now strive to lead in European literature. In the sphere of legis-and to realize a race or nation created in the lation too Goos did splendid work, particularlysame image. During the World War Gordon, in the fields of procedure and criminal law. almost alone among Palestine Jews, was actively Moreover, he was looked upon everywhereopposed to the creation of a Jewish Legion but as an authority not only on penology but also onhis doctrines of nationalism remained without international law. Preeminent among Danishany considerable influence. jurists, Goos holds a central position as a thinker His emphasis on the creative value of agri- of genius who bridged the gap between thecultural work, especially for the Jewish people realism of Oersted and the speculation of Borne-which had so long been divorced from "pro- Goodwill--Gorostiaga 703 ductive" labor, made him the spiritual fatherencies, ungovernable temper and obstinacy of of the Chalutz, or pioneer, movement, and de-purpose; and that burglars and thieves, who spite his opposition to socialism because of itscomprised 90 percent of the prisoners studied, roots in rationalism and mechanism he was were on the average inferior in stature and weight considered one of the leaders of the Jewish laborto other prisoners and to the general population. movement in Palestine. The defective intelligence of offenders against HANS KOHN property was also pronounced. He was forced Consult:Selected essays from Gordon's collectedto the conclusion that defective physique and works have been translated into German by V. Kell- intelligence are the two significant factors asso- ner as Erlösung durch Arbeit (Berlin 1929), with a ciated with criminality. biography; Kohn, Hans, L'humanisme juif (Paris Rarely has such a challenging work as Goring's 1931); Spiegel, Shalom, Hebrew Reborn (New York 193o) p. 409-57,467-68; Aaronovitch, J., and Dayan, been received with such acclamation. The oppo- S., A. D. Gordon, Young Jew series, no. 3 (New York nents of Lombroso saw in it the death knell of 193o). the theory of an anthropological criminal type. The disciples of the Italian criminologist re- GORING, CHARLES BUCKMAN (187o-garded it as a complete vindication of their 1919), English psychiatrist and criminologist.master. After medical studies in London and Paris, THORSTEN SELLIN Goring was in 1903 appointed deputy medical Consult: Article in Lancet, vol. cxcvi (1919) 914; Har- officer of the Parkhurst Prison, where his pred- ris,J. A., in Science, n.s., vol.li(1920) 133-34; ecessor, Dr. Griffiths, had already begun anPearson, K., Lucas, E. V., and Goring, K. M., in anthropometric investigation designed to testBiometrika, vol.xii (1918 -19) 297 -307; "Charles Goring's `The English Convict,' a Symposium" in Lombroso's theory of an anthropological crimi- American Institute of Criminal Law and Criminology, nal type. Assisted by medical officers of otherJournal, vol. v (19x4 -15) 207 -40, 348 -63. See also prisons Goring enlarged and concluded this in- controversy between Goring and H. Bryan Donkin vestigation. The result was a report on Thein Journal of Mental Science, vol. xiii (1917) 16-35, English Convict: a Statistical Study (Londonvol. xiv (1918) 129 -46, and vol. xv (1919) 87 -96. 1913; abridged, 1915) which has as yet no equal in the field of statistical criminological research. GOROSTIAGA, JOSÉ BENJAMÍN (1822- The report was based on biological and social 91), Argentine statesman. Gorostiaga was a dele- data gathered from a random sample of 3000gate to the Constitutional Assembly at Santa Fé male convicts. In the process of analysis variousin 1853 and subsequently became minister of the groups of prisoners were compared with eachinterior under General Justo José de Urquiza, other and with the prison and the general popu-the first constitutional president of Argentina. lation of the country; and all or significant por-He was a national deputy, and vice president of tions of data concerning them were correlatedthe Chamber in 1862. In 1877 he was appointed with similar data personally gathered or found president of the Supreme Court, an office which in contemporary studies made by other scholarshe held for ten years. on Cambridge, Oxford and Aberdeen under- Gorostiaga was the central figure of the Con- graduates, Scottish criminals and insane, Newstituent Assembly and one of the chief authors South Wales criminals, hospital inmates andof the Argentine constitution. As a jurist he was certain army units. superior to Alberdi, whose plan of a constitu- Assuming that there exists in all persons ation, published in 1852, contained many defects. constitutional proclivity toward crime, which heGorostiaga reported the progress of the project called criminal diathesis, Goring proceeded toto the Assembly and in the debates proved his uncover the associations of this factor with thethorough knowledge of public law. The main environment, training, biological stock and phys-body of the constitution, with the exception of ical attributes of prisoners. His anthropometricthe general sections, was edited by Gorostiaga. data caused him to deny the existence of a crimi- In its final form it showed the influence of the nal type in the Lombrosian sense. He found,Constitution of the United States, adapted, however, that those imprisoned for crimes ofhowever, to the exigencies of Argentine national violence had on the average a finer physiqueexperience. and greater constitutional soundness than other JUAN A. GONZÁLEZ CALDERÓN prisoners or the general population and showed Consult: Quesada, Ernesto, La Argentinidad de la con - a greater incidence of suicidal or insane tend-stitución (Buenos Aires 1918) p. xxi -xxxi. 704 Encyclopaedia of the Social Sciences GÖRRES, JOSEPH VON (1776- 1848), Ger-action in Germany. His pamphlet, Athanasius man publicist. Görres was born in Coblenz and(1837), was the great trumpet call for the politi- in his youth came under the influence of thecal equality of the Catholics and for the freedom rationalist cosmopolitan thought of the Enlight- of the Catholic church. The Historische politische enment. He was an enthusiastic supporter of theBlätter für das katholische Deutschland, founded French Revolution, violently anticlerical and forin 1838 at the instigation of Görres, was both a time an advocate of the creation of a free Rhen-before and after his death the most important ish republic after the French model. Toward theorgan of Catholic public opinion. turn of the century he became disillusioned con- Görres was not an original thinker. His theory cerning the prospects of the salvation of human-of nationalism was but an elaboration of Her- ity through French influence. His associationder's and his organismic, hierarchical, authori- with the Heidelberg romanticists during thetarian and anti -absolutist theory of the state was period between 18oz and 1805 and more espe-in all essentials identical with that of all the cially his preoccupation with the works of Her-other leading conservatives of the period of reac- der aroused in him a deeper sympathy for thetion. But Görres clothed all these ideas with a Middle Ages, for traditionalism and for nationalconcrete and symbolical expression, infused into individuality. them such a spirit of moralism and earnestness In January, 1814, Görres assumed the direc-and pursued them with such unbounded energy tion of the Rheinischer Merkur, the first impor-and ardor that he may justly be called the great- tant newspaper in the history of German jour-est of German publicists. nalism. This paper became the focal point for KOPPEL S. PINSON the German national movement and the most Works: Gesammelte Schriften, ed. by Wilhelm Schell - violent literary opponent of the French. Görres berg and others, vols. i -ii, vi -xiii (Cologne 1928 -29); followed the German troops in the Rhineland,Gesammelte Schriften, ed. by Marie Görres, 9 vols. inflamed them with German patriotism and pro- (Munich 1856 -74). claimed the Rhineland as German territory from Consult: Schellberg, W., Joseph von Görres (Gladbach 1922), and his introduction to Görres' Ausgewählte time immemorial. The most important German Werke und Briefe, 2 vols. (Munich 1911); Galland, literary figures like Arndt, Kleist and the broth- Joseph, Joseph von Görres (2nd ed. Freiburg i.Br. ers Grimm contributed to this paper; it was used1876); Görres Festschrift, ed. by Karl Hoeber (Co- by Baron vom Stein as his mouthpiece, was readlogne 1926); Borinski, F., Joseph Görres und die deutsche Parteibildung, Leipziger rechtswissenschaft - and translated in England and in France and liche Studien, no. 3o (Leipsic 1927); Berger, M., was so influential as to be termed by Napoleon Görres als politischer Publizist (Bonn 1921). la cinquième puissance. During the course of the peace negotiations Görres pressed for theGORTER, HERMAN (1864 -1927), Dutch so- solution of the German national problem. Hecialist. After taking his doctorate in classics at advocated the restoration of the old mediaevalthe University of Amsterdam and publishing a empire with Prussia and Austria as the leadinglyrical poem, Mei (Amsterdam 1889, 3rd ed. states of northern and southern Germany re- i9oo), which placed him among the foremost of spectively. His opposition to the Prussian aimsmodern poets, Gorter became interested in phi- at hegemony as well as his protests against thelosophy, translated Spinoza's Ethica and then policy of reaction brought about the suppressionstudied the works of Marx. He wrote several of his newspaper on January io, 1816. For simi-works popularizing Marxian doctrines, showing lar reasons his pamphlet Teutschland and diea remarkable ability to present abstract material Revolution (Coblenz 1819) was confiscated bylucidly. Gorter also made several able and origi- the Prussian government and Görres was forcednal applications of the methods of historical to flee to Strasbourg. materialism to art and poetry. In 1897 he joined Görres subsequent career is marked by histhe Sociaal -Democratische Arbeiderspartij and closer affiliation with the Catholic church. Withbecame an indefatigable propagandist of mili- his growing interest in the Middle Ages hadtant socialism. As one of the staff of the Marxian come also an increased appreciation of religionmonthly, De nieuwe tijd (The new times), he in general and the mediaeval church in particu-fought against the opportunism of the party lar. Called in 1827 to Munich as professor ofleaders. In 1909 after the expulsion from the history, he became the center of a circle of Cath-party of the radical group prominently identi- olic intellectuals and politicians which markedfied with the weekly Tribune he became asso- the beginnings of organized Catholic politicalciated with them in establishing the Sociaal- Gorres-Gosplan 705 Demokratische Partij. Shortly after the outbreak on monetary subjects, some of which were re- of the World War he wrote a brilliant pamphletgarded by bimetallists as supporting their doc- denouncing imperialism and the socialists whotrines, and on the incidence of local rates in supported the war and arguing that the workingEngland. His Theory of the Foreign Exchanges class had no reason to wish for the triumph ofwas the first systematic theoretical account of any of the belligerent powers. Gorter hailed thethe mechanism whereby international price ad- Russian Revolution of October with boundlessjustments are brought about. Although not free enthusiasm and helped found the Kommu-from inconsistencies it was yet a lucid presenta- nistische Partij in the Netherlands in 1918. Hetion of the view that a country's foreign ex- soon diverged, toward the left, from the viewschanges are regulated as much by the amount of the Communist International. He helpedof its short term indebtedness as by the quantity draw up the program of the Kommunistische of its monetary stock and the internal price level. Arbeiterpartei in Germany and in 1920 repliedIt was rapidly recognized as a standard work to Lenin's pamphlet Radicalism, the Infantilethroughout the world. Criticism of it has been Disease of Communism in an open letter in directed chiefly against the doctrine that the ad- which he differentiated between the tactics suc-justment of the foreign exchange position is cessful in Russia and those advisable in westernautomatic and that the central bank in altering Europe and attacked the policy of Communistits discount rate is following rather than con- participation in parliamentary activity. In thetrolling market conditions. The desire to empha- fall of 1921 he founded the Kommunistischesize this point of view sprang from Goschen's Arbeiderspartij and in 1922 retired from poli-distrust of authoritarian interference with the tics. In 1917 he published Pan, a poem of the"natural" workings of the price system. As proletarian world revolution and a glorificationchancellor of the Exchequer at the time of the of dialectical materialism. Baring crisis in 1890 he was adamant in refusing HENRIETTE ROLAND HOLST government assistance to prevent a credit col- lapse. A convinced free trader, he was opposed Important works: Het imperialisme, de wereldoorlog en de sociaal- democratie (Amsterdam 1914, 4th ed. 1921); to Joseph Chamberlain's policy of tariff reform. De wereldrevolutie (Amsterdam 1919, 3rd ed. 1921); He also took a leading part in the movement for Het opportunisme in de nederlandsche communistische abolishing religious tests in the older universi- partij (Amsterdam 1921); Open brief aan partijgenoot ties. In other spheres, however, he was less Lenin (Amsterdam 1921). radically individualist. In 1884 he fought Glad - Consult: Blom, D. van, "Schriften niederländischer Sozialisten über den Krieg" in Archiv fur die Ge- stone's franchise bill on the ground that com- schichte des Sozialismus and der Arbeiterbewegung, vol. plete democracy meant the dictatorship of the vi (1915) 314-37; Ravesteyn, W. van, Herman Gorterlowest classes. Two years later his hostility to (Rotterdam 1928). Irish home rule made him one of the leaders of the Liberal Unionists and soon brought him GOSCHEN, FIRST VISCOUNT,GEORGE into the Conservative party, where he ended his JOACHIM GOSCHEN(1831 -1907), British states-governmental career. man and financier. He was of German extraction. LINDLEY M. FRASER After taking a classical course at Oxford he en- Important works: The Theory of the Foreign Exchanges tered his father's firm of merchant bankers in (London 1861, 16th ed. 1894); Reports and Speeches London. He soon turned to politics, entering on Local Taxation (London 1872); Addresses on Edu- Parliament in 1863 and being given cabinet rank cational and Economical Subjects (Edinburgh 1885); Essays and Addresses on Economic Questions (z865- in 1866. As a politician he was chiefly known for 1893) (London 1905). his consolidation and simplification of local gov- Consult: Elliot, A. R. D., The Life of George Yoachim ernment loans and taxes and fir his conversion Goschen, First Viscount Goschen, 1831 -1907, 2 vols. of the 3 percent national debt (consols) into se-(London 1911); Farrer, T. H. F., Mr. Goschen's curities bearing 21 percent for fifteen years and Finance, 1887 -1890 (London 1891); Angell, J. W., The Theory of International Prices, Harvard Economic thereafter 4 percent -an operation whichStudies, vol. xxviii (Cambridge, Mass. 1926); An- meant a large saving for the government butsiaux, Maurice, Principes de la politique régulatrice des which was held to have weakened the state's changes (Brussels 191o) chs. i -ii. power to borrow except on a basis of par redemp- tion at a fixed date. GOSPLAN is the abbreviated name of the Go- Goschen did not profess to be an economistsudarstvennaya Planovaya Kommissiya pri STO, but he wrote a number of illuminating studiesor the State Planning Commission of the Coun- 706 Encyclopaedia of the Social Sciences cil of Labor and Defense, which was institutedsubordinated to immediate military ends, and by decree of the Russian Soviet government (thethe control of industry was hurriedly centralized Council of People's Commissars of the R. S. F.under an improvised semimilitary machine. S. R.) on February 24, 1921. Its parent body, theSince the civil war was essentially a class war, STO, or the Council of Labor and Defense,the administration of industry could hardly rest composed of leading members of the govern-on the basis of cooperation with private capital- ment, is the supreme economic general staff,ists. Hence that improvised system of centralized exercising a coordinating control even over thecontrol, which in capitalist countries during the work of people's commissariats, or ministries,war was termed war socialism, in Russia neces- and possessing within limits certain legislativesarily took the much more drastic form of war powers of its own. The Gosplan is an advisorycommunism. Industry was hastily nationalized commission of experts, subordinated to the STO,in a more sweeping manner than would have whose function is the drafting of plans for theotherwise been contemplated, and its adminis- future economic development of the Soviettration was directly subordinated to industrial Union along socialist lines. departments (glavki) organized as sections of the It is no part of Communist theory that aSupreme Council of National Economy (Ves- planned economy can be developed over nightenha). A special Commissariat of Supply (Nar- or that a Five -Year Plan can appear upon thecomprod) was set up to organize the distribution scene as a deus ex machina. According to Com-of primary products and of finished commodi- munist theory the political prerequisite, theties, and distributive organizations such as the transfer of power from the propertied class tocooperatives were progressively subordinated to the working class, is an act of revolution sup- itscontrol. A rationing system of supplies planting the previous capitalist state by one of aquickly replaced ordinary retail trade and the historically new type, a workers' state, which isopen market, and to insure food for the towns the concrete form of what Marx called the dic-and the army a system of requisitioning was ap- tatorship of the proletariat. And just as this polit- plied to the peasants' grain surplus in the villages. ical revolution marks a stage in the historicalCollection of foodstuffs and raw materials and process, so the subsequent building of socialism, the distribution of finished industrial products the economic revolution, must be conceived as aassumed the form of a giant system of centralized part of that developing process. Lenin did notstate barter. Relentless struggle against the capi- attempt to introduce complete communism attalists prevailed in industry and trade as well as one fell swoop on the morrow of the revolutionon the military fronts. Improvisedmilitary of November, 1917; and a five -year plan, al-measures were everywhere the order of the day. though much talked of in earlier years, was in- Whether or not without the civil war, war troduced only in 1928 after the ground had beencommunism would have been a normal stage of prepared by the economic policy of the preced-Communist policy is largely an academic ques- ing eight years. tion, for it is hardly conceivable that after so The economic policy of these years falls into sweeping an event as the October revolution the three clearly marked periods. The first period,former privileged class would have failed to which embraces the eight months preceding themake some effort by military measures to regain outbreak of civil war in July, 1918, was thewhat they had lost. As the civil war broke this period of the first crude attempts at building acounterattack on the military front, so war com- new apparatus of economic administration,of munism eliminated the bourgeoisie from all the cautious and on the whole experimental nation-positions of vantage it had previously held in the alization. For the time being only key enterprisessocial system and crushed its resistance. War were nationalized and the state confineditself tocommunism was a product of civil war, not of an such measures of general economic control asa priori utopia; and as such it was simply a con- were witnessed in all belligerent countriesdur-tinuation of the political revolution of October, ing the war. At the same time considerable pow- 1917. And when the third stage, the period of ers of control over the actions of private ownersthe NEP, or New Economic Policy, succeeded were delegated to workers' committees in eachwar communism at the close of the civil warin enterprise (see BOLSHEVISM). 1921, the change was a return to "normal" con- This first period was sharply broken by theditions, not a retreat from a shattered utopia. advance of the White armies from the Urals and The keynote of the NEP was the abolition of from the Caucasus. The economic system wasgrain requisitioning and the restoration of free Gosplan 707 trade in grain for the peasant. As a corollary ofthe working capital accumulated from commis- this there followed abolition of the centralizedsions or profits, by recommending concrete organization and distribution of supplies and themeasures for improvements in quality and in restoration of the retail and wholesale market.various other ways the syndicates became very The decentralization of economic administrationinfluential in shaping the production policies of took the form of the reorganization of the indus-the trusts. trial departments of the Vesenha into organs of During the first five years of NEP practical general supervision and control and the organ-questions of reconstruction held the stage. It was ization of industry, still almost entirely nation-necessary to overcome a succession of numerous alized, into "trusts," which with a few excep-"crises" and to start the wheels of industry tions were horizontal combinations responsibleagain. The NEP represented a transitional sys- for the detailed administration of the constituenttem under which a predominantly nationalized plants. Some of them embraced plants of all -industry adapted itself to the environment of an union importance, others operated to a large ex- agricultural country of primitive individualist tent within the area of a single republic and thepeasant cultivation. Since this adaptation implied smallest were limited to single regions or prov- a market relationship between the state and inces. The trusts were state bodies in the sensepeasant economy, the economic characteristic of that their fixed capital was owned by the state,this period consisted in the manoeuvring on the their directorate was appointed by the economicmarket of state industry organized in financially council of the state, their production programsautonomous units. Ordinary commercial forms, were subject to the approval of theappropriatepractises and relationships prevailed; and the economic council and their accounts were au-state in adapting itself to the market and to dited and their reports scrutinized by the samepeasant agriculture was ipso facto limited and council. At the same time they existed as sepa- conditioned by it. rate legal entities and functioned as financially When the period of reconstruction came to a autonomous bodies: their working capital stoodclose, the question of the next stage of advance in their own corporate right and they were freeappeared in an urgent form. This question was a to engage at their discretion in commercial trans-crucial one; how to build socialism in a back- actions such as purchasing raw materials, hiring ward peasant country? As soon as such a task labor, marketing their products (subject only inwas set, the situation demanded no longer merely some cases to price restrictions),raising creditsan adaptation to the peasant market but the con- and the like. A similar position of legal andtrolling of that market, the appropriate trans- financial autonomy was also restored to the co- formation of the environment itself. The ques- operatives. Private trade was legalized, subjecttion as to further advance had already been to the grant of a license by the appropriate state posed by Lenin in 192o at the close of the purely authority; private traders were liable, however, politico -military stage of the revolution. He had to a discriminatory business tax. Foreign trade, answered it with the slogan of electrification. To however, remained strictly controlled; all importLenin's view the political revolution, the in- and export transactions were subordinated totrenching of the working class in power and the the program of the Commissariat for Trade.uprooting of the old privileged class, was the Provision was also made for the formation ofprerequisite of an economic revolution which joint stock companies, with capital provided bywould necessarily follow it. The economic revo- various state organs, and of mixed companies,lution was the more lengthy process of building with joint state and private capital, to operate instone by stone the structure of a socialist econ- the sphere of wholesale and foreign trade. Inomy. In a backward peasant country this could 1923 and the following years the trustsin thebe done only on the basis of industrialization or various industries took advantage of this provi- mechanization of the economic system. It is part sion and organized on their own initiative "syn-of the Marxian doctrine that handicraft produc- dicates," to which they delegated the functionstion creates the system of petty properties and of selling their products and of purchasing thepetty trade, whereas the Bessemer process, elec- necessary raw materials. In the courseof timetricity and the conveyor system produce corpo- many of the syndicates took over thegeneral reg- ration enterprise, the combine and the trust. ulation of the industries with which they wereIn accordance with this view socialism in Russia dealing. By giving "preliminary orders" to thecould develop only on the basis of twentieth cen- various trusts, by extending credit to them out oftury technique; and the economic revolution had 708 Encyclopaedia of the Social Sciences to be simultaneously a technical revolution and agrowth of "heavy industry" to provide the basis social revolution, the latter being unthinkableon which the transformation of the lighter fin- without the former, the former being inseparableishing industries necessarily rested. At the fif- from and subordinated to the latter. teenth party congress in December, 1927, this Before this technical- social revolution couldpolicy was reiterated and combined with its es- be achieved, the fundamental issue as to the posi- sential corollary, the policy of agricultural col- tion of agriculture under conditions of rapid in-lectivization. The reorganization of agriculture dustrialization on a socialist basis had to beon a collective basis was to take two forms: the faced and settled. In the latter half of the recon-development of giant state farms, the sovkhozy, struction period it became clear that under themostly on previously uncultivated land in north conditions of NEP there had been a certain re-Caucasus, Siberia, Kazakstan and elsewhere; vival of class differentiation in the village, in par-and the formation of collective farms, the kolk- ticular the reappearance of a class of embryo -hozy, by inducing the peasants to pool their capitalist rich peasants, the kulaki. And whileland, livestock and implements and to farm co- any appreciable development of industry neces- operatively. On these large scale enclosed farms sarily rested on a growth of the agricultural sur-the most up to date American methods of mech- plus necessary to give food and raw materials toanized agriculture were to be introduced: the industry and grain for export, there seemedsocial revolution in the village was to provide small chance for agriculture to develop at any-the basis for a technical revolution in agricultural thing but an extremely slow rate unless the re-methods. This double policy was embodied in crudescence of semicapitalist kulak agriculturethe Five -Year Plan of 1928, in which it was pro- was definitely encouraged. This problem becamevided that 18 percent of the agricultural area particularly acute in the summer of 1928, whenwas to be collectivized by 1933 and that bythat instead of exporting grain Russia had to importdate 43 percent of the marketable surplus was to it from abroad. During the two previous yearscome from state and collective farms. Actually the issue had been thoroughly discussed inthe results of this daring agricultural revolution, theoretical journals, in the press, in party andwhich at first aroused extreme skepticism inside Soviet meetings and conferences. This discus-as well as outside Russia, surpassed the expecta- sion period had two main phases: the acute con-tion even of its originators. By virtue of a mix- troversy between the official majority of theture of "pressure," of economic inducements party and Trotsky, who wished for a forcing ofand of propaganda the provisions of the plan for the pace and advocated "socialist accumulation"agriculture had already been exceeded by the at the expense of agriculture; and that betweenharvest of 1930; with the result that Russia was the opinion championed mainly by Stalin and again able to appear on the world market as an the so- called Right wing, which was inclined toexporter of grain on a considerable scale. By the preserve for a longer period the forms character-summer of the following year it was claimedthat istic of the reconstruction period. These were noone half of the peasant households of thewhole mere academic issues, nor were theysimply aSoviet Union were organized in collective farms façade for personal rivalries. They were vitaland that over 6o percent of the total cultivated differences of view as to the way of building so-area was under state and collectivefarms. cialism in a peasant country; and the answer to The period of the NEP afforded the breathing the question offered the urgently needed key tospace necessary not only to settle importantis- immediate practical policies. History was at a sues of policy and to reconstruct andconsolidate crossroads, and once a decision had been takenthe national economy but also to develop the ad- there could be no turning back. ministrative apparatus for planning, to acquire The alternative decided upon was to go be-experience in planned control on a smaller scale yond the limits imposed by the NEP, involvingand to train a new generation of administrators the adaptation to a peasant environment as itsdrawn from the ranks and thoroughly imbued keystone, and to effect a new social revolutionwith the ideal of building a new planned in the countryside. Already at the fourteentheconomy. congress of the Communist party in 1925 maxi- Virtually the first act of preparation for the mum possible industrialization had been ap-achievement of an industrial revolution on a proved as the correct policy in the stage follow-socialist basis was the establishment in 1920 of ing the reconstruction period. This was inter-the Goelro, or the State Commission for Electri- preted as implying special insistence on thefication, at the personal initiative of Lenin. It Gosplan 709 prepared a plan for the electrification of theof the civil war period, when the wartime Coun- country which covered from ten to fifteen years,cil of Defense was reorganized into the Council and which was approved by the Eighth All- of Labor and Defense, or the STO, and became Russian Congress of Soviets held in December,the supreme coordinating body between eco- 1920. In the following year it was reorganizednomic departments, the Vesenha was appointed into the Gosplan, of which the president of thede jure to the role to which it had in fact been Goelro, Krzhizhanovsky, a prominent engineerprogressively tending, that of a virtual Commis- and an old friend of Lenin, was appointed presi-sariat of Industry. Until 1930 the Vesenha was dent. At that time the Gosplan was composed oforganized on the basis of departments corre- forty leading workers, mainly economists, statis-sponding to each industry (glavki). In 193o the ticians and engineers. Only a few of these weresyndicates, which had been gradually and spon- Communists: the remainder were specialists car-taneously assuming large administrative powers ried over from the old regime. Subsequentlyover industry, were transformed into "com- successive reorganizations and enlargementsbines," most of the industrial departments of the took place, until at present the Gosplan employsVesenha being abolished and their functions a large staff of technical experts controlled by atransferred to the combines. Unlike the old in- praesidium of twenty -two persons. It is divideddustrial departments of the Vesenha the corn - into departments whose work is coordinated bybines are financially autonomous bodies and the bureau of national economic planning. Inseparate legal entities. The Vesenha itself is now addition to departments serving the purposes ofdivided almost entirely into functional depart- internal organization there are departmentsments. The most important of these is the plan- charged with planning power supply, industrialning section concerned with preparing the eco- output, agricultural output, industrial and resi-nomic plans in consultation with the Gosplan dential construction, the work of transport andand also supervising technical research, im- communication services, the distribution of con-provements and rationalization. The next in im- sumers' goods, the training of labor and techni-portance is the department of inspection and cal personnel, general education and scientificaudit, an organ of ex post facto control over in- research. Subordinate to the Gosplan are also adustry. Finally, it includes a pricing and costings number of planning organs for constituent areassection and research departments concerned of the union: for each constituent republic, forwith industrial technique, geological surveying each economic region, such as the Urals, and forand geodesy. The Vesenha is directly concerned each province. In addition the various people'sonly with industry which operates on an all - commissariats, concerned with economic affairs,union scale. Enterprises which serve a purely and the cooperatives have specialized planninglocal market are organized in trusts of a purely departments which work in direct contact withlocal character, and these come under the con- the Gosplan in framing the plans for their par-trol of economic councils of the various repub- ticular spheres. lics or provinces. The Gosplan is a purely advisory body. Al- Initially the Gosplan took over and reorgan- though in 1923 Trotsky proposed that it shouldized the work that had formerly been divided be clothed with executive powers, the proposalamong ten or more different "central commis- was rejected on the ground that it was politicallysions" and "high commissions" attached to vari- inexpedient to give such decisive powers to aous commissariats. In the succeeding years it body of bourgeois specialists with merely aplayed an important role in planning the recon- sprinkling of Communists among them. Thestruction of the economic system after the rav- Gosplan passes judgment on the plans of allages of war, civil war and famine: the overcom- economic departments and tenders that judg-ing of the fuel crisis and the transport crisis in ment directly to the highest organ in the eco-1921 -22, the reorganization of industry on the nomic sphere, the STO, by whose decisions thebasis of the new trusts in 1922 -23, the handling recommendations of the Gosplan become execu- of the "scissors crisis" (the disequilibrium caused tive orders. by the high prices of manufactures as compared Next to the STO the most important adminis-with those of agricultural products) in 1923-24, trative body in the economic sphere is the Ves-the monetary stabilization of 1924 and the infla- enha. This body was instituted in the firsttion crisis of 1925 -26. months after the revolution as the supreme con- The most important general tasks which have trolling organ in economic affairs. But at the endcharacterized the work of the Gosplan in the 710 Encyclopaedia of the Social Sciences past decade and which most fully represent theductivity of labor, availability of foreign credits qualitatively unique function of the Gosplan inand benefits to be derived from foreign trade; the economic system have been three in number.the difference in anticipated accomplishment The first was the preparation of the scheme ofaverages about zo percent. The Fifth All -Union regionalization of the Soviet Union: the divisionSoviet Congress of 1928 adopted the maximum of the country into economic regions as the es-variant as the state economic program for the sential preliminary to the industrialization on theperiod from October, 1928, to October, 1933, basis of the localization of specific industries inwhich is the now famous Five -Year Plan, or the most suitable regions and of the geographicalPiatiletka. Later the control figures for 1930 and grouping of associated industries in the most1931 have revised the figures of the plan drasti- economical way. At the base of this lay impor-cally in an upward direction under the aim of tant geological and climatic considerations; and"carrying out the Five -Year Plan in four years." connected with it and in part dependent on it In the earlier period of its life the role of the were questions of the development of transport,Gosplan was mainly that of a coordinating body; of raw material resources and of electrification. it passed judgment on plans which were origi- The second and later task was the preparationnated elsewhere. After the various economic de- of the "control figures" of the national economypartments and the cooperatives had drawn up in 1925 -26. These early control figures were atheir separate programs for the coming year in combination of statistical data, estimates andthe form of budgets covering capital investments, forecasts, representing the objective factors inoutput and price policy, estimated profits, credit the situation, with purposive directions as to the requirements and the like, the Gosplan reviewed lines and the goal of conscious economic activ-these, coordinated them and advised revision in ity. The combination of the two formed the co-an upward or a downward direction in any par- ordinated plan or program by which the activi-ticular. There arose, for instance, such questions ties of all organs of the state with economic func-as the harmonizing of the relativegrowth of tions were to be directed. The period coveredagriculture and of industry; of the work of the by these control figures was one year. cooperatives or of the railways with the require- These first control figures, continued in anments of the commodity turnover; of the de- improved and elaborated form ever since, were amands of industry for credit facilities with the preliminary manoeuvre, as it were, for the thirdresources of the State Bank and the policyof the and crowning task of the Gosplan, the prepara- Commissariat of Finance; of the import and ex- tion of a five -year plan in 1927. The early con-port program of the Commissariat of Trade with trol figures were admittedly crude and imper- the needs of the internal market. fect; they were based on inadequate statistics As the period of reconstructing industry came and the directives which they implied were notto a close and the period of entirely new con- closely enough related, either in conception or in struction began, the function of the Gosplan execution, to concrete realities. In the followingceased to be predominantly passive and became three years, however, a considerable improve-the active role of initiating policy in accordance ment in statistical information and the techniquewith the directives of the party and the govern- of gathering statistical data was achieved, muchment. Decisions concerning capital development valuable experience was garnered and the appa-and the process of industrialization of the coun- ratus of planning was developed and improved.try-the proportion of resources to be devoted In 1928 the preliminary draft of a five -year planto capital construction, the relative ratesof de- of the preceding year was succeeded by a stillvelopment of different parts of the economic more ambitious draft, which fittedinto thesystem -were preliminary to the makingof sec- wider perspective of a more vaguely sketchedtional plans; and the mobilizing from the center twenty -year plan. Within the limits of the five -of the resources for construction work- alloca- year plan provision was made for annualcontroltions of capital to industries, distribution of raw figures to adapt in greater detail the program formaterials and the like- became the prerequisite the coming year to the results of the previousof any detailed program. It became the duty of year and to the changing requirementsof a de- the Gosplan to set the tempo of the whole eco- veloping situation. The new draft was preparednomic system and to establish the main lines in a maximum and a minimum variant, the latterwithin which the various sectional programs being based on less favorable assumptions re-were to be prepared. Of this newrole the Five - garding crop yields, improvements in the pro-Year Plan was the concrete expression. Gosplan 71I It is not to be inferred, however, that the Five - The keynote of the Five -Year Plan is the Year Plan is a merely abstract creation, imposedmobilization in capital investment or construc- bureaucratically from above. The Gosplan pos-tion work of an average of 3o percent of the na- tulates the goal and the main directives in a pre- tional income for each of the five years and a liminary draft plan, commonly after general dis-doubling of the national income between 1928 cussion by conferences of planning workers.and 1933. If account is taken of the growth of This draft is then submitted to the Vesenha, thepopulation, which is a rapid one, the national commissariats of Transport, Agriculture, Tradeincome per capita is expected to increase by 8o and Supply and to the cooperatives, and frompercent, while real income available for con- them is passed on to their constituent bodies un-sumption purposes to the urban and rural popu- til it reaches the lowest stage, the factory, wherelation will rise by some 5o percent. The rate of it is customarily discussed by a general confer- economic development thus provided for is about ence of all the workers. On the basis of these dis-six times the normal development of world pro- cussions amendments are suggested and theduction and more than twice that achieved by skeleton is clothed in the flesh of more detailedindustrial countries even in boom years. A more formulation. These fuller, more detailed depart-detailed analysis shows that the rate of growth mental programs are then submitted again to theplanned for industries engaged in the production Gosplan, which has the task of passing final judg-of capital equipment and industrial raw materi- ment on them. Even when these plans haveals and supplies is larger than that for consum- reached the final stage of adoption by the STOers' goods industries, and that the anticipated in- they are binding on the economic system ascrease of the share of national income under di- general directives rather than as hard and fastrect control of the state apparatus is greater than bureaucratic regulations. Considerable latitudethat of private undertakings. exists in practise for adaptation by the subordi- Economic planning is not of course a new in- nate organs to actual circumstances, and subse-vention. Improved methods of "scientific" busi- quent modifications are frequently suggestedness planning have been the common talk of by them in view of unforeseen circumstances,capitalist business since the last quarter of the these changes being sanctioned either beforenineteenth century, and with the growth of or after execution. monopolistic capitalism the sphere of such con- Since the relations between various units evenscious control over economic activities has pro- within the socialized sector of the national econ-gressively widened. During the World War and omy take the form of contracts of purchase andagain in recent years, largely under the influence sale at specified prices, the regulation of prices,of Russia's example, there has been increasing wages and salaries, the policy of long and short discussion of a planned economy under the term credit extension and the system of taxationaegis of the central bank, trade associations, pub- must be closely coordinated with the instruc- lic corporations, cartels and syndicates. What is tions concerning material accomplishments fur-new in the Gosplan system is the subordination nished by the Five -Year Plan. An important con-of the whole economy of a country to a single stituent part of the Five -Year Plan is thereforeplan. Under a regime of private capital the the financial plan, embracing estimates of all fi-sphere of conscious control is necessarily limited nancial operations under state control, such asto the individual property unit. Between such the state and local budgets, the capital accountsunits the relation must be predominantly that of of the economic organizations and social insur- laissez faire. In these interstitial relations the ance funds, and long and short term creditstate may intervene with negative restrictions plans. The degree to which the anticipations ofand indirect controls, as occurred on a consider- the financial plan are carried out also throwsable scale in most belligerent countries during much additional light on the execution of thethe war. But it cannot without infringing the plan of production and consumption as meas-basic principles of private property exercise di- ured in physical units. Since the financial plan isrect, positive and initiating influence as under of such importance, the organizations respon-the planning system in operation in Russia after sible for its drafting and execution -the State1928. In other words, whereas in a capitalist so- Bank and the Commissariat of Finance -occupyciety extension of state functions might conceiv- a somewhat more independent position with ref-ably go so far as to approximate the system prev- erence to the Gosplan than do the other eco-alent in Russia under the NEP, these functions nomic commissariats and the cooperatives. could not extend to anything so radical as the 712 Encyclopaedia of the Social Sciences planning system in operation during the periodtariat and the dispossessed and a new kind of dic- subsequent to 1928. tatorship against the bourgeoisie and as being Another distinguishing feature of contempo-necessarily fulfilled through the instrumentality rary Russian economy is that it attempts to carry of special institutions of a new type, the soviets. out the process of industrialization, the transfor-As has been mentioned above, the construction mation of a country of primitive productiveof the plan is the work of the subordinate organs, methods into a country of up to date mechanicalincluding factory meetings, to the same extent as technique, at a much more rapid tempo than hadit is of the Gosplan itself. Similarly, the execu- been witnessed during the industrial revolutionstion of the plan depends as much on the activity in England in the beginning and in the Unitedand initiative of the workers themselves as on the States in the middle of the last century, in Ger-directions handed down from above. It is one of many in the 187o's and in Japan at the turn ofthe essential features of Communist theory that the century. It attempts to achieve this tempo bythe party's duty is not primarily to give orders, consciously mobilizing and directing capital re-but to lead and to guide, to stimulate the masses sources and planning their utilization, as in Eng-in playing an initiating role in creating and exe- land or America a large combine might plan andcuting the plan. There is no democracy in Soviet direct the reorganization of the plants under itsRussia in the sense of parliamentary democracy control. with a multiple party system. But there exists in There are in addition certain subsidiary fea-Russia's planned economy something that may tures of Soviet planned economy which arebe called a workers' democracy. It is a new type hardly conceivable apart from the historical proc-of democracy in the sense that collective inter- ess through which Russia has passed since 1917, ests secure fairly full expression through the ap- and which are likely to render western analogiesparatus of soviets, trade unions, factory confer- to it incomplete. These characteristic featuresences and the like; and that a large part is played center about the peculiar role of the Russianby rank and file participation and initiative in Communist party in the successful operation offraming, adapting and executing the plan. This the Five -Year Plan. In capitalist countries uni-schooling process of active workers' democracy formity of executive policy is achieved throughhas played an important role in developing a new the medium of a highly trained and trustworthygeneration of industrial administrators from the civil service. The more educated and reliable theranks of the workers. And it is through this ac- civil service, the more initiative can be left to in- tive participation of broad masses of the popula- dividuals and the better can unity of policy betion that the eventual "withering away of the combined with requisite flexibility in detail. Instate" (as a hierarchy separated from the people), Russia, where the old czarist officialdom hardlywhich figures in Marxist theory, is conceived as possessed these qualifications and by its socialbeing attained. composition and training was unsuited to the A planned economy seems to open consider- operation of a socialist planning system on soable possibilities of adapting the various branches extensive a scale, the Communist party is not of the economic system to one another and elim- only the governing party in the legislature butinating industrial and financial crises more suc- also the unifying and guiding hand in the execu-cessfully than is done under a system of laissez tion of policy. As such the Russian Communistfaire. Moreover, not only does it reduce risk and party provides a new historical type of party.Ituncertainty by the pooling of risks and by elim- is by reason of this double function that severeinating competition but by planning capital in- qualifications are imposed for admission tovestment and technical change it can consider- membership in the party and a strict internalably reduce those uncertainties which usually discipline is maintained. The party is not, how-characterize economic forecasts. The chief diffi- ever, an exclusive official caste,and the execu-culties of a planned economy are those of ad- tion of the plan does not primarily depend on theministration and of human factors: the difficulty efficiency of an official hierarchy passing down of finding the requisite ability to handle prob- orders from above and "putting across" orders lems on so large a scale. Its potentialities there- in military fashion. Lenin defined the dictator- fore seem to be limited not primarily by eco- ship of the proletariat, which for him was thenomic considerations but by the quality of per- necessary political form of thetransition be-sonnel and by administrative inventiveness. tween capitalism and socialism, as a state that The building of a planned economy in the embodies a new kind of democracy for the prole- Soviet Union is bound to have important effects Gosplan 713 on the rest of the world. It may mean to sometively different. They have the significance of extent an invasion of important markets in otherchemical elements the addition of which trans- countries by Russian manufactured goods. Butforms the character of the whole composition. If the aim of Russian planning is to make the coun-this be so, these specific features are particularly try self -sufficing. For a long time to come itsimportant to understand. growing internal market is likely to absorb its MAURICE DOBB output of industrial goods; indeed, with the re- See: NATIONAL ECONOMIC PLANNING; RATIONALIZA- laxation of the immediate pressure of the early TION; INDUSTRIAL REVOLUTION; BOLSHEVISM; COM- years of planning, which is responsible for the MUNIST PARTIES; RUSSIAN REVOLUTION. forced export of certain goods at present, Rus- Consult: Pollock, Friedrich, Die planwirtschaftlichen sian exports of manufactured goods may actually Versuche in der Sowjetunion, 1917 -1927, Frankfurt am decrease rather than increase. Russia is likely toMain,Universität,InstitutfürSozialforschung, remain primarily an exporter of raw produce; Schriften, vol. ii (Leipsic 1929); Dobb, Maurice, Rus- sian Economic Development since the Revolution (Lon- but since it does not export capital and so needs don 1928); Milyutin, V. P., Istoriya ekonomicheskogo no export surplus, it will continue to buy fromrazvitiya S.S.S.R. (1917 -27) (History of economic other countries as much as it sells. Therefore thedevelopment of the U.S.S.R., 1917 -27) (Moscow effect of the Five -Year Plan on the rest of the 1928); Krzyianowski, G. M., Dix années d'édification world through purely trade channels will prob- économique en U.R.S.S., 1917 -1927, tr. from the Russian (Paris 1928); Kritzman, L. N., Geroichesky ably be much less than is popularly imagined. period velikoy russkoy revolutsii (Moscow 1926), tr. Its effect on the rest of the world will certainly into German as Die heroische Periode der grossen rus - be profound, but it will be on another plane.sischen Revolution (Vienna 1929); American Trade The influence of the social theory for which it Union Delegation to the Soviet Union, 1927, Soviet stands and as pointing the way for the social and Russia in the Second Decade, ed. by Stuart Chase, R. Dunn, and R. G. Tugwell (New York 1928); Yurov- economic thought of the West both as a concrete sky, L. N., Currency Problems and Policy of the Soviet challenge to the backward peoples of Asia as well Union (London 1925); Burns, Emile, Russia's Produc- as to the working class of developed industrial tive System (London 193o); Grinko, G. T., The Five countries may well be epoch making. And it Year Plan of the Soviet Union, tr. from Russian ma. seems likely to have some immediate concrete (New York 193o); Union of Socialist Soviet Republics, GosudarstvennayaObshcheplanovayaKomissiya, influenceinencouragingvariousplanning The Soviet Union Looks Ahead (New York 1929); schemes in other countries. Such transplantation Farbman, Michael S., Piatiletka; Russia's Five -Year to capitalist countries, however, seems to be con- Plan (New York 1931); Hoover, Calvin B., The Eco- fined within fairly narrow limits. To copy it on nomic Life of Soviet Russia (New York 1931); Counts, G. S., The Soviet Challenge to America (New York any extensive scale in the west would be incon- 1931); Brown, W. A., Jr., and Hinrichs, A. F., "The sistent with the basic principles of individualist Planned Economy of Soviet Russia" in Political enterprise, the profit motive and the association Science Quarterly, vol. xlvi (1931) 362 -402. See also of control with risk. Moreover, certain features the periodical publications of the Gosplan (annual of Soviet planned economy, which are essentially control figures, annual surveys, etc.).For a bibli- ography of non -Russian publications on the Five - the product of the whole process of the RussianYear Plan see British Library of Political and Eco- Revolution, seem to make the system qualita- nomic Science, Bulletin, no. 55 (September 1931).